Huatai Baoxing Fund Management Co., Ltd
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid
Fund of Funds (FOF) Fund Contract
Fund Manager: Huatai Baoxing Fund Management Co., Ltd
Fund Custodian: Industrial and Commercial Bank of China Limited
June, 2012
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
catalog
Part I Foreword one
Part II Definitions three
Part III Basic Information of the Fund eight
Part IV Sale of Fund Units nine
Part V Fund Filing eleven
Part VI Subscription and Redemption of Fund Units twelve
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-two
Part VIII General Meeting of Fund Unitholders thirty
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian thirty-eight
Part X Custody of the Fund forty-one
Part XI Registration of Fund Units forty-two
Part XII Investment of the Fund forty-four
Part XIII Assets of the Fund fifty-three
Part XIV Valuation of Fund Assets fifty-four
Part XV Fund Fees and Taxes sixty
Part XVI Income and Distribution of the Fund sixty-three
Part XVII Accounting and Audit of the Fund sixty-five
Part XVIII Information Disclosure of the Fund sixty-six
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-three
Part XX Liability for Breach of Contract seventy-five
Part XXI Dispute Settlement and Applicable Law seventy-six
Part XXII Effectiveness of Fund Contract seventy-seven
Part XXIII Other Matters seventy-eight
Part XXIV Summary of Fund Contract seventy-nine
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Contract Law of the People's Republic of China (hereinafter referred to as "the Contract")
Law of the People's Republic of China on Securities Investment Funds (hereinafter referred to as the "Fund Law"), Public Offering
Management Measures for the Operation of Securities Investment Funds (hereinafter referred to as "Operation Measures"), Sales of Securities Investment Funds
Management Measures for Sales (hereinafter referred to as "Sales Measures"), Information Disclosure Management of Publicly Offered Securities Investment Funds
Administrative Measures (hereinafter referred to as "Information Disclosure Measures"), Flow of Publicly Offered Open ended Securities Investment Funds
Provisions on the Management of Liquidity Risk (hereinafter referred to as "Provisions on the Management of Liquidity Risk")
Jinyunzuo Guideline No. 2 - Guidelines for Funds in Funds and other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract
Any document or statement relating to the rights and obligations of the parties to the fund contract related to the fund, such as
In case of any conflict in the fund contract, the fund contract shall prevail. The parties to the fund contract shall comply with the Fund Law and the fund contract
And other relevant provisions.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. Fund investment
The investor shall become the fund share holder and a party to the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of holding fund shares itself indicates its recognition and acceptance of the fund contract.
3、 Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF) is managed by the fund
In accordance with the Fund Law, the Fund Contract and other relevant regulations
China Securities Regulatory Commission (hereinafter referred to as "CSRC").
The registration of the Fund raising application by the CSRC does not indicate the investment value and market value of the Fund
Making substantive judgments or guarantees on the market 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, there is no guarantee that investment in the Fund will be profitable, nor will there be any guarantee of minimum return.
Investors should carefully read the fund prospectus, fund contract, fund product information summary and other information
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Disclose documents, judge the investment value of the fund independently, make investment decisions independently, and bear investment risks independently.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract
If the content involves defining the rights and obligations between the parties to the fund contract, in case of conflict with the fund contract
The contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
6、 The number of fund units held by a single investor of the Fund shall not reach or exceed the number of fund units of the Fund
50% of the total amount, but passively reached or exceeded due to redemption of fund units and other circumstances during fund operation
Except 50%.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund
（FOF）
2. Fund Manager: Huatai Baoxing Fund Management Co., Ltd
3. Fund Custodian: Industrial and Commercial Bank of China Limited
4. Fund contract or this fund contract: Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund
FOF Fund Contract and any effective amendments and supplements to this Fund Contract
5. Custody Agreement: refers to the "Huatai Baoxing Robust" signed between the Fund Manager and the Fund Custodian for the Fund
Allocation of Three month Holding Period Hybrid Fund (FOF) Custody Agreement
Effective amendments and supplements
6. Prospectus: Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF)
Prospectus and its updates
7. Summary of fund product information: Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund
Summary of Fund (FOF) Product Information and its updates
8. Fund unit offering announcement: Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund
(FOF) Fund Unit Offering Announcement
9. Laws and regulations: refer to the laws, administrative regulations, normative documents
Legal interpretation, administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
10. Fund Law: refers to the Fund Law issued by the Standing Committee of the Tenth National People's Congress on October 28, 2003
Adopted at the Fifth Meeting of the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting, implemented since June 1, 2013, and approved by the 12th session on April 24, 2015
The 14th Meeting of the Standing Committee of the National People's Congress
The Certificate of the People's Republic of China amended by the Decision on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law and amendments made by the issuing authority from time to time
11. Sales Measures: refer to the Certificate issued by the CSRC on March 15, 2013 and implemented on June 1 of the same year
Measures for the Administration of Securities Investment Fund Sales and amendments made by the issuing authority from time to time
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019 and implemented on September 1 of the same year
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Management Measures for Information Disclosure of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Management Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
14. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017, the same year
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1 and promulgated
As amended from time to time by the Authority
15. China Securities Regulatory Commission: China Securities Regulatory Commission
16. Banking regulatory authority: refers to the People's Bank of China and/or the Insurance Regulatory Commission of the Bank of China
Member Council
17. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume obligations under the Fund Contract
The legal subjects of the Fund, including the Fund Manager, the Fund Custodian and the Fund Unitholders
18. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
19. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal persons, institutional legal persons
Social groups or illegal person organizations
20. Qualified foreign institutional investor: refers to the qualified foreign institutional investor who meets the requirements of the Management of Domestic Securities Investment
The Measures (including amendments made by the enacting authority from time to time) and relevant laws and regulations can be used to invest in
Institutional investors outside China in the domestic securities market
21. RMB Qualified Foreign Institutional Investor: refers to the qualified foreign institutional investor in China
The Pilot Measures for Securities Investment and relevant laws and regulations stipulate that RMB funds from overseas shall be used for domestic investment
Foreign legal persons investing in securities
22. Investors, investors: individual investors, institutional investors, qualified foreign institutional investors and
RMB Qualified Foreign Institutional Investors and the purchase of securities investment funds permitted by laws and regulations or the CSRC
Collectively referred to as other investors of
23. Fund share holder: refers to the investment legally obtained from fund shares in accordance with the fund contract and prospectus
people
24. Fund sales business: refers to the promotion of funds and the sale of fund shares by fund managers or sales agencies,
Handle the subscription, redemption, conversion, re custody and fixed investment of fund units
25. Sales agency: Huatai Baoxing Fund Management Co., Ltd., and in compliance with the Sales Measures and China
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund sales contract with the fund manager
Service agreement, the institution handling fund sales business
26. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including
Establishment and management of investor's fund account, registration of fund shares, confirmation, liquidation and settlement of fund sales business
Calculate and distribute dividends on behalf of others, establish and keep the register of fund share holders and handle non trading transfer, etc
27. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is Huatai Baoxing Fund Management
Management Co., Ltd. or the institution entrusted by Huatai Baoxing Fund Management Co., Ltd. to handle the registration business
28. Fund account: refers to the fund manager's account opened by the registration institution for investors, which records their holdings
Account for the balance of fund units under management and their changes
29. Fund transaction account: it refers to the account opened by the sales agency for the investor to record the investor's passing through the sales machine
Fund subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in gold shares and balances
30. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract,
The fund manager has completed the fund filing formalities with the CSRC and obtained the written confirmation of the CSRC
date
31. Fund contract termination date: refers to the date when the fund contract termination causes specified in the fund contract occur
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of liquidation
32. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, with the longest
Not more than three months
33. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
34. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
35. T day: refers to that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
open house
36. T+n day: refers to the nth working day from T day (excluding T day), and n is a natural number
37. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
38. Opening Hours: refers to the time period when the fund accepts subscription, redemption or other transactions on the open day
39. Business Rules: refers to the Business Rules of Huatai Baoxing Fund Management Co., Ltd,
It is formulated by the fund manager and revised from time to time to standardize the open-end securities investment fund managed by the fund manager
The business rules on registration shall be jointly observed by the fund manager and investors
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
40. Subscription: during the fund raising period, investors apply for
Please purchase fund shares
41. Subscription: after the Fund Contract comes into effect, the investor applies for
Please purchase fund shares
42. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the provisions of the Fund Contract and the Prospectus
The act of converting fund units into cash under specified conditions
43. Fund conversion: refers to the fund share holders' effective public funds in accordance with the Fund Agreement and the Fund Manager at that time
To apply for converting the fund units of a fund managed by the fund manager into
Behavior of other fund units managed by the fund manager
44. Custody transfer: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
45. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency and the agreement on each application
The purchase date, amount of deduction and method of deduction shall be recorded by the sales agency in the bank account designated by the investor on the agreed purchase date of each period
An investment method for automatically completing deduction and accepting fund purchase applications in the account
46. Massive redemption: refers to the 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 on the previous open day
47. RMB: refers to RMB
48. Fund income: refers to the fund dividends, stock dividends, dividends, bond interests, purchase of
Price difference of securities sold, interest on bank deposits, other legal income realized and gains from the use of fund assets
Cost saving
49. Total value of fund assets: refers to all kinds of securities, fund shares, principal and interest of bank deposits
Total value of fund receivables and other assets
50. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
51. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
52. Fund asset valuation: it refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets
Value and net value of fund units
53. Designated media: national newspapers and periodicals designated by the CSRC for information disclosure
Internet website (including fund manager website, fund custodian website, CSRC fund electronic disclosure
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Website), etc
54. Liquidity restricted assets: refer to assets that cannot be used due to laws and regulations, supervision, contracts or operational barriers
Assets realized at reasonable prices, including but not limited to reverse repos with maturity of more than 10 trading days
Fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares, and negotiable securities
Limited new shares, non-public shares, asset-backed securities, inability to transfer due to the issuer's debt default, or
Traded bonds, etc
55. Minimum holding period: refers to the minimum holding period of three months set by the Fund for each fund unit, namely:
From the effective date of the fund contract (for subscription units, the same below) or the confirmation date of subscription of fund units (for subscription units
In terms of amount, the same below) to the month to day period three months after that date, investors cannot apply for redemption;
Three months after that day, investors can apply for redemption. If there is no match in this month
If it should be, it shall be postponed to the next day
56. Swing pricing mechanism: when open-end funds are subject to large purchase and redemption
In the form of net amount, the market shock cost of the fund's adjusted portfolio is allocated to the actual subscription and redemption investments
Investors, thereby reducing the adverse impact on the interests of stock fund share holders and ensuring the legitimate rights and interests of investors
Be protected and treated fairly
57. Force majeure: refers to the objective that the parties to the Fund contract cannot foresee, avoid and overcome
event
58. China: refers to the People's Republic of China. For the purpose of this Fund Contract, Hong Kong Special Administrative Region
Macao Special Administrative Region and Taiwan
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part III Basic Information of the Fund
1、 Fund name
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund (FOF)
2、 Category of fund
Fund in hybrid fund
3、 Operation mode of the fund
Contractual and open
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 during the period from the confirmation date of subscription of fund units to the month to day three months after that date, investors cannot propose redemption
Return application; Three months after that day, investors can apply for redemption. If the actual situation of the month
If there is no corresponding date, it will be postponed to the next day.
4、 Investment objectives of the Fund
Under the premise of strictly controlling risks and maintaining good liquidity of fund assets, the Fund deeply explores and optimizes
The Fund shall construct investment portfolio and strive to obtain long-term stable excess return for fund share holders.
5、 Total amount and amount of minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million, and the amount raised by the Fund is not less than 200 million yuan.
6、 Initial par value and subscription fees of fund units
The initial par value of the Fund units is RMB 1.00.
The subscription rate of the Fund is subject to the maximum limit imposed by relevant laws and regulations
Implementation of regulations.
7、 Duration of the Fund
Irregular.
8、 Type of Fund Units
Without violating laws and regulations, the Fund Agreement and not materially adverse to the rights and interests of fund share holders
Under the circumstances of impact, according to the actual operation of the Fund, after performing the appropriate procedures, the Fund Manager shall
The Fund Custodian may adjust the setting of fund share categories and the classification methods and rules of fund shares through consultation
To rectify or stop the sale of existing fund units, this adjustment does not require a general meeting of fund unit holders, but
It shall be announced in advance.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period from the date of sale of fund units shall not exceed three months. See the specific time of sale of fund units
Notice.
2. Way of sale
It is publicly offered through the fund sales outlets of each sales agency or other designated ways
For the detailed list, please refer to the announcement on the sale of fund units and the relevant adjustment of the sales organization issued by the fund manager at that time
Notice.
The acceptance of the subscription application by the sales agency does not mean that the application is certain to be successful, but only means that the sales agency confirms that
The subscription application was actually received. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application and subscription
Investors shall inquire about the confirmation of shares and properly exercise their legal rights. Due to the investor's negligence in performing this item
The Fund Manager, the Fund Custodian and the Sales Agency, if any of their relevant rights and interests are damaged as a result of inquiry and other obligations
We will not bear the losses or adverse consequences caused thereby.
3. Target
Individual investors, institutional investors, contract investors who can invest in securities investment funds in accordance with laws and regulations
Qualified foreign institutional investors and RMB qualified foreign institutional investors, 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
Subject to the provisions of relevant laws and regulations, the subscription rate of the Fund shall be determined by the Fund Manager,
And listed in the prospectus. The fund subscription fee shall not be included in the fund property.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, the specific amount of interest and the specific amount of interest transfer share 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
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The calculation of subscribed shares shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off
The gains or losses arising from this error shall be borne by the fund property.
3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. Fund investors may subscribe for fund units several times during the fund raising period, and the subscription fee shall be based on each subscription
Purchase requisition is calculated separately. Once the subscription application is accepted, it cannot be revoked.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part V Fund Filing
1、 Conditions for Fund Filing
The total number of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units,
If the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200
The offering period expires or the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and
Engage a legal capital verification institution to verify the capital within 10 days, and report to the CSRC within 10 days from the date of receiving the capital verification report
It will handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund manager shall complete the fund filing procedures and obtain
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not take effect. base
The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
The fund manager shall deposit the funds raised during the fund raising into a special account, and before the end of the fund raising,
No one can use it.
2、 Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Within 30 days after the expiration of the fund raising period, return the amount paid by the investor, and add the bank
Current deposit interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Dan.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract takes effect, the number of fund share holders is less than 200 for 20 consecutive working days
If the net asset value of the fund or the fund is less than 50 million yuan, the fund manager shall report it in the regular report
disclosure; In case of the above circumstances for 60 consecutive working days, the Fund Manager shall, within 10 working days
The CSRC reports and proposes solutions, such as continuous operation, conversion of operation mode, merger with other funds, or
Or terminate the fund contract, and convene a general meeting of fund unit holders within six months.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales outlets will be managed by the fund manager
Listed in the prospectus or other relevant announcements. The fund manager can change or increase or decrease the sales machine according to the situation
And publicized on the fund manager's website. The fund investor shall handle the fund sales business at the sales institution
The subscription and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency. If fund management
The investor or its designated sales agency shall provide telephone, fax or online trading methods, and the investor can
By means of subscription and redemption.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription of fund units on the open day, and the Fund shall set three months for each fund unit
The shortest holding period, that is, from the effective date of the fund contract or the confirmation date of the subscription of fund units to three months after that date
During the month to day period, investors cannot apply for redemption; Three months after the date,
Investors can apply for redemption. If there is no corresponding date in this month, it will be postponed to the next day. have
The transaction time is the trading time on the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange, but
The Fund Manager shall announce the suspension of subscription
Except in case of redemption. The specific business handling time of the open day shall be specified in the prospectus or relevant announcements.
After the Fund Contract comes into effect, if there is a new securities trading market, a change in the trading time of the stock exchange, or
Under other special circumstances, the Fund Manager will adjust the aforesaid opening days and hours accordingly, but
It shall be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date.
2. Start date of subscription and redemption and business handling time
The Fund Manager shall handle the subscription within 3 months from the effective date of the Fund Agreement, and the specific business shall be handled
The processing time shall be specified in the announcement of subscription start.
The Fund Manager shall handle the redemption within 3 months from the effective date of the Fund Contract
The processing time shall be specified in the announcement of redemption commencement.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
The starting time of subscription and redemption shall be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
The fund manager may not handle the subscription of fund units
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Redemption or conversion. The investor puts forward the subscription, redemption or conversion on a date and time other than that specified in the fund contract
The subscription, redemption or conversion price of fund units applied for and accepted by the registration authority shall be the basis of the next open day
The price of subscription, redemption or conversion of gold shares.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices shall be based on the net value of fund units on the application date
Row 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 can be cancelled before the end of the business processing time on that day
It shall not be revoked after the end of business processing time;
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 manager
It must be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must propose within the specific business handling time on the opening day according to the procedures specified by the sales agency
Application for subscription or redemption.
When subscribing for the Fund, investors shall prepare sufficient subscription funds in the manner prescribed by the sales agency. The investor is offering
When submitting the redemption application, ensure that there is sufficient fund unit balance in the account, otherwise the redemption application will be invalid.
2. Payment of subscription and redemption funds
When subscribing for fund units, investors must pay the subscription amount in full within the specified time. Investor Delivery
Subscription funds, subscription establishment; The subscription takes effect when the registration authority confirms the fund units. If the subscription fund is within the specified range
If the subscription is not fully received within the time limit, the subscription will not be established, and the subscription amount will be returned to the investor's account
The gold custodian and the sales agency shall not bear any loss such as interest incurred therefrom.
The redemption is established when the fund unit holder submits the redemption application; The redemption takes effect when the registration institution confirms the redemption.
After the investor's redemption application takes effect, the Fund Manager will pay the redemption amount within T+10 days (including that day).
In case of data transmission delay, communication system failure, bank data delivery
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
System failure or other factors beyond the control of the fund manager and fund custodian affect the business processing flow
The time of transfer of redemption funds shall be postponed accordingly. In case of major redemption or other matters specified in the Fund Contract
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.
3. Confirmation of application for subscription and redemption
For the subscription and redemption applications accepted before the end of the opening hours of the fund business day, the fund manager shall
The open day is the application date for subscription or redemption (T day). Under normal circumstances, the fund registration institution will
To confirm the effectiveness of the transaction. For the valid application submitted on T date, the investor can
(including that day) Check the confirmation of the application at the counter of the sales outlet or in other ways specified by the sales agency. if
If the subscription fails to take effect, the principal of the subscription amount shall be returned to the investor. Sales agency's acceptance of application for subscription and redemption
It does not mean that the application must take effect, but only means that the sales agency has actually received the application for subscription and redemption. Subscription
Whether the redemption application is effective shall be subject to the confirmation result of the registration authority. For confirmation of application for subscription and redemption,
Investors shall timely inquire and properly exercise their legal rights. Due to the investor's delay in performing the inquiry and other obligations,
The Fund Manager, the Fund Custodian and the Sales Agency shall not be liable for the loss of their relevant rights and interests
Loss or adverse consequences.
To the extent permitted by laws and regulations, the Fund registration authority may, in accordance with relevant business rules
The business handling time shall be adjusted, and before the implementation of the adjustment, it shall be designated in accordance with the relevant provisions of the Information Disclosure Measures
Announcements on the media.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor and each redemption
Please refer to the Prospectus or relevant announcements for the specific provisions of the minimum share returned.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See the Prospectus or relevant announcements.
4. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the upper limit of the net subscription proportion of a single day of the Fund
Measures such as rejecting large amount subscription, suspending fund subscription, etc. shall be taken to effectively protect the legitimate rights and interests of holders of stock fund units.
The fund manager can take the above measures to give the fund size
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
To control. Please refer to relevant announcements for specific provisions.
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 minimum fund share balance of each fund transaction account of the investor, and the accumulation of individual investors
The upper limit of fund units held shall be calculated. The fund manager must, before adjustment, comply with the relevant provisions of the Information Disclosure Measures
It is required to publish on the designated media.
6. The Fund Manager has the right to determine the maximum amount of the Fund held by the Fund Unitholders and the
Total scale limit, but it shall be specified at the latest before the implementation of the new limit in accordance with the relevant provisions of the Information Disclosure Measures
Announce on the fixed media.
6、 Purchase and redemption prices, fees and their uses
1. The calculation of the net value of the Fund units and the cumulative net value of the Fund units shall be retained to 4 decimal places, smaller than
The fifth digit after counting shall be rounded off, and the resulting gains or losses shall be borne by the fund property. Fund shares on T day
The net amount and cumulative net value of fund units shall be calculated on T+2 day and announced within T+3 day. In case of special circumstances,
With the consent of the CSRC, the calculation or announcement may be appropriately delayed.
2. Calculation of subscription units and treatment of balance: calculation of subscription units of the Fund and treatment of balance
See the Prospectus for details. The subscription rate of the Fund shall be determined by the Fund Manager, and
And the summary of fund product information. The effective unit of subscription is the net subscription amount divided by the fund unit of the day
Net value, effective unit is share, and the above calculation results are rounded to the decimal point
2, the income or loss arising therefrom shall be borne by the fund property.
3. Calculation and handling method of redemption amount: please refer to the Prospectus for the calculation of redemption amount of the Fund.
The redemption rate of the Fund is determined by the Fund Manager and listed in the Prospectus and the summary of fund product information
Shows. The redemption amount is the effective redemption unit actually confirmed multiplied by the net value of the fund unit on that day and deducted by the corresponding
The unit of redemption amount is yuan. The above calculation results are rounded to the decimal point
2, the income or loss arising therefrom shall be borne by the fund property.
4. The subscription fees shall be borne by the investors and mainly used for the marketing, sales and registration of the Fund
And other expenses shall not be included in the fund property.
5. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned. Redemption expenses shall be included in the fund property in proportion according to relevant regulations, and not included in the fund property
Part of the gold property is used to pay registration fees and other necessary handling fees. Of which, the continuous holding period is less than 7
The investors of the day shall collect no less than 1.5% of the redemption fee and include it in the fund property in full.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
6. The subscription rate and charging method of the Fund units, the specific calculation method and redemption of the subscription units
The specific calculation method of the rebate rate, charging method and redemption amount shall be determined by the Fund Manager in accordance with the provisions of the Fund Contract
And listed in the prospectus. The fund manager may make adjustments within the scope agreed in the fund contract
The rate or charging method shall be in accordance with the Information Disclosure Measures at the latest before the implementation date of the new rate or charging method
The relevant provisions of shall be announced on the designated media.
7. The fund manager may, without violating the provisions of laws and regulations and the fund contract
Make fund promotion plans and carry out fund promotion activities regularly or irregularly. Promotion activities in the fund
During the period, the fund manager may appropriately reduce the fund subscription after fulfilling the necessary procedures as required by the relevant regulatory authorities
Rate and fund redemption rate.
8. In case of large amount subscription or redemption, the fund manager can adopt the swing pricing mechanism to
Ensure the fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws and regulations and the Supervision Department
The provisions of the self-discipline rules.
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. On the current valuation date, more than 50% of the net asset value of the fund has no reference
When the market price is active and the use of valuation techniques still leads to significant uncertainty in the fair value
After the custodian has confirmed through consultation, the fund manager shall suspend accepting the application for fund subscription.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. The Fund Manager's acceptance of one or some subscription applications may affect or damage the holding of existing fund units
When someone has interests.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
Can have a negative impact on the performance of the Fund, or other damage to existing fund share holders as determined by the Fund Manager
The situation of interests.
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 result in a single investor holding the underlying fund
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The proportion of gold fund shares reaches or exceeds 50% of the total fund shares, or evades the aforementioned 50% in disguised form
Concentration.
8. When the subscription of the invested fund accounting for a considerable proportion of the fund assets is suspended, the fund manager may suspend the acceptance
Investor's application for subscription.
9. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to refuse or suspend any of the circumstances other than those in Items 4 and 7 above
When accepting an investor's application for subscription, the Fund Manager shall publish the suspension on the designated media in accordance with relevant regulations
Subscription announcement. If the investor's application for subscription is rejected, the principal of the rejected subscription will be returned to the investment
People. When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner.
8、 Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption
Payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Redemption application of investors or deferred payment of redemption money. The net asset value of the fund on the current valuation date is more than 50%
There is no active market price for the asset to refer to and the use of valuation techniques still leads to significant non existence of fair value
In case of certainty, after consultation and confirmation with the Fund Custodian, the Fund Manager shall postpone the payment of redemption money or temporarily
Stop accepting fund redemption applications.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. Huge redemption occurs for two or more consecutive open days.
5. When continuing to accept a certain redemption application or some redemption applications will damage the interests of existing fund unit holders,
The Fund Manager may suspend accepting redemption applications from investors.
6. When the redemption of the invested fund, which accounts for a considerable proportion of the fund assets, is suspended.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
Under any of the above circumstances, the Fund Manager decides to suspend accepting the redemption application of the Fund Unitholders
Or postpone the payment of redemption money, the Fund Manager shall publish an announcement on the designated media,
The Fund Manager shall pay in full; If the payment cannot be made in full for the time being, the payable part shall be applied as a single account
The proportion of the amount in the total application amount is allocated to the redemption applicant, and the unpaid part can be postponed. If the above paragraph
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The circumstances mentioned in item 4 shall be handled in accordance with the relevant provisions of the fund contract. Fund unit holders can handle matters when applying for redemption
First select to cancel the part that may not be accepted on that day. When the suspension of redemption is eliminated, fund management
People shall promptly resume the redemption business and make an announcement.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of the Fund units within a single open day of the Fund (the total number of redemption application units plus the Fund
After deducting the total number of subscription application units from the total number of transfer out application units during conversion and the transfer in application units during fund conversion
If the balance after the total amount exceeds 10% of the total fund shares on the previous opening day, it is deemed that a huge redemption has occurred.
2. Treatment method of huge redemption
In case of a huge redemption of the fund, the fund manager can decide according to the current asset portfolio of the fund
Full redemption or partial deferred redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption ratio accepted by the fund manager on the same day shall not be less than 10% of the total fund shares on the previous open day
Under the premise of, the remaining redemption applications can be postponed. For the redemption application on that day, it should be based on a single account
The proportion of redemption application amount in the total redemption application amount, and the redemption unit accepted on the current day shall be determined; For the non redeemable part
The investor can choose to postpone or cancel the redemption when submitting the redemption application. Those who choose to postpone redemption,
Will automatically transfer to the next business day to continue redemption until all redemption; If redemption is selected, the current day
Some redemption applications that have not been accepted will be cancelled. The deferred redemption application is together with the redemption application on the next open day
Processing, no priority and the redemption amount is calculated based on the net value of fund units on the following open day, and so on,
Until all redemption. If the investor fails to make a clear choice when submitting the redemption application, the investor fails to redeem
Some will be automatically postponed for redemption. Some deferred redemptions are not subject to the limit of minimum shares for single redemption.
(3) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can postpone the payment
The redemption money shall not exceed 20 working days and shall be announced on the designated media.
(4) If the fund is redeemed in a large amount, the single fund share holder will exceed 20% of the total fund shares
In the case of the above redemption application, the Fund Manager may postpone the application for redemption. Fund manager is working
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
On the premise that the proportion of redemption accepted per day is not less than 10% of the total fund shares of the previous open day, the rest of the redemption applications
Extension of time. For the redemption application on that day, the proportion of the redemption application amount of a single account in the total redemption application amount shall be
Proportion, to determine the redemption units accepted on that day; For the part that has not been redeemed, when the investor submits the redemption application
Redemption can be postponed or cancelled. If you choose to postpone redemption, it will be automatically transferred to the next open day to continue
Redemption until full redemption; If you choose to cancel redemption, some redemption applications that have not been accepted on that day will be
revoke. The deferred redemption application shall be processed together with the redemption application on the next open day, without priority and open to the next
The redemption amount is calculated on the basis of the net value of the fund units on the day of, and so on, until all the funds are redeemed. Such as investment
The investor did not make a clear choice when submitting the redemption application, and the part that the investor failed to redeem will be automatically postponed for redemption.
3. Announcement of massive redemption
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall mail, fax or call
In other ways specified in the prospectus, notify the fund share holders within three working days, stating the relevant handling party
And publish an announcement on the designated media within 2 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 designate 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 funds, and publish the net value of fund units in the latest open day; as
If the suspension occurs for more than one day, the fund manager may increase the number of announcements as required, but the fund management
The manager shall publish the re opening application on the designated media at the latest on the re opening day in accordance with the Information Disclosure Measures
The announcement of purchase or redemption, or the time of reopening purchase or redemption is specified in the announcement of suspension according to the actual situation,
At that time, no further announcement of reopening 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 the conversion business with other funds managed by the fund manager, a certain conversion fee may be charged for fund conversion,
The relevant rules shall be formulated and announced by the Fund Manager in accordance with relevant laws and regulations and the provisions of this Fund Agreement,
And inform the Fund Custodian and relevant institutions in advance.
12、 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
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Conduct in accordance with relevant laws and regulations or the way required by the competent authorities of the state. Regardless of the above
Under such circumstances, the subject receiving the transfer must be an investor who can hold the fund shares of the Fund according to law, or
It shall be implemented in the manner required by laws and regulations or national authorities.
Inheritance refers to the death of the fund unit holder, and the fund units held by him shall be inherited by his legal successor;
Donation means that fund share holders donate their legally held fund shares to welfare foundations or societies
Association; Judicial enforcement means that the judicial authority holds
Fund units are forcibly transferred to other natural persons, legal persons or unincorporated organizations.
Relevant materials required by the fund registration authority must be provided to handle non transaction transfer
The application for non transaction transfer shall be handled in accordance with the provisions of the fund registration authority, and shall be received in accordance with the standards prescribed by the fund registration authority
Fees.
13、 Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
A sales agency may collect the transfer custody fee according to the prescribed standards.
14、 Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be set by the Fund Manager in the
It is determined in the announcement or updated prospectus issued at that time. When the investor handles the regular and quota investment plan
The amount of deduction for each period can be agreed on its own, and the amount of deduction for each period must not be less than that of the fund manager in the relevant announcement or
The minimum subscription amount of the fixed investment plan specified in the new prospectus.
15、 Freeze, unfreeze, pledge and transfer 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. If the fund shares are frozen,
The frozen shares still participate in income distribution, and the rights and interests generated by the frozen shares are frozen together. laws and regulations
Unless otherwise specified by the regulatory authority.
The fund manager may handle the pledge business of fund units in accordance with laws and regulations or the provisions of the regulatory authority,
And formulate corresponding business rules.
If permitted by laws and regulations and conditions are met, the Fund Manager may accept the Fund Unitholders
The application for share transfer through the trading place or trading method recognized by the CSRC shall be submitted by the registration authority
Handle the transfer registration of fund units. If the Fund Manager intends to accept the transfer of fund units, it will make an announcement in advance,
Fund unit holders shall handle the transfer of fund units in accordance with the business rules announced by the Fund Manager.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
16、 The Fund Manager may, without violating the relevant laws and regulations or generating any benefit to the Fund Unitholders
On the premise of material adverse effects, supplement and adjust the above subscription and redemption arrangements according to the specific circumstances
The consolidation shall be announced in advance, without the need to convene a general meeting of fund share holders for deliberation.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Legal representative: Yang Ping
Date of establishment: July 26, 2016
Approval authority and approval document number: CSRC, ZJXK [2016] No. 1309
Organizational form: limited liability company
Registered capital: RMB 240 million
Duration: continuous operation
Tel: 021-80299000
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise shareholders' rights against the invested company and the invested fund for the benefit of the fund in accordance with laws and regulations
And the rights of fund share holders to exercise the rights arising from the investment of fund assets in securities and funds for the benefit of the Fund
Rights;
(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
Performing other legal acts;
(15) If the Fund held by the Fund convenes a general meeting of fund share holders, the Fund Manager shall
The relevant voting rights can be exercised on the premise that the interests of fund share holders have priority;
(16) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(17) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion, fixed investment and non trading transfer;
(18) 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
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Management, separate bookkeeping, securities and fund investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report of the Fund;
(11) Information disclosure and
Reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, and provide necessary letters to regulatory authorities, judicial authorities or external professional consultants such as audit and law
Except in the case of interest;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the raising period, and the Fund Contract cannot
Effective, the fund manager shall bear all the raising costs, and add the raised funds to the current deposit interest of the bank 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: Industrial and Commercial Bank of China Limited
Address: No. 55, Fuxingmennei Street, Xicheng District, Beijing (100032)
Legal representative: Chen Siqing
Time of establishment: January 1, 1984
The establishment approval authority and the establishment approval document number:
Decision on Administrative Functions (GF [1983] No.146)
Organizational form: limited liability company
Registered capital: 356406257100 yuan
Duration: continuous operation
Approval document and document number of fund custody qualification: ZJJZ [1998] No. 3 of China Securities Regulatory Commission
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include but do not include
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
be limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
Report to the CSRC and take necessary measures to protect the interests of fund investors;
(4) Open securities accounts, fund accounts, capital accounts and other investment accounts for funds according to relevant market rules
The account required for capital shall handle the clearing of securities and fund transaction capital 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 Operating Measures and other relevant provisions, the obligations of the Fund Custodian include but do not include
be limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract, the Custody Agreement and other relevant provisions
Use the fund assets to seek benefits for themselves and any third party, and may not entrust a third party to trust the fund assets;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account, fund account and investment of the Fund as required
Other accounts required, according to the Fund Agreement and the Custody Agreement
Investment orders, timely handling of clearing and settlement matters;
(7) Keep fund business secrets, except for the Fund Law, the Fund Contract, the Custody Agreement and others
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Unless otherwise specified in relevant regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others
Except for the case where the regulatory authority, judicial authority or external professional consultants such as audit and law consultants provide necessary information;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Accumulated net value of the amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the operation of the Fund Manager in all important aspects is strictly in accordance with the Fund Contract and the Custody Agreement
Specified; If the Fund Manager fails to implement the provisions of the Fund Contract and the Custody Agreement,
It shall also state whether the Fund Custodian has taken appropriate measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Receive and keep the register of fund unit holders from the fund manager or its entrusted registration institution;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund share holders or to cooperate with the fund manager and fund share holders to convene a general meeting of fund share holders in accordance with the law;
(16) Supervise the Fund Manager in accordance with laws and regulations, the Fund Contract and the Custody Agreement
Investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And the banking regulatory authority, and notify the fund manager;
(19) In case of any loss of fund property due to violation of the Fund Contract or the Custody Agreement, it shall bear compensation
The liability for compensation shall not be exempted by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) If the fund manager participates in the general meeting of fund share holders held by the fund, it is necessary to
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Written opinions on the voting opinions of the manager;
(22) Implement the effective resolutions of the general meeting of fund share holders;
(23) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
3、 Fund share holders
The fund investor's holding of fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund investor will become the fund share holder and the fund investor will become the fund share holder
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Each fund unit has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Apply for redemption or transfer of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) To pay the fund subscription and subscription amount and the fees prescribed by laws and regulations and the Fund Contract,
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
And actively inquire about the confirmation of the transaction application;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Provide the information required by the fund manager and regulatory authority according to law, and update and
Supplement and ensure its authenticity, accuracy and integrity;
(10) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Each fund share held by the fund share holder
We have equal voting rights.
The National People's Congress of the holders of Fund units does not have a daily institution.
1、 Reason for convening
1. When one of the following events occurs or needs to be decided, except for laws and regulations, fund contract or China Securities
Unless otherwise stipulated by the CSRC, a general meeting of fund unit holders shall be held:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated on the basis of fund units on the day when the Fund Manager receives the proposal, the same below)
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Without violating the laws and regulations and the provisions of the Fund Contract, and without realizing the interests of the Fund Unitholders
Under the premise of qualitative adverse effects, the following circumstances can be modified after consultation between the Fund Manager and the Fund Custodian, none
To convene a general meeting of fund share holders:
(1) Lower the fees that should be borne by the Fund other than management fees and custody fees;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(2) Collection of fund fees increased as required by laws and regulations;
(3) Adjust the subscription rate or charge of the Fund within the scope of laws and regulations and the Fund Contract
Fee method and lower redemption rate;
(4) Within the scope of laws and regulations and the fund contract, the existing fund share holders shall not be increased
Under the premise of applicable rate, adjust the setting of fund share category, establish new fund share category, and add new
To adjust the classification methods and rules of fund units and stop the sale of existing fund units;
(5) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(6) 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;
(7) The fund manager, registration institution, and fund sales institution are required by laws and regulations or the CSRC
Adjust the business regulations related to subscription, subscription application, redemption, conversion, non trading transfer, custody transfer, etc. within the permitted scope
Then;
(8) The Fund launches new businesses or services;
(9) 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
Convening by the fund manager;
2. If 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
And the Fund Manager shall cooperate;
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
The Fund Manager shall be convened and notified within 60 days from the date of the meeting, and the Fund Manager shall cooperate;
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
The fund share holders with more than 10% (including 10%) of the fund shares in the table have the right to convene the meeting on their own and at least in advance
30 Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law,
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere with them;
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. The convener shall, 30 days before the convening of the general meeting of fund unit holders
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
4、 Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders can be held by means of on-site meeting, communication meeting or laws and regulations, China
The convening method of the meeting shall be determined by the convener of the meeting. Fund manager
The Fund Custodian shall provide convenience for the Fund Unitholders to exercise their voting rights.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than 1/2 (including 1/2) of the total fund units 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
The form or other means specified in the notice of the meeting shall be delivered to the address designated by the convener before the deadline for voting. through
The meeting shall vote in writing or in other ways specified in the meeting notice.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) The convener of the meeting shall publish the notice of the meeting in accordance with the Fund Contract, and within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The fund shares held by someone shall not be less than 1/2 (including 1/2) of the total fund shares on the equity registration date;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and conform to the records of the fund registration authority;
(5) The notice of the meeting shall be submitted to the CSRC for filing before it is published.
3. With the permission of laws and regulations or regulatory authorities, the notice of the meeting states that the fund shares held
The National People's Congress can be held via the Internet, telephone, SMS or other means, and fund share holders can also use the Internet
Voting through network, telephone, SMS or other means, or granting by network, telephone, SMS or other means
The convener of the meeting shall determine the specific method of attending the meeting and voting on behalf of others and list it in the notice of the meeting.
4. If the fund units of fund unit holders attending the general meeting of fund unit holders are lower than those in the above paragraph
If the proportion specified in Item 1 (2) or Item 2 (3
The fund unit holding shall be reconvened three months later and within six months after the meeting is held on the matters originally scheduled for consideration
General meeting of people. The reconvened general meeting of fund unit holders shall have more than 1/3 of the record date of representative equity (including
1/3) The meeting can be held only when the fund unit holders or their agents of fund units attend.
5、 Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the general meeting of shareholders.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than 1/2 (including 1/2) of the voting rights held by the agent shall elect a fund share holder as this time
The chairperson of the general meeting of fund share holders. The Fund Manager and the Fund Custodian refuse to attend or preside over the Fund
The general meeting of fund share holders shall not affect the validity of the resolutions made at the general meeting of fund share holders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 5 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
6、 Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than 1/2 (including 1/2) of the voting rights shall be valid; Special resolution is required except as provided in item 2 below
Matters other than those passed 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 only be made after more than 2/3 (including 2/3) of the voting rights are approved. Unless otherwise stipulated by laws and regulations and the CSRC
Or unless otherwise agreed in the Fund Contract, change the operation mode of the fund, change the fund manager or fund custody
The termination of the Fund Contract and the merger with other funds shall be effective only if a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as an effective attendance of the investor
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total number of fund units represented by the fund unit holders who issue voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has different opinions on the voting results submitted
The number of votes demanded may be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
8、 Effectiveness and announcement
Matters decided at the general meeting of fund share holders shall take effect from the date of voting.
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall be announced on the designated media within 2 working days from the effective date. as
If voting is carried out by means of communication, the notarial certificate must be completely
The document, the name of the notary office and the notary public will be announced together.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
9、 Procedures for Participation in the General Meeting of Fund Unitholders of Funds Held by the Fund
When the fund held by the Fund holds a general meeting of fund unit holders, the Fund Manager shall represent the Fund
The interests of gold unit holders shall participate in the general meeting of fund unit holders in accordance with the provisions of the fund contract,
And exercise the relevant voting rights on the premise that the interests of the Fund Unitholders have priority. fund management
The voting opinions shall be solicited from the Fund Custodian in advance, and shall be disclosed in the periodic report
Dew.
The procedures of laws and regulations for convening a general meeting of fund share holders for the Fund to participate in the Fund held by the Fund
If there are other provisions in the order or requirements, the provisions shall prevail.
10、 This part deals with the causes, conditions, procedures and voting of the general meeting of fund share holders
Conditions and other provisions, which directly refer to laws, regulations or regulatory rules, such as future laws, regulations or regulations
The amendment of the rules results in the cancellation or change of the relevant contents, or the new general meeting of fund share holders in laws and regulations
If yes, the Fund Manager and the Fund Custodian can directly enter into the content of this section after reaching consensus and making an announcement in advance
It is unnecessary to hold a general meeting of fund share holders to review the amendment and adjustment.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution is formed by the fund manager of
If it is approved by more than 2/3 (including 2/3) of the votes, it will take effect from the date of approval;
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 select the fund manager must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
After the resolution of the general meeting of shareholders takes effect, it shall be announced in the designated media in accordance with the relevant provisions of the Information Disclosure Measures;
6. Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The Fund Manager or the new Fund Manager shall take over in a timely manner. Temporary fund manager or new fund manager
The total value and net value of the Fund's assets shall be checked 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. audit
The fees shall be borne by the fund property;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within six months after the termination of the duties of the Fund Custodian
The Fund Custodian of
If it is approved by more than 2/3 (including 2/3) of the votes, it will take effect from the date of approval;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
After the resolution of the general meeting of shareholders takes effect, it shall be announced in the designated media in accordance with the relevant provisions of the Information Disclosure Measures;
6. Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody business
Information, timely handle the transfer procedures of fund assets and fund custody business, and appoint a new fund custodian or temporarily
The Fund Custodian shall take over in a timely manner. Check between the temporary fund custodian or the new fund custodian and the fund manager
The total value and net value of the Fund's 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. audit
The fees shall be borne by the fund property.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian.
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new Fund Manager and Fund Custodian shall change the Fund Manager and Fund Custodian
After the resolution of the general meeting of fund share holders of the custodian takes effect, it shall be designated in accordance with the relevant provisions of the Information Disclosure Measures
Joint announcement on the media.
3、 The new fund manager or temporary fund manager receives fund management business, or the new fund custodian or
Before the temporary fund custodian receives the fund assets and the fund custody business, the original fund manager or the original fund custodian
They shall continue to perform their relevant duties and ensure that they will not commit any act that may damage the interests of fund share holders.
The original Fund Manager or Fund Custodian is still entitled to continue to perform relevant duties in accordance with the Fund Agreement
Stipulate the collection of fund management fees and fund custody fees.
4、 The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
References to laws, regulations or regulatory rules, such as changes in laws, regulations or regulatory rules that result in relevant content being taken
In case of cancellation or change, the Fund Manager and the Fund Custodian may, after reaching an agreement through consultation and making an announcement in advance, directly
It is not necessary to hold a general meeting of fund share holders for deliberation.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall enter into a contract in accordance with the Fund Law, the Fund Contract and other relevant provisions
Escrow Agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
Obligations and responsibilities to ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XI Registration of Fund Units
1、 Fund share registration business
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf of others, establishing and keeping the register of fund share holders and handling non trading transfer.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
Handling. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall sign an entrustment agreement with the agent
The fund manager and the agent shall make clear the fund account management, fund share registration
The right to liquidate and confirm fund transactions, distribute dividends, establish and keep the register of fund share holders and other matters
And obligations to protect the legitimate rights and interests of fund share holders.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. Within the scope permitted by laws and regulations, the time for handling registration business shall be adjusted, and
The relevant regulations shall be announced on the designated media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract
Service;
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institutions recognized by the CSRC. Its retention period shall not start from the date of cancellation of the fund account
Less than 20 years;
4. Having the obligation to keep confidential the fund account information of the fund share holder
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The investor or the fund shall bear the corresponding compensation liability for the losses incurred, but the judicial compulsory inspection of the situation and laws
Except for other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract;
5. Handle non trading transfer business for investors and provide
Other necessary services;
6. Accept the supervision of the fund manager;
7. If the fund manager or fund unit holder suffers losses due to the reasons of the registration authority
Law shall bear the corresponding liability for compensation;
8. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XII Investment of the Fund
1、 Investment objectives
Under the premise of strictly controlling risks and maintaining good liquidity of fund assets, the Fund deeply explores and optimizes
The Fund shall construct investment portfolio and strive to obtain long-term stable excess return for fund share holders.
2、 Investment scope
The Fund invests in publicly offered funds approved or registered by the CSRC according to law (hereinafter referred to as "public offering funds")
Raised funds), domestic legally issued and listed stocks, bonds and other financial instruments, laws and regulations or China Securities Regulatory Commission
Other financial instruments that will allow the Fund to invest. Specifically: public funds (including stock funds and hybrid funds)
T-funds, bond funds, money market funds, QDII funds, ETF funds, LOF funds, commodities
Futures funds and other publicly offered securities investment funds approved or registered by the CSRC), stocks (including
SME Board, GEM and other stocks approved by the CSRC for listing), bonds (including national debt, financial bonds
Central bank notes, corporate bonds, corporate bonds, medium-term notes, local government bonds, subordinated bonds, convertible bonds (including
Separately traded convertible bonds), exchangeable bonds, short-term financing bonds, etc.), bond repurchase, bank deposits (including
Deposits, time deposits and other deposits), asset-backed securities, interbank 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 requirements of the CSRC
Relevant regulations).
For other types of investment permitted by laws and regulations or the regulatory authority in the future, the Fund Manager shall perform the following procedures:
After the procedure, it can be included in the scope of investment, and can be adjusted in a timely and reasonable manner according to the then effective laws and regulations
The whole investment scope.
The proportion of the Fund's investment portfolio is: the Fund invests in public securities approved or registered by the CSRC according to law
The proportion of raised fund units shall not be less than 80% of the assets of the Fund, and shall be invested in equity assets (including stocks
Equity funds and hybrid funds) account for 0% - 50% of the Fund's assets; At the end of each trading day,
Cash or government bonds with a maturity of less than one year shall not be less than 5% of the net asset value of the fund, excluding cash
Settlement provisions, deposits, subscription receivables, etc.
If laws and regulations or the CSRC changes the investment proportion limit of investment varieties, the Fund Manager shall
After proper procedures, the investment proportion of the above investment varieties can be adjusted.
3、 Investment strategy
（1） Asset allocation strategy
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
1. Strategic asset allocation
The income performance of various assets is mainly determined by economic growth, corporate profits, price level and asset valuation level
Determined by various factors. In the long run, these decisive factors have their own periodic fluctuations based on
With this theory, the Fund will adopt flexible asset allocation strategies, and determine each major asset through the scoring system of major categories of assets
The strategic asset allocation proportion center of Class A assets in the Fund's assets.
The Fund's major asset rating system mainly includes A-share market, overseas stock market and bond market
Scoring system. Each scoring system selects various dimensions that affect the performance of asset returns for quantitative comprehensive evaluation,
For different dimensions, different weights are given according to their importance. The specific assessment dimensions are as follows:
(1) Market valuation analysis: track and evaluate the market valuation level, including the stock price earnings ratio
Net ratio, yield to maturity of bonds, etc; When the stock valuation is on the high side, the attractiveness of stock assets decreases,
When the yield to maturity of bonds is low, the attractiveness of bond assets decreases.
(2) Economic growth and corporate profitability analysis: tracking macroeconomic growth and corporate profitability
Assessment, including GDP, industrial added value, industrial enterprise profits, etc; When economic growth goes up, it is beneficial to
Stock assets and bond assets perform better when economic growth declines.
(3) Comparative analysis of major categories of assets: track and evaluate the historical yield of stocks and bonds
When the relative cumulative increase of ticket assets is too large, there is a great possibility of phased withdrawal in the future
When the relative cumulative growth rate drops significantly, the probability of future yield recovery is high.
(4) Analysis of capital status: tracking and evaluating the scale of capital supply and demand and the level of interest rate, including currency
Supply volume, social financing scale, new loans, new capital in stock market, market interest rate, etc. When the market interest rate
Yes, when capital flows into the stock market significantly, it is more conducive to equity assets. When the market interest rate goes up, the capital flows out significantly
In the stock market, equity assets perform worse.
(5) Analysis of market risk appetite: tracking and evaluating the risk appetite of the stock market, including
Trading discount rate, futures premium and discount, etc; When the market risk appetite increases, it is conducive to the performance of stock assets. When
When the market risk appetite decreases, it is not conducive to the performance of stock assets.
(6) Price level analysis: track and evaluate the price level, including CPI, PPI, etc
When the level goes up, it is not conducive to the performance of bond assets. When the price level goes down, it is conducive to the bond asset table
Now.
Through the regular tracking evaluation of the above different dimensions, the comprehensive scores of various assets are obtained, and based on the following
The following principles determine the strategic asset allocation proportion range of various assets.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
1) Invest in equity assets (including shares) when the score of equity assets is in the sell signal range
Vote, stock fund and hybrid fund) account for 0% - 20% of the Fund's assets;
2) Invest in equity assets (including shares) when the score of equity assets is in the neutral signal range
Vote, stock fund, hybrid fund) accounts for 10% - 35% of the Fund's assets;
3) Invest in equity assets (including shares) when the score of equity assets is in the buy signal range
Vote, stock fund, hybrid fund) accounts for 35% - 50% of the Fund's assets;
4) The allocation proportion of overseas equity assets shall not exceed 30%.
2. Tactical Asset Allocation
The long-term return rate of various assets is determined by macroeconomic, valuation level and other factors, but due to various uncertainties
The occurrence of certain events will lead to changes in market sentiment, and will also lead to medium - and short-term trend opportunities or retreat risks in the market
Insurance. In order to enhance the effectiveness of asset allocation and the stability of fund income, the fund manager can
Market judgment in the short and medium term in the future, and short-term adjustment within the scope of strategic asset allocation by using the asset optimization model
Whole.
The asset optimization model adopted by the Fund will combine event driven qualitative evaluation with quantitative model
To analyze the short-term trend of various types of assets and improve the probability of being on the rising channel or short-term trend from weak to weak
The proportion of strong category assets reduces the proportion of category assets in the downward channel or short-term trend from strong to weak
Example. Under extreme market conditions, equity assets can
The proportion shall be adjusted to 0% at least.
（2） Fund investment strategy
After determining the allocation proportion of each major category of assets through the analysis of strategic and tactical asset allocation, we further
The sub funds in various categories of assets are screened. Based on systematic research on existing fund products, the Fund will
Through the combination of quantitative analysis and qualitative analysis, select high-quality funds suitable for various market styles
The product is the object of asset allocation.
1. Quantitative analysis
The Fund uses the quantitative evaluation system to evaluate the performance of various types of funds under different market styles
Line evaluation. Funds are mainly divided into equity, bond, money market, commodity and QDII.
(1) The quantitative analysis of equity funds is mainly based on the medium and long-term performance, withdrawal control, timing ability
Four indicators of stock capacity, scoring the performance of various equity funds in different styles of markets.
(2) The quantitative analysis of bond funds is mainly through medium and long-term performance, withdrawal control, and timing of credit bonds
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Power, interest rate debt timing ability, timing ability, stock selection ability
Score the performance.
(3) The quantitative analysis of commodity funds is mainly based on tracking error and fund size
Now give a score.
(4) QDII funds can also be further divided into equity, bond and commodity QDII funds according to
The evaluation is carried out according to the quantitative analysis method of the above classification, and the passive index fund is taken as the main allocation target.
According to the comprehensive score after weighted calculation of each sub item, select the fund with outstanding performance under various market styles
Manage high-quality funds and build a basic fund pool.
2. Qualitative analysis
Through in-depth research, interview and tracking, comprehensively consider the investment philosophy and investment style of fund companies and fund managers
Qualitative screening of high-quality funds from such dimensions as personality, investment behavior and team support; Cross validation with quantitative analysis
Then, determine the core pool of the fund.
3. Post investment tracking
Track and understand the investment views of fund managers through post investment performance analysis, regular communication and other ways.
The quantitative analysis of performance is mainly based on the analysis of the positions published in the quarterly report of the fund and the change of the net value of the fund
Gold position style. Adjust the position of the Fund based on the communication between the quantitative analysis results and the fund manager
Structure.
（3） Stock investment strategy
The Fund invests in stocks based on the concept of absolute return. Measure from valuation, share price, performance and other dimensions
The safety margin of listed companies can be evaluated by means of chemical analysis; From management, business model, long-term profitability of business, etc
Dimension for qualitative analysis; Through the comprehensive evaluation of quantitative analysis and qualitative analysis, screen for sustainable profitability
The listed company of Li is the key tracking target. At the same time, combine the company's product price, sales volume, cost changes
Business expansion and other factors select key tracking targets where performance inflection points or performance continues to improve
Portfolio.
（4） Bond investment strategy
Through the analysis of macroeconomic fundamentals, grasp the direction of monetary policy and regulatory policy, and form the future interest rate
Predict the trend, dynamically adjust the portfolio duration on this basis, and manage interest rate risk. Under the expected yield curve
If the expected return curve moves upward, the duration will be increased; if the expected return curve moves upward, the duration will be reduced. By comparing term interest margin and credit interest
Poor analysis, investing in terms and securities with higher relative value. In terms of credit debt, from top to bottom
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Change in industry profitability, invest in industries with improved landscape, and control from bottom to top based on analysis of enterprise fundamentals
Control credit risk. In terms of convertible bonds, through studying the fundamentals of regular shares, analyzing the terms and valuation of convertible bonds
Convertible bonds with good fundamentals and low valuation.
（5） Asset backed securities investment strategy
The Fund will study the macro economy, the market interest rate of asset-backed securities, the terms of issue, and the supporting funds
The composition and quality of the assets, the boom of the asset pool industry, the prepayment rate, risk compensation income and
Market liquidity and other fundamental factors, predict the change of future cash flow of asset pool, and
Income structure arrangement, simulating the cash flow process of principal repayment and interest income of asset-backed securities
Combine various pricing models to evaluate their intrinsic value.
4、 Investment restrictions
1. Combination restrictions
(1) The ratio of the Fund's investment in publicly offered fund units approved or registered by the CSRC according to law
For example, not less than 80% of the Fund's assets, invest in equity assets (including stocks, equity funds, hybrid funds)
Type fund) accounts for 0% - 50% of the Fund's assets;
(2) At the end of each trading day of the Fund, cash or government bonds with maturity of less than one year account for
The proportion of net asset value of gold shall not be less than 5%, and cash does not include settlement reserves, deposits and purchase receivables
Payment, etc;
(3) The market value of a single fund held by the Fund shall not be higher than 20% of the net asset value of the Fund, and shall not
Holding funds in other funds;
(4) All funds (except ETF feeder funds) managed by the Fund Manager hold a single fund
The fund shall not exceed 20% of the net assets of the invested fund
The disclosed scale shall prevail;
(5) The proportion of the Fund's investment in money market funds shall not exceed 15% of the Fund's assets;
(6) The operation period of the fund invested by the Fund shall not be less than one year
The net assets of the fund shall not be less than 100 million yuan;
(7) The proportion of the Fund's investment in restricted funds shall not exceed 10% of the net asset value of the Fund; flow
General restricted funds refer to closed-end funds, regular open-ended funds, etc., which are explicitly stipulated in the fund contract within a certain period
Non redeemable funds within the lock up period, but excluding ETF, LOF and other funds that can be listed and traded;
(8) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(9) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the coupon;
(10) All open-ended funds managed by the Fund Manager hold tradable funds issued by a listed company
Shares shall not exceed 15% of the tradable shares of the listed company; All investment groups managed by the Fund Manager
The number of tradable shares jointly held by a listed company shall not exceed 30% of the tradable shares of the listed company;
(11) 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;
(12) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
15%；
(13) 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;
(14) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(15) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All of them will be sold within 3 months from the date of release of the level report;
(16) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(17) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed
40% of the net asset value of gold, the maximum term of bond repurchase is one year, and the bond repurchase cannot be extended after maturity;
(18) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(19) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net asset value of the Fund
15% of; Other than fund managers due to fluctuations in the securities market, stock suspension of listed companies, changes in fund size, etc
If the fund does not meet the proportion limit specified in Item (19) due to factors of
Investment in restricted liquidity assets;
(20) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the fund contract
bring into correspondence with;
(21) Other investment proportion restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Factors other than fund managers, such as fluctuations in the securities market, mergers of securities issuers, changes in fund size, etc
The Fund Manager shall
Adjustment shall be made within 20 trading days
The fund manager shall make adjustment within 10 trading days under other circumstances specified by the CSRC
Except under special circumstances. Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months from the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio consistent with
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Agreement
Start.
If laws and regulations change the above investment proportion restrictions, the changed provisions shall prevail, but
It can be included in the scope of investment supervision only after consultation with the Fund Custodian. Cancellation of the above restrictions by laws and regulations or regulatory authorities
If applicable to the Fund, the Fund Manager will no longer be subject to relevant
Restrictions, but shall be announced in advance.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Holding funds in other funds; Or holding fund shares with complex and derivative nature, including
Including classified funds and other fund units recognized by the CSRC, and special funds recognized or approved by the CSRC
Except the fund in the fund; Or invest in Hong Kong mutual recognition fund shares, stock index futures, treasury bond futures and stock options;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and provisions of the CSRC.
Laws and regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
After the Manager has performed the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or the changed provisions shall prevail,
It does not need to be reviewed by the general meeting of fund share holders.
3. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Securities, or other major related party transactions, shall comply with the investment objectives and investment strategies of the Fund and follow
The principle of giving priority to the interests of fund share holders, preventing conflicts of interest, establishing and improving internal approval mechanisms and evaluation mechanisms
The system shall be implemented according to the fair and reasonable price in the market. Relevant transactions must be approved by the Fund Custodian in advance, and
It shall be disclosed in accordance with laws and regulations, unless otherwise specified by laws and regulations. Major related party transactions shall be submitted to fund management
The board of directors of the manager reviewed and approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related party transactions every half a year.
5、 Performance Benchmark
Benchmark for performance comparison of the Fund: CSI 300 Index yield * 25%+China Bond Total Index (full price)
Yield * 75%.
The CSI 300 Index is compiled by China Securities Index Co., Ltd. and selected from the Shanghai and Shenzhen stock markets
300 A-shares as the comprehensive index of the sample; The sample selection criteria are large and liquid stocks,
At present, the Shanghai and Shenzhen 300 index sample covers about 60% of the market value of the Shanghai and Shenzhen markets, with good market representation.
The China Bond General Index (full price) was established by the Central Government Securities Depository and Clearing Co., Ltd. in December 2001
The bond index launched on the 31st. It represents the trend of China's bond market and is also the management of bond portfolio investment
An effective tool for performance evaluation. In order to grasp the general price level and fluctuation range of China's bond market, China Bond Index
It provides a good basis for measuring the level of return on bond investment and judging the trend of bond supply and demand.
The Fund invests in equity assets (including stocks, equity funds and hybrid funds) in the operation process
Accounting for 0% - 50% of the Fund's assets. Therefore, "CSI 300 Index yield * 25%+China Bond Index"
The "digital (full price) yield * 75%" is a benchmark suitable for measuring the investment performance of the Fund.
If the laws and regulations change in the future, or there are more authoritative and widely accepted achievements in the market
When a benchmark is launched or an index more suitable for the performance benchmark of the Fund appears in the market
The Fund Manager and the Fund Custodian may, upon consensus, change the performance of the Fund after filing with the CSRC
Benchmarks shall be compared and announced in a timely manner, without the need to convene a general meeting of fund share holders. If the Fund's performance benchmark
When the index referenced will not be released in the future, the fund manager can maintain the legitimacy of fund share holders
The principle of equity is to select similar
Or an alternative index can be used as the reference index of the performance benchmark, without the need to convene a general meeting of fund share holders.
6、 Risk return characteristics
The Fund is a hybrid fund, whose risk and expected return are lower than those of equity funds and higher than those of bonds
T-funds and money market funds.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
7、 Principles and methods for the Fund Manager to exercise relevant rights on behalf of the Fund
1. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with relevant national regulations and protect the Fund
The interests of the holder;
2. Do not seek to control the listed company or participate in the operation and management of the invested 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.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to all kinds of funds, marketable securities, principal and interest of bank deposits
The total value of receivables and other assets.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts and securities accounts for the Fund in accordance with relevant laws, regulations and normative documents
Account, fund account and other special accounts required for investment. The special fund account opened with the fund manager
Proprietary property accounts and other fund property accounts of the fund custodian, fund sales agency and fund registration agency
The household is independent.
4、 Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody by the gold custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Some assets bear their own legal liabilities, and their creditors shall not apply for freezing or withholding of the Fund's assets
Pledge or other rights. Unless otherwise disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets shall not be disposed of
Points.
The Fund Manager and the Fund Custodian were dissolved, dissolved or declared bankrupt according to law
In case of liquidation, the fund assets shall not belong to its liquidation assets. Assets of fund manager management and operation fund assets
The generated creditor's rights may not offset the debts generated by its inherent assets; Different bases for fund manager management and operation
The creditor's rights and liabilities arising from the fund assets of the fund shall not offset each other. Liabilities not due to the fund property itself,
It shall not enforce the fund assets.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities exchange of the Fund and national laws and regulations
It is required to disclose the net value of the fund to the public on non trading days.
2、 Valuation object
Other fund shares, stocks, bonds, principal and interest of bank deposits, accounts receivable and others owned by the Fund
Investment and other assets and liabilities.
3、 Valuation method
1. Fund valuation method
(1) Valuation of unlisted funds
Valuation of the Fund's investment in unlisted funds:
① The domestic non money market funds invested by the Fund shall be based on the net value of fund shares on the valuation date of the invested fund
Valuation.
② The domestic money market funds invested by the Fund shall be calculated from the previous valuation date to the valuation date
The fund income is withdrawn on the valuation day for ten thousand earnings (including holidays).
(2) Valuation of listed funds
Valuation of the Fund's investment in exchange listed funds:
① ETF funds, domestic listed term open-ended funds and closed-end funds invested by the Fund shall be subject to
Valuation of the closing price of the invested fund on the valuation date.
② The domestic listed open-ended fund (LOF) invested by the Fund is based on the fund on the valuation date of the invested fund
Valuation of net worth of shares.
③ For the domestic listed and traded money market funds invested by the Fund, if the net value of shares of the invested funds is disclosed,
The valuation shall be based on the net value of the shares on the valuation date of the invested fund; If the invested fund discloses ten thousand (hundred) returns,
It shall be calculated according to the ten thousand (100) share income of the invested fund from the previous valuation date to the valuation date (including holidays)
Fund income on the valuation date.
(3) If the invested fund does not disclose the net value of the fund unit, converts or splits it, and fails to pay on the valuation date
Under special circumstances such as ease, the Fund Manager shall conduct valuation according to the following principles:
① If the valuation is based on the net value of the fund units of the invested fund, if the valuation frequency of the invested fund and the fund is one
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
To the extent that the net value of fund units on the valuation date has not been published, the valuation shall be based on the recently published net value of fund units.
② If the valuation is based on the closing price of the invested fund, if there is no transaction on the valuation date, and the market environment after the latest transaction
In case of major changes, the valuation shall be based on the closing price of the most recent trading day; For example, the market environment has changed significantly since the recent trading day
In case of major changes, the latest net value of fund units can be used as the basis or the current market price and
Significant change factors adjust the market price of the latest transaction to determine the fair value.
③ In case of dividend, conversion or split between the previous valuation date and the valuation date of the invested fund
The fund manager shall, according to the net value or closing price of the fund units, the amount of dividends per unit fund unit, the conversion split ratio
The fair value is reasonably determined by such factors as position shares.
2. Valuation of securities listed and traded in stock exchanges
(1) The non fixed income varieties listed and traded on the stock exchange are listed on the stock exchange on the valuation date
Market price (closing price) valuation; There is no transaction on the valuation date, and the economic environment has not changed significantly since the most recent transaction date
If there is no major event that affects the securities price, the market price of the most recent trading day (
Valuation; If the economic environment has changed significantly after the recent trading day or the securities issuer has had an impact
In case of major events of securities price, the current market price and major change factors of similar investment varieties can be referred for adjustment
The market price of the latest transaction, and the fair value is determined;
(2) Non equity fixed income varieties listed on the Exchange or transferred by listing (otherwise specified in this contract
Except), select the net valuation price corresponding to the corresponding varieties provided by the third-party valuation agency on the valuation date
The valuation institution shall be separately agreed by the Fund Manager and the Custodian through consultation;
(3) Fixed income varieties with rights listed on the exchange market or transferred by listing (otherwise specified in this contract
Unless otherwise specified), select the unique net valuation price or
Recommend the net valuation price, and the specific valuation institution shall be separately agreed by the Fund Manager and the Custodian through consultation;
(4) For convertible bonds listed and traded on the exchange market, the closing price on the valuation date is selected for full price trading bonds
The net price obtained by subtracting the bond interest receivable included in the closing price of the bond for valuation; If there is no transaction on the valuation date,
And there is no significant change in the economic environment after the latest trading day, the closing price of bonds on the latest trading day minus the bond price
The net price of the bond interest receivable included in the market price is estimated. If the economic environment occurs after the latest trading day
In case of significant changes, recent transactions can be adjusted by referring to the current market price of similar investment varieties and major change factors
Market price, determining the fair value;
(5) The fair value of the securities listed on the Exchange without an active market shall be determined by valuation techniques.
The fair value of asset-backed securities listed on the exchange is determined by valuation technology, which is difficult to be reliable
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
In case of measurement of fair value, it shall be valued at cost.
3. 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;
(2) For the initial public offering of unlisted stocks and bonds, the fair value shall be determined using valuation techniques
If it is difficult to reliably measure the fair value by valuation technology, the valuation shall be carried out at cost;
4. 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.
5. Shares with restricted circulation, including but not limited to non-public offering
Public offering of shares by shareholders of the Company, shares with limited sales period obtained through block trading, etc. (excluding suspension
Newly issued unlisted, pledged bonds and other restricted shares in repurchase transactions)
Relevant regulations determine the fair value.
6. Selection of fixed income varieties such as bonds and asset-backed securities traded in the national inter-bank bond market
On the valuation date, the net valuation price of the corresponding varieties provided by the third party valuation agency is determined by
The Fund Manager and the Custodian shall negotiate and agree otherwise.
7. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
8. Repurchases are presented at cost, and interest receivable or payable is accrued daily during the repurchase period at the contractual interest rate.
9. The amount of bank deposits and reserves shall be listed as principal, and the interest shall be accrued daily at the corresponding interest rate.
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, value at the price that best reflects the fair value.
11. In case of large purchase or redemption, the Fund Manager may adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
12. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Undertake. The fund manager is the fund accounting responsible party of the Fund
If no agreement can be reached after full discussion on the basis of equality between relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
4、 Valuation procedures
1. The net value of fund units is divided by the net value of fund assets after the market is closed on each valuation date
The balance quantity of the amount is calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place
Errors are included in the fund assets. If the state has other provisions, such provisions shall prevail.
2. The Fund Manager shall value the Fund assets within two working days after each valuation date. T day
The net value of fund units and the cumulative net value of fund units shall be calculated on T+2 day and announced within T+3 day. But the fund
Except when the Manager suspends valuation in accordance with laws and regulations or the Fund Contract. The Fund Manager shall
After the valuation is completed within two working days after the duty day, the net value of the fund units on the valuation day and the cumulative net value of the fund units
The value results shall be sent to the Fund Custodian, and the Fund Manager shall publish them to the public after the Fund Custodian has verified them to be correct.
5、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When a valuation error occurs within 4 decimal places (including the 4th decimal place) of the net value of fund units
It shall be deemed that the net value of fund units is wrong.
The parties to this Fund Contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
"Valuation error handling principle" shall pay compensation and bear compensation liability.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors;
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
If the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall bear the corresponding liability for compensation
Ren. The party responsible for the valuation error shall confirm the correction to the relevant parties to ensure that the valuation error has been obtained
To correct.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the liability for valuation error
Party A shall compensate the loss of the injured party, and shall, within the scope of the amount of compensation paid
People have the right to demand the delivery of unjust enrichment; If the party who has obtained the unjust enrichment has wronged this part
If the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of unjust gains it has received
The difference between the total return of interest and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
(5) Handle valuation errors according to other principles specified by laws and regulations.
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 fund units, the fund manager shall notify the fund trust
And report to the CSRC for filing; When the error deviation reaches 0.5% of the net value of fund units, the fund manager
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
It shall be announced and reported to the CSRC for filing.
(3) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions.
6、 Suspension of valuation
1. When the securities trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
In addition, the use of valuation techniques still leads to significant uncertainty in fair value, which has been confirmed through consultation with the Fund Custodian
After that, the Fund Manager shall suspend the valuation of the Fund;
4. The Fund may suspend the valuation of the invested fund which accounts for a considerable proportion of the net asset value of the Fund
Valuation;
5. Other circumstances stipulated by laws and regulations, recognized by the CSRC or the fund contract.
7、 Recognition of net fund value
The fund manager shall be responsible for the net value of fund units and the cumulative net value of fund units used for fund information disclosure
The Fund Custodian shall be responsible for reviewing the calculation. The Fund Manager shall, within two working days after each valuation date
Calculate the net asset value of the Fund, the net value of the Fund units and the cumulative net value of the Fund units on the valuation date and send them to the Fund
Custodian. The Fund Custodian shall recheck and confirm the net value calculation result and send it to the Fund Manager, who shall manage it
We will publish the net value of the fund.
8、 Handling of special cases
1. Errors caused by the Fund Manager or the Fund Custodian when conducting valuation according to Item 10 of the valuation method
The difference is not treated as an error in the valuation of fund assets.
2. Due to the data error sent by the securities exchange and the registration and clearing company and the third-party valuation agency
Incorrect valuation data provided, or changes in national accounting policies, market rules, etc., as well as other force majeure
Cause: Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection,
However, if the error is not found, the resulting valuation error of the fund assets, the fund manager and the fund custody
People are exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to mitigate or eliminate
In addition to the resulting impact.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XV Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Information disclosure fees related to the Fund after the Fund Contract takes effect;
4. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect
Etc;
5. Expenses for the general meeting of fund share holders;
6. Securities trading or settlement fees of the Fund;
7. Bank transfer fees of the Fund;
8. Fund related account opening fees and account maintenance fees;
9. The selling expenses of other funds incurred by the Fund's investment in other funds, but laws and regulations prohibit it from
Except those disbursed from gold property;
10. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
The Fund Manager uses the assets of the Fund to purchase other funds under its own management (except ETF),
The subscription shall be made through direct marketing channels and no subscription fee and redemption fee shall be charged (according to relevant regulations, fund recruitment
It is agreed in the written form that it shall be charged, except for the redemption fees of the fund assets) and other sales fees.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
(1) The portion of the Fund property invested in other Fund units managed by the Fund Manager shall not
Collect management fees.
(2) The management fee of the Fund shall be deducted from the net value of the Fund assets of the previous day by the Fund's management of the Fund assets
0.80% of the remaining part (if it is negative, take 0) after the net asset value corresponding to other fund units managed by the manager
The annual fee rate is withdrawn. The management fee is calculated 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 less other funds managed by the fund manager in the fund property
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The remaining part of the net asset value corresponding to the gold share; If it is a negative number, E is taken as 0.
Fund management fees are accrued daily and paid monthly. The Fund Custodian shall check the consistency with the Fund Manager according to
Financial data, automatically make fund payment according to the specified account path within 5 working days at the beginning of the month
The fund manager does not need to issue a fund transfer instruction. After automatic deduction of expenses, the Fund Manager shall check,
If the data is found to be inconsistent, contact the Fund Custodian in a timely manner for settlement.
If the payment cannot be made on time due to force majeure, it shall be postponed to the date when the force majeure is eliminated for 2 days
Pay within the day.
2. Custody fees of the Fund Custodian
The part of the Fund property invested in other fund units under the custody of the Fund Custodian will not be collected
Custody fees. Under normal circumstances, the Fund's custody fee is deducted from the Fund's assets by the net value of the Fund's assets on the previous day
The remaining part after the net asset value corresponding to other fund units under the custody of the Fund Custodian (if it is negative, take
0). The custody fee is calculated 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, less the other items in the Fund assets that are under the custody of the Fund Custodian
The remaining portion of the net asset value corresponding to the fund units; If it is a negative number, E is taken as 0.
The fund custody fee is accrued daily and paid monthly. The Fund Custodian shall check the consistency with the Fund Manager according to
Financial data, automatically make fund payment according to the specified account path within 5 working days at the beginning of the month
The fund manager does not need to issue a fund transfer instruction. After automatic deduction of expenses, the Fund Manager shall check,
If the data is found to be inconsistent, contact the Fund Custodian in a timely manner for settlement.
If the payment cannot be made on time due to force majeure, it shall be postponed to the date when the force majeure is eliminated for 2 days
Pay within the day.
The above "I. Items 3-10 of the fund fee category" shall be subject to relevant regulations and corresponding agreements
It shall be included in the current expenses according to the actual amount of expenses, which shall be paid by the Fund Custodian from the Fund assets.
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;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
4、 Cost adjustment
After the Fund Manager and the Fund Custodian reach consensus, they may, according to the development of the Fund and in accordance with the laws and regulations
Regulations and the Fund Contract agree to adjust the relevant rate of the Fund. The fund manager must implement the new rate
Recently, it was announced on the designated media in accordance with the provisions of the Information Disclosure Measures.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund dividend, dividend and interest income, investment income, income from changes in fair value and its
The balance of other income after deducting relevant expenses. The realized income of the fund refers to the fund profit minus the income from changes in fair value
Balance after profit.
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 dividend conditions of relevant funds, the maximum number of annual income distributions of the Fund is 12
The distribution proportion of each income shall not be lower than that of the distributable profits of each fund unit on the base date of income distribution
20%, and the specific distribution plan shall be subject to the announcement. If the Fund Contract takes effect less than 3 months ago, no return can be made
Distribution;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose not to
With the same dividend method, investors can choose cash dividends or cash dividends according to the shares of the fund after ex right on the ex right date
The net amount is automatically converted into fund shares for reinvestment; If the investor does not choose, the Fund's default income distribution
The way 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, on the base date of fund income distribution
The net value of fund units less the amount of income distribution per unit of fund units cannot be lower than the par value;
4. The investor's cash dividend is retained to the second decimal place, and the gains or losses caused by this error
Undertaken by the fund assets;
5. Each fund unit has the same right of distribution;
6. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
On the premise that there is no material adverse impact on the interests of fund share holders, the Fund Manager and the Fund Custody
The principle of fund income distribution can be adjusted by consensus without convening a general meeting of fund share holders, but
It shall be announced in the designated media before the change implementation date.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund income as of the base date of income distribution
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
The Fund's income distribution plan is prepared by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Disclosure Measures shall be announced in the designated media.
The time from the fund dividend payment date to the base date of income distribution (i.e. the deadline for calculating the profit available for distribution)
No more than 15 working days.
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. Dang Tou
When the cash dividend of the investor is less than a certain amount and is not enough to pay the bank transfer or other handling fees, the fund shall register
A bookkeeping institution may automatically convert the cash dividends of fund share holders into fund shares. Calculation method of dividend reinvestment
Law, in accordance with the relevant provisions of the Fund's income distribution principles.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XVII Accounting and Audit of the Fund
1、 Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the Fund Contract takes effect less than 2 months, it can be incorporated into the next accounting year
Year;
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 the way agreed in the custody agreement.
2、 Annual audit of the Fund
1. The fund manager hires securities and futures that are independent of the fund manager and the fund custodian
Certified public accountants with relevant business qualifications and their certified public accountants shall review the annual financial statements of the Fund
Count.
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 designated media in accordance with the relevant provisions of the Information Disclosure Measures.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Liquidity Risk Management Regulations, Fund Contract and other relevant regulations. Information about relevant laws and regulations
In case of any change in the disclosure provisions, the Fund shall comply with its latest provisions.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the convening fund unit holders
Fund Unitholders and other laws and regulations of the General Meeting and natural persons, legal persons and groups of non legal persons as stipulated by the CSRC
Woven.
The information disclosure obligor of the Fund shall take the protection of the interests of fund share holders as the fundamental starting point, according to
Disclose fund information in accordance with laws and regulations and the provisions of the CSRC, and ensure the authenticity and accuracy of the information disclosed
Integrity, timeliness, conciseness and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, submit the fund letter that should be disclosed
Through the national newspapers and periodicals designated by the CSRC (hereinafter referred to as "designated newspapers and periodicals") and Internet websites (
(hereinafter referred to as "designated website") and other media, and ensure that fund investors can
Consult or copy publicly disclosed information at a fixed time and in a specified manner. Designated websites include fund manager websites
Website, fund custodian website, CSRC fund electronic disclosure website. The designated website should invest for free
Provide fund information disclosure services.
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. Fund letter in foreign language
The information disclosure obligor shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
This shall prevail.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the currency unit is RMB
Yuan.
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Contract, Fund Prospectus, Fund Product Information Summary, Fund Custody Agreement
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract and clarifies the basis
The rules and specific procedures for holding the general meeting of gold share holders, specifying the characteristics of the fund products and other matters related to fund investment
Legal documents on matters of vital interest to people.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information disclosure
Disclose the services of fund share holders. Information of the Fund Prospectus after the Fund Contract takes effect
In case of any major change, the Fund Manager shall update the Prospectus within 3 working days and publish it on the
On the website; If other information in the prospectus changes, the fund manager shall update it at least once a year.
If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
3. The fund product information summary is a summary document of the fund prospectus, which is used to provide investors with a brief summary
General information of the fund. After the Fund Contract comes into force, the information in the fund product information summary has changed significantly
Furthermore, the fund manager shall update the summary of fund product information and publish it on the designated website within three working days
Website or business outlet of the fund sales agency; In case of any change in other information of the fund product information summary
The gold manager shall be updated at least once a year. If the fund terminates its operation, the fund manager will no longer update the fund product assets
Material summary.
4. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
After the fund raising application is registered with the CSRC, the fund manager shall,
Publish the prospectus and the summary of the Fund Contract on the designated media; Fund manager, fund trust
The custodian shall publish the Fund Contract and the Fund Custody Agreement on the website.
（2） Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units on the specific matters concerning the sale of fund units, and
The prospectus was published on the designated media on the day of disclosure.
（3） Announcement on the Effectiveness of the Fund Contract
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The Fund Manager shall, on the day following the receipt of the confirmation document from the CSRC (in case of a designated report on a legal holiday)
If the publication is suspended, it shall be postponed to the first publication day after the statutory holiday. The same below) Publish the Fund on the designated media
The same as the effective announcement.
（4） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of fund units and the cumulative net value of fund units shall be disclosed at least once a week on the designated website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
The opening day shall be disclosed through the designated website, fund sales agency website or business outlet within 3 working days after
The net value of the fund units and the cumulative net value of the fund units.
The Fund Manager shall, no later than three working days after the last day of the half year and the year
The website discloses the net value of fund units and the accumulated net value of fund units for the half year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall upload the base fund in the Fund Contract, Prospectus and other information disclosure documents
The calculation method of amount subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the sales agency looks up or copies the above information.
（6） Regular reports of the Fund, including annual reports, interim reports and quarterly reports of the Fund
The Fund Manager shall, within three months from the end of each year, prepare and complete the annual report of the Fund
The annual report is published on the designated website, and the advisory announcement of the annual report is published on the designated newspaper. Fund year
The financial and accounting report of the report shall be reviewed by an accounting firm with securities and futures related business qualifications
Count.
The Fund Manager shall, within two months from the end of the first half of the year, prepare and complete the interim report of the Fund and
The interim report is published on the designated website, and the indicative announcement of the interim report is published on the designated newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter,
Publish the quarterly report on the designated website, and publish the prompt announcement of the quarterly report on the designated newspaper.
If the Fund Contract takes effect less than two months ago, the Fund Manager may not prepare the current quarterly report
Periodic report or annual report.
During the operation of the fund, if the fund shares held by a single investor reach or exceed the total fund shares during the reporting period
In the case of 20% shares, in order to protect the interests of other investors, the fund manager shall at least report "shadow" on a regular basis
The category of the investor, the shares held at the end of the reporting period and
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Proportion, changes in shares held during the reporting period and the unique risks of the Fund, which are recognized as special by the CSRC
Except in this case.
During the continuous operation of the Fund, the Fund's portfolio assets shall be disclosed in the Fund's annual report and interim report
Situation and liquidity risk analysis.
If laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
（7） Interim report
In the event of a major event of the Fund, the relevant information disclosure obligor shall, in accordance with the provisions of the Measures for Information Disclosure
It is stipulated that an interim report shall be prepared within 2 days and published in the designated newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
1. The convening and decisions of the general meeting of fund share holders;
2. Terminate the Fund Contract and liquidate the Fund;
3. Conversion of fund operation mode and fund merger;
4. Change of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Institution to handle the accounting, valuation, review and other matters of the Fund on its behalf;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The fund management company changes the shareholders holding more than 5% of the equity, and changes the actual control of the company
People;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior managers of the Fund Manager, the Fund Manager and the Special Fund Custodian Department of the Fund Custodian
The responsible person changes;
10. If the directors of the Fund Manager have changed by more than 50% in the last 12 months, the Fund Manager
The main business personnel of the special fund custody department of the fund custodian have changed by more than one percent in the last 12 months
Thirty;
11. Litigation or arbitration involving fund property, fund management business or fund custody business;
12. The fund manager or its senior managers and fund managers are subject to
Major administrative punishment and criminal punishment, and the fund custodian or the head of its special fund custody department
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Business related behaviors are subject to major administrative and criminal penalties;
13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Accrual standards, methods and rates of management fees, custody fees, subscription fees, redemption fees and other fees
Change;
16. The valuation error of the net value of fund units reaches 0.5% of the net value of fund units;
17. The Fund begins to handle subscription and redemption;
18. The Fund is redeemed in large amount and postponed;
19. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
20. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
21. Major events of the Fund involving adjustment of fund subscription and redemption or potential impact on investor redemption
matter;
22. The Fund Manager adopts the swing pricing mechanism for valuation;
23. The Fund changes the fund unit category setting or the fund unit classification rules;
24. The Fund launches new businesses or services;
25. The price that the Fund Information Disclosure Obligor believes may be paid to the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact or other matters specified by the CSRC.
（8） Clarification announcement
During the duration of the Fund Contract, any public media or market circulation
The interest may have a misleading impact on the price of fund units or cause major fluctuations and may damage the fund
If the rights and interests of unit holders are known, the relevant information disclosure obligor shall immediately publicly clarify the information,
And immediately report the relevant information to the CSRC.
（9） Resolution of the general meeting of fund share holders
Matters decided by the general meeting of fund unit holders shall be announced in accordance with the law.
（10） Liquidation report
If the Fund Contract is terminated, the Fund Manager shall organize a liquidation group to liquidate the Fund assets according to law
And make a liquidation report. The liquidation report shall be certified by an accountant with the qualification for securities and futures related business
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
And the law firm shall issue a legal opinion. The liquidation group shall publish the liquidation report on the designated website
And publish the suggestive announcement of the liquidation report on the designated newspaper.
（11） Announcement on Investment Asset Backed Securities
The fund manager shall disclose its asset-backed securities in the annual report and interim report of the fund
Total amount, the proportion of market value of asset-backed securities in the net assets of the fund and the statement of all asset-backed securities in the reporting period
Fine; The fund manager shall disclose the total amount of asset-backed securities and asset expenditure it holds in the quarterly report of the fund
The proportion of the market value of the securities held in the net assets of the fund and the ranking by the proportion of the market value in the net assets of the fund at the end of the reporting period
Details of the top ten asset-backed securities.
（12） Information disclosure of investment securities investment funds
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports and prospectuses
New) and other documents disclose the relevant information of the funds held and disclose the relevant risks, including:
1. Investment policy, position, profit and loss, net value disclosure time, etc.
2. Fees incurred from trading and holding funds, including subscription fees, redemption fees, sales service fees, management fees
Fees, trusteeship fees, etc. The prospectus (update) shall list the calculation method and give examples.
3. Significant events affecting the funds held by the Fund, such as switching operation mode, and other funds
Merger, termination of the Fund Agreement and convening of the general meeting of fund share holders.
4. The Fund's investment in funds managed by the Fund Manager and its related parties.
（13） Other information specified by the CSRC.
6、 Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system, designate special departments and
Senior management is responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information of the CSRC
The disclosure content and format standards and other laws and regulations.
The Fund Custodian shall comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net value of fund units, cumulative net value of fund units, subscription and redemption of fund units prepared by the fund manager
Price, regular fund report, updated prospectus, summary of fund product information, fund liquidation announcement, etc
Review and review the publicly disclosed fund information, and confirm it in writing or electronically to the fund manager.
The Fund Manager and the Fund Custodian shall choose one of the designated newspapers to disclose the information of the Fund.
The fund manager and the fund custodian shall submit the funds to be disclosed to the fund electronic disclosure website of the CSRC
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Information, and ensure the authenticity, accuracy, integrity and timeliness of the information submitted.
In order to strengthen investor protection and improve the quality of information disclosure service, the fund manager shall, in accordance with the provisions of the CSRC
The fund sales agency shall provide investors with information that has a significant impact on their investment decisions in a timely manner according to
Do a good job of information transmission according to the provisions of the CSRC.
In addition to disclosing information on designated media according to law, the Fund Manager and the Fund Custodian may also, as required
Disclose information in other public media, but other public media shall not disclose information earlier than the designated media, and
The content of the same information disclosed on different media shall be consistent. In addition, the Fund Manager and the Fund Custodian also
It can focus on providing useful information for investors to make decisions, and ensure that investors are treated fairly and not mislead
Investors can independently improve the quality of information disclosure services without affecting the normal investment operation of the fund. have
The requirements of the company shall comply with the relevant provisions of the CSRC and the self regulatory rules. If the aforementioned independent disclosure generates information
Expenses shall not be disbursed from the fund property.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
Business institutions shall prepare working papers and keep relevant files at least 10% after the termination of the Fund Contract
Years.
7、 Storage and reference of information disclosure documents
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with the relevant laws and regulations
Regulations require that information be kept at the company's domicile for public reference and reproduction.
8、 Suspension or delay of disclosure of fund information
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
(1) Force majeure;
(2) Valuation suspension occurs;
(3) Laws and regulations, the Fund Contract or the situation stipulated by the CSRC.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
Matters agreed in the Fund Agreement that may not be passed by the General Meeting of Fund Unitholders shall be decided by the Fund Manager
And the Fund Custodian, 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 come into force on the date of voting
The convener shall report to the CSRC for filing within 5 days from the date of adoption
After taking effect, it shall be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
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. The Fund is merged by other funds or the Fund is merged with other funds into a new fund;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers qualified to engage in securities and futures related businesses, and CSRC
Fixed personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Property Liquidation Team shall take over the Fund in a unified manner;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(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 fund assets shall not exceed 6 months. However, due to the liquidity of the securities held by the Fund
If the liquidation cannot be realized in time due to limitation, 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 from the fund assets by the fund assets liquidation group in priority.
5、 Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The report on the liquidation of the fund assets has been issued with
Certified public accountants with relevant business qualifications shall audit and the legal opinion shall be issued by the law firm and then submitted to China
The CSRC shall put on record and make an announcement. The fund assets liquidation announcement shall be made after the fund assets liquidation report is submitted to the CSRC for filing
The Fund Assets Liquidation Group shall make an announcement within 5 working days, and the Fund Assets Liquidation Group shall submit the liquidation report
It shall be published on the designated website, and the suggestive announcement of the liquidation report shall be published on the designated newspaper.
7、 Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
8、 The merger of the Fund with other funds shall be carried out in accordance with the procedures prescribed by laws and regulations.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
As stipulated in laws and regulations or the Fund Contract, losses are caused to fund assets or fund unit holders
Those who have caused damage shall be liable for compensation according to law for their respective acts; Fund assets or funds due to joint action
If the holder of the gold share causes damage, he shall bear joint and several liability for compensation, and the compensation for the loss shall be limited to direct
In case of losses, one party has the right to claim compensation from the other party according to the degree of fault of the other party after assuming joint and several liabilities.
However, the parties may be exempted from liability if:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall comply with the laws and regulations in force at the time and the regulations of the CSRC
Losses caused by acts or omissions of fixed or exchange rules;
3. Losses caused by the Fund Manager's investment or non investment in accordance with the provisions of the Fund Contract.
2、 To protect the interests of fund share holders to the greatest extent in the event of breach of contract by one or more parties
If the Fund Contract can continue to be performed, it shall continue to be performed. The non defaulting party is in office
Within the scope of responsibility, it is obliged to take necessary measures in time to prevent the expansion of losses. Failure to take appropriate measures resulted in
If the loss is further expanded, no claim may be made for compensation for the expanded loss. The non defaulting party paid for preventing the loss from expanding
The reasonable expenses incurred shall be borne by the defaulting party.
3、 Due to factors beyond the control of the Fund Manager and the Fund Custodian, business errors occur
Although the Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they fail to
The Fund Manager and the Fund Custodian will be exempted from compensation for the loss of the Fund property or investors caused by the discovery of errors
Liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate this
The impact of success.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XXI Dispute Settlement and Applicable Law
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, either party has the right to submit the dispute to China International Economic and Trade Arbitration
Arbitration Commission, the Arbitration Commission shall conduct arbitration in accordance with the Commission's arbitration rules in effect at that time, and the place of arbitration shall be Beijing
City. The arbitration award is final and binding on all parties. The arbitration fees and attorney fees shall be paid by
The losing party shall bear the responsibility.
During the period of dispute resolution, the parties concerned shall abide by the responsibilities of the Fund Manager and the Fund Custodian, continue to be faithful
Fulfill the obligations specified in the Fund Contract diligently and responsibly, and safeguard the legitimate rights and interests of fund share holders.
The Fund Contract shall be governed by the laws of China.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XXII Effect of Fund Contract
The Fund Contract stipulates the rights and obligations between the fund parties and between the fund and the fund parties
Legal documents.
1. The Fund Contract has been sealed by the Fund Manager and the Fund Custodian, and the legal representatives or
The authorized representative shall sign and go through the fund filing formalities with the CSRC through the fund manager after the end of the offering, and
It shall come into force upon the written confirmation of the CSRC.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the time when the liquidation results of the Fund assets are reported to the CSRC
The date of filing and announcement.
3. From the effective date of the Fund Contract
All parties to the Fund Contract, including persons, shall have the same legal binding force.
4. The original of the Fund Contract is in sextuplicate. In addition to submitting it to the relevant regulatory authority in sextuplicate
The Fund Custodian 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 use in the Fund Manager, Fund Custodian and Sales Machines
Check the office and business premises of the organization.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall consult with each other in accordance with relevant laws and regulations
It shall be settled through negotiation.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Part XXIV Summary of the Fund Contract
1、 Rights and obligations of fund share holders, fund managers and fund custodians
（1） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise shareholders' rights against the invested company and the invested fund for the benefit of the fund in accordance with laws and regulations
And the rights of fund share holders to exercise the rights arising from the investment of fund assets in securities and funds for the benefit of the Fund
Rights;
(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
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Performing other legal acts;
(15) If the Fund held by the Fund convenes a general meeting of fund share holders, the Fund Manager shall
The relevant voting rights can be exercised on the premise that the interests of fund share holders have priority;
(16) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(17) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion, fixed investment and non trading transfer;
(18) 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
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping, securities and fund investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report of the Fund;
(11) Information disclosure and
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, and provide necessary letters to regulatory authorities, judicial authorities or external professional consultants such as audit and law
Except in the case of interest;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant information is more than 15 years old;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the raising period, and the Fund Contract cannot
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Effective, the fund manager shall bear all the raising costs, and add the raised funds to the current deposit interest of the bank 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 Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
Report to the CSRC and take necessary measures to protect the interests of fund investors;
(4) Open securities accounts, fund accounts, capital accounts and other investment accounts for funds according to relevant market rules
The account required for capital shall handle the clearing of securities and fund transaction capital 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 Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(4) Except in accordance with the Fund Law, the Fund Contract, the Custody Agreement and other relevant provisions
Use the fund assets to seek benefits for themselves and any third party, and may not entrust a third party to trust the fund assets;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open fund account, securities account, fund account and investment of the Fund as required
Other accounts required, according to the Fund Agreement and the Custody Agreement
Investment orders, timely handling of clearing and settlement matters;
(7) Keep fund business secrets, except for the Fund Law, the Fund Contract, the Custody Agreement and others
Unless otherwise specified in relevant regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others
Except for the case where the regulatory authority, judicial authority or external professional consultants such as audit and law consultants provide necessary information;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Accumulated net value of the amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the operation of the Fund Manager in all important aspects is strictly in accordance with the Fund Contract and the Custody Agreement
Specified; If the Fund Manager fails to implement the provisions of the Fund Contract and the Custody Agreement,
It shall also state whether the Fund Custodian has taken appropriate measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities for 15 years
Upper;
(12) Receive and keep the register of fund unit holders from the fund manager or its entrusted registration institution;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund share holders or to cooperate with the fund manager and fund share holders to convene a general meeting of fund share holders in accordance with the law;
(16) Supervise the Fund Manager in accordance with laws and regulations, the Fund Contract and the Custody Agreement
Investment operation;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
And the banking regulatory authority, and notify the fund manager;
(19) In case of any loss of fund property due to violation of the Fund Contract or the Custody Agreement, it shall bear compensation
The liability for compensation shall not be exempted by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) If the fund manager participates in the general meeting of fund share holders held by the fund, it is necessary to
Written opinions on the voting opinions of the manager;
(22) Implement the effective resolutions of the general meeting of fund share holders;
(23) 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 fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund investor will become the fund share holder and the fund investor will become the fund share holder
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Each fund unit has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Apply for redemption or transfer of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) To pay the fund subscription and subscription amount and the fees prescribed by laws and regulations and the Fund Contract,
And actively inquire about the confirmation of the transaction application;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Provide the information required by the fund manager and regulatory authority according to law, and update and
Supplement and ensure its authenticity, accuracy and integrity;
(10) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Each fund share held by the fund share holder
We have equal voting rights.
The National People's Congress of the holders of Fund units does not have a daily institution.
（1） Reason for convening
1. When one of the following events occurs or needs to be decided, except for laws and regulations, fund contract or China Securities Regulatory Commission
Unless otherwise stipulated by the meeting, a general meeting of fund unit holders shall be held:
(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;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated on the basis of fund units on the day when the Fund Manager receives the proposal, the same below)
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Without violating the laws and regulations and the provisions of the Fund Contract, and without realizing the interests of the Fund Unitholders
Under the premise of qualitative adverse effects, the following circumstances can be modified after consultation between the Fund Manager and the Fund Custodian, none
To convene a general meeting of fund share holders:
(1) Lower the fees that should be borne by the Fund other than management fees and custody fees;
(2) Collection of fund fees increased as required by laws and regulations;
(3) Adjust the subscription rate or charge of the Fund within the scope of laws and regulations and the Fund Contract
Fee method and lower redemption rate;
(4) Within the scope of laws and regulations and the fund contract, the existing fund share holders shall not be increased
Under the premise of applicable rate, adjust the setting of fund share category, establish new fund share category, and add new
To adjust the classification methods and rules of fund units and stop the sale of existing fund units;
(5) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(6) 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;
(7) The fund manager, registration institution, and fund sales institution are required by laws and regulations or the CSRC
Adjust the business regulations related to subscription, subscription application, redemption, conversion, non trading transfer, custody transfer, etc. within the permitted scope
Then;
(8) The Fund launches new businesses or services;
(9) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) 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
Convening by the fund manager;
2. If 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
And the Fund Manager shall cooperate;
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
The Fund Manager shall be convened and notified within 60 days from the date of the meeting, and the Fund Manager shall cooperate;
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
The fund share holders with more than 10% (including 10%) of the fund shares in the table have the right to convene the meeting on their own and at least in advance
30 Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law,
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere with them;
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. The convener shall, 30 days before the convening of the general meeting of fund unit holders
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
（4） Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders can be held by means of on-site meeting, communication meeting or laws and regulations, China
The convening method of the meeting shall be determined by the convener of the meeting. Fund manager
The Fund Custodian shall provide convenience for the Fund Unitholders to exercise their voting rights.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than 1/2 (including 1/2) of the total fund units 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
The form or other means specified in the notice of the meeting shall be delivered to the address designated by the convener before the deadline for voting. through
The meeting shall vote in writing or in other ways specified in the meeting notice.
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 votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than 1/2 (including 1/2) of the total fund shares on the equity registration date;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and conform to the records of the fund registration authority;
(5) The notice of the meeting shall be submitted to the CSRC for filing before it is published.
3. With the permission of laws and regulations or regulatory authorities, the notice of the meeting states that the fund shares held
The National People's Congress can be held via the Internet, telephone, SMS or other means, and fund share holders can also use the Internet
Voting through network, telephone, SMS or other means, or granting by network, telephone, SMS or other means
The convener of the meeting shall determine the specific method of attending the meeting and voting on behalf of others and list it in the notice of the meeting.
4. If the fund units of fund unit holders attending the general meeting of fund unit holders are lower than those in the above paragraph
If the proportion specified in Item 1 (2) or Item 2 (3
The fund unit holding shall be reconvened three months later and within six months after the meeting is held on the matters originally scheduled for consideration
General meeting of people. The reconvened general meeting of fund unit holders shall have more than 1/3 of the record date of representative equity (including
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
1/3) The meeting can be held only when the fund unit holders or their agents of fund units attend.
（5） Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the general meeting of shareholders.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than 1/2 (including 1/2) of the voting rights held by the agent shall elect a fund share holder as this time
The chairperson of the general meeting of fund share holders. The Fund Manager and the Fund Custodian refuse to attend or preside over the Fund
The general meeting of fund share holders shall not affect the validity of the resolutions made at the general meeting of fund share holders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 5 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
（6） Voting
Each fund unit held by the fund unit holder has one vote.
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
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 1/2 (including 1/2) of the voting rights shall be valid; Special resolution is required except as provided in item 2 below
Matters other than those passed 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 only be made after more than 2/3 (including 2/3) of the voting rights are approved. Unless otherwise stipulated by laws and regulations and the CSRC
Or unless otherwise agreed in the Fund Contract, change the operation mode of the fund, change the fund manager or fund custody
The termination of the Fund Contract and the merger with other funds shall be effective only if a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document specified in the notice of the meeting shall be deemed as effective attendance of investors
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total number of fund units represented by the fund unit holders who issue voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has different opinions on the voting results submitted
The number of votes demanded may be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
（8） Effectiveness and announcement
Matters decided at the general meeting of fund share holders shall take effect from the date of voting.
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall be announced on the designated media within 2 working days from the effective date. as
If voting is carried out by means of communication, the notarial certificate must be completely
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 Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
（9） Procedures for Participation in the General Meeting of Fund Unitholders of Funds Held by the Fund
When the fund held by the Fund holds a general meeting of fund unit holders, the Fund Manager shall represent the Fund
The interests of gold unit holders shall participate in the general meeting of fund unit holders in accordance with the provisions of the fund contract,
And exercise the relevant voting rights on the premise that the interests of the Fund Unitholders have priority. fund management
The voting opinions shall be solicited from the Fund Custodian in advance, and shall be disclosed in the periodic report
Dew.
The procedures of laws and regulations for convening a general meeting of fund share holders for the Fund to participate in the Fund held by the Fund
If there are other provisions in the order or requirements, the provisions shall prevail.
（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, regulations or regulatory rules, such as future laws, regulations or regulatory rules
The amendment of the management rules results in the cancellation or change of relevant contents, or the general meeting of new fund unit holders under laws and regulations
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
In case of mechanism, the Fund Manager and the Fund Custodian can directly report the contents of this part after reaching consensus and announcing in advance
It is unnecessary to hold a general meeting of fund share holders to review the amendments and adjustments.
3、 Fund income and distribution
（1） Composition of fund profits
Fund profit refers to fund dividend, dividend and interest income, investment income, income from changes in fair value and its
The balance of other income after deducting relevant expenses. The realized income of the fund refers to the fund profit minus the income from changes in fair value
Balance after profit.
（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 dividend conditions of relevant funds, the maximum number of annual income distributions of the Fund is 12
The distribution proportion of each income shall not be lower than that of the distributable profits of each fund unit on the base date of income distribution
20%, and the specific distribution plan shall be subject to the announcement. If the Fund Contract takes effect less than 3 months ago, no return can be made
Distribution;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose not to
With the same dividend method, investors can choose cash dividends or cash dividends according to the shares of the fund after ex right on the ex right date
The net amount is automatically converted into fund shares for reinvestment; If the investor does not choose, the Fund's default income distribution
The way 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, on the base date of fund income distribution
The net value of fund units less the amount of income distribution per unit of fund units cannot be lower than the par value;
4. The investor's cash dividend is retained to the second decimal place, and the gains or losses caused by this error
Undertaken by the fund assets;
5. Each fund unit has the same right of distribution;
6. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
On the premise that there is no material adverse impact on the interests of fund share holders, the Fund Manager and the Fund Custody
The principle of fund income distribution can be adjusted by consensus without convening a general meeting of fund share holders, but
It shall be announced in the designated media before the change implementation date.
（4） Income distribution scheme
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The fund income distribution plan shall specify the distributable profits and fund income as of the base date of income distribution
Distribution object, distribution time, distribution amount and proportion, distribution method, etc.
（5） Determination, announcement and implementation of income distribution plan
The Fund's income distribution plan is prepared by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Disclosure Measures shall be announced in the designated media.
The time from the fund dividend payment date to the base date of income distribution (i.e. the deadline for calculating the profit available for distribution)
No more than 15 working days.
（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. Dang Tou
When the cash dividend of the investor is less than a certain amount and is not enough to pay the bank transfer or other handling fees, the fund shall register
A bookkeeping institution may automatically convert the cash dividends of fund share holders into fund shares. Calculation method of dividend reinvestment
Law, in accordance with the relevant provisions of the Fund's income distribution principles.
4、 Fund fees and taxes
（1） Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Information disclosure fees related to the Fund after the Fund Contract takes effect;
4. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect
Etc;
5. Expenses for the general meeting of fund share holders;
6. Securities trading or settlement fees of the Fund;
7. Bank transfer fees of the Fund;
8. Fund related account opening fees and account maintenance fees;
9. The selling expenses of other funds incurred by the Fund's investment in other funds, but laws and regulations prohibit it from
Except those disbursed from gold property;
10. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
The Fund Manager uses the assets of the Fund to purchase other funds under its own management (except ETF),
The subscription shall be made through direct marketing channels and no subscription fee and redemption fee shall be charged (according to relevant regulations, fund recruitment
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
It is agreed in the written form that it shall be charged, except for the redemption fees of the fund assets) and other sales fees.
（2） Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
(1) The portion of the Fund property invested in other Fund units managed by the Fund Manager shall not
Collect management fees.
(2) The management fee of the Fund shall be deducted from the net value of the Fund assets of the previous day by the Fund's management of the Fund assets
0.80% of the remaining part (if it is negative, take 0) after the net asset value corresponding to other fund units managed by the manager
The annual fee rate is withdrawn. The management fee is calculated 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 less other funds managed by the fund manager in the fund property
The remaining part of the net asset value corresponding to the gold share; If it is a negative number, E is taken as 0.
Fund management fees are accrued daily and paid monthly. The Fund Custodian shall check the consistency with the Fund Manager according to
Financial data, automatically make fund payment according to the specified account path within 5 working days at the beginning of the month
The fund manager does not need to issue a fund transfer instruction. After automatic deduction of expenses, the Fund Manager shall check,
If the data is found to be inconsistent, contact the Fund Custodian in a timely manner for settlement.
If the payment cannot be made on time due to force majeure, it shall be postponed to the date when the force majeure is eliminated for 2 days
Pay within the day.
2. Custody fees of the Fund Custodian
The part of the Fund property invested in other fund units under the custody of the Fund Custodian will not be collected
Custody fees. Under normal circumstances, the Fund's custody fee is deducted from the Fund's assets by the net value of the Fund's assets on the previous day
The remaining part after the net asset value corresponding to other fund units under the custody of the Fund Custodian (if it is negative, take
0). The custody fee is calculated 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, less the other items in the Fund assets that are under the custody of the Fund Custodian
The remaining portion of the net asset value corresponding to the fund units; If it is a negative number, E is taken as 0.
The fund custody fee is accrued daily and paid monthly. The Fund Custodian shall check the consistency with the Fund Manager according to
Financial data, automatically make fund payment according to the specified account path within 5 working days at the beginning of the month
The fund manager does not need to issue a fund transfer instruction. After automatic deduction of expenses, the Fund Manager shall check,
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
If the data is found to be inconsistent, contact the Fund Custodian in a timely manner for settlement.
If the payment cannot be made on time due to force majeure, it shall be postponed to the date when the force majeure is eliminated for 2 days
Pay within the day.
The above "(I) Expenses in Items 3-10 of the Fund Expense Category" shall be subject to relevant regulations and corresponding agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, which shall be paid by the Fund Custodian from the Fund assets.
（3） Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
（4） Cost adjustment
After the Fund Manager and the Fund Custodian reach consensus, they may, according to the development of the Fund and in accordance with the laws and regulations
Regulations and the Fund Contract agree to adjust the relevant rate of the Fund. The fund manager must implement the new rate
Recently, it was announced on the designated media in accordance with the provisions of the Information Disclosure Measures.
（5） Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
5、 Investment of the Fund
（1） Investment scope
The Fund invests in publicly offered funds approved or registered by the CSRC according to law (hereinafter referred to as "public offering funds")
Raised funds), domestic legally issued and listed stocks, bonds and other financial instruments, laws and regulations or China Securities Regulatory Commission
Other financial instruments that will allow the Fund to invest. Specifically: public funds (including stock funds and hybrid funds)
T-funds, bond funds, money market funds, QDII funds, ETF funds, LOF funds, commodities
Futures funds and other publicly offered securities investment funds approved or registered by the CSRC), stocks (including
SME Board, GEM and other stocks approved by the CSRC for listing), bonds (including national debt, financial bonds
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
Central bank notes, corporate bonds, corporate bonds, medium-term notes, local government bonds, subordinated bonds, convertible bonds (including
Separately traded convertible bonds), exchangeable bonds, short-term financing bonds, etc.), bond repurchase, bank deposits (including
Deposits, time deposits and other deposits), asset-backed securities, interbank 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 requirements of the CSRC
Relevant regulations).
For other types of investment permitted by laws and regulations or the regulatory authority in the future, the Fund Manager shall perform the following procedures:
After the procedure, it can be included in the scope of investment, and can be adjusted in a timely and reasonable manner according to the then effective laws and regulations
The whole investment scope.
The proportion of the Fund's investment portfolio is: the Fund invests in public securities approved or registered by the CSRC according to law
The proportion of raised fund units shall not be less than 80% of the assets of the Fund, and shall be invested in equity assets (including stocks
Equity funds and hybrid funds) account for 0% - 50% of the Fund's assets; At the end of each trading day,
Cash or government bonds with a maturity of less than one year shall not be less than 5% of the net asset value of the fund, excluding cash
Settlement provisions, deposits, subscription receivables, etc.
If laws and regulations or the CSRC changes the investment proportion limit of investment varieties, the Fund Manager shall
After proper procedures, the investment proportion of the above investment varieties can be adjusted.
（2） Investment restrictions
1. Combination restrictions
(1) The ratio of the Fund's investment in publicly offered fund units approved or registered by the CSRC according to law
For example, not less than 80% of the Fund's assets, invest in equity assets (including stocks, equity funds, hybrid funds)
Type fund) accounts for 0% - 50% of the Fund's assets;
(2) At the end of each trading day of the Fund, cash or government bonds with maturity of less than one year account for
The proportion of net asset value of gold shall not be less than 5%, and cash does not include settlement reserves, deposits and purchase receivables
Payment, etc;
(3) The market value of a single fund held by the Fund shall not be higher than 20% of the net asset value of the Fund, and shall not
Holding funds in other funds;
(4) All funds (except ETF feeder funds) managed by the Fund Manager hold a single fund
The fund shall not exceed 20% of the net assets of the invested fund
The disclosed scale shall prevail;
(5) The proportion of the Fund's investment in money market funds shall not exceed 15% of the Fund's assets;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(6) The operation period of the fund invested by the Fund shall not be less than one year
The net assets of the fund shall not be less than 100 million yuan;
(7) The proportion of the Fund's investment in restricted funds shall not exceed 10% of the net asset value of the Fund; flow
General restricted funds refer to closed-end funds, regular open-ended funds, etc., which are explicitly stipulated in the fund contract within a certain period
Non redeemable funds within the lock up period, but excluding ETF, LOF and other funds that can be listed and traded;
(8) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund;
(9) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the coupon;
(10) All open-ended funds managed by the Fund Manager hold tradable funds issued by a listed company
Shares shall not exceed 15% of the tradable shares of the listed company; All investment groups managed by the Fund Manager
The number of tradable shares jointly held by a listed company shall not exceed 30% of the tradable shares of the listed company;
(11) 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;
(12) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
15%；
(13) 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;
(14) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(15) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All of them will be sold within 3 months from the date of release of the level report;
(16) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(17) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed
40% of the net asset value of gold, the maximum term of bond repurchase is one year, and the bond repurchase cannot be extended after maturity;
(18) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(19) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net asset value of the Fund
15% of; Other than fund managers due to fluctuations in the securities market, stock suspension of listed companies, changes in fund size, etc
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
If the fund does not meet the proportion limit specified in Item (19) due to factors of
Investment in restricted liquidity assets;
(20) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the fund contract
bring into correspondence with;
(21) Other investment proportion restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Factors other than fund managers, such as fluctuations in the securities market, mergers of securities issuers, changes in fund size, etc
The Fund Manager shall
Adjustment shall be made within 20 trading days
The fund manager shall make adjustment within 10 trading days under other circumstances specified by the CSRC
Except under special circumstances. Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months from the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio consistent with
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Agreement
Start.
If laws and regulations change the above investment proportion restrictions, the changed provisions shall prevail, but
It can be included in the scope of investment supervision only after consultation with the Fund Custodian. Cancellation of the above restrictions by laws and regulations or regulatory authorities
If applicable to the Fund, the Fund Manager will no longer be subject to relevant
Restrictions, but shall be announced in advance.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Holding funds in other funds; Or holding fund shares with complex and derivative nature, including
Including classified funds and other fund units recognized by the CSRC, and special funds recognized or approved by the CSRC
Except the fund in the fund; Or invest in Hong Kong mutual recognition fund shares, stock index futures, treasury bond futures and stock options;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(7) Other activities prohibited by laws, administrative regulations and provisions of the CSRC.
Laws and regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
After the Manager has performed the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or the changed provisions shall prevail,
It does not need to be reviewed by the general meeting of fund share holders.
3. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, shall comply with the investment objectives and investment strategies of the Fund and follow
The principle of giving priority to the interests of fund share holders, preventing conflicts of interest, establishing and improving internal approval mechanisms and evaluation mechanisms
The system shall be implemented according to the fair and reasonable price in the market. Relevant transactions must be approved by the Fund Custodian in advance, and
It shall be disclosed in accordance with laws and regulations, unless otherwise specified by laws and regulations. Major related party transactions shall be submitted to fund management
The board of directors of the manager reviewed and approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related party transactions every half a year.
6、 Calculation method and announcement method of fund net asset value
（1） The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
1. The net value of fund units is divided by the net value of fund assets after the market is closed on each valuation date
The balance quantity of the amount is calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place
Errors are included in the fund assets. If the state has other provisions, such provisions shall prevail.
2. The Fund Manager shall value the Fund assets within two working days after each valuation date. T day
The net value of fund units and the cumulative net value of fund units shall be calculated on T+2 day and announced within T+3 day. But the fund
Except when the Manager suspends valuation in accordance with laws and regulations or the Fund Contract. The Fund Manager shall
After the valuation is completed within two working days after the duty day, the net value of the fund units on the valuation day and the cumulative net value of the fund units
The value results shall be sent to the Fund Custodian, and the Fund Manager shall publish them to the public after the Fund Custodian has verified them to be correct.
（2） Net value of fund assets, net value of fund units
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of fund units and the cumulative net value of fund units shall be disclosed at least once a week on the designated website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
The opening day shall be disclosed through the designated website, fund sales agency website or business outlet within 3 working days after
The net value of the fund units and the cumulative net value of the fund units.
The Fund Manager shall, no later than three working days after the last day of the half year and the year
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
The website discloses the net value of fund units and the accumulated net value of fund units for the half year and the last day of the year.
7、 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 agreed in the Fund Agreement that may not be passed by the General Meeting of Fund Unitholders shall be decided by the Fund Manager
And the Fund Custodian, 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 come into force on the date of voting
The convener shall report to the CSRC for filing within 5 days from the date of adoption
After taking effect, it shall be announced on the designated media in accordance with the relevant provisions of the Information Disclosure Measures.
（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. The Fund is merged by other funds or the Fund is merged with other funds into a new fund;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers qualified to engage in securities and futures related businesses, and CSRC
Fixed personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Property Liquidation Team shall take over the Fund in a unified manner;
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
(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 fund assets shall not exceed 6 months. However, due to the liquidity of the securities held by the Fund
If the liquidation cannot be realized in time due to limitation, 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 from the fund assets by the fund assets liquidation group in priority.
（5） Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The report on the liquidation of the fund assets has been issued with
Certified public accountants with relevant business qualifications shall audit and the legal opinion shall be issued by the law firm and then submitted to China
The CSRC shall put on record and make an announcement. The fund assets liquidation announcement shall be made after the fund assets liquidation report is submitted to the CSRC for filing
The Fund Assets Liquidation Group shall make an announcement within 5 working days, and the Fund Assets Liquidation Group shall submit the liquidation report
It shall be published on the designated website, and the suggestive announcement of the liquidation report shall be published on the designated newspaper.
（7） Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 15 years.
（8） The merger of the Fund with other funds shall be carried out in accordance with the procedures prescribed by laws and regulations.
8、 Settlement of disputes
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, either party has the right to submit the dispute to China International Economic and Trade Arbitration
Arbitration Commission, the Arbitration Commission shall conduct arbitration in accordance with the Commission's arbitration rules in effect at that time, and the place of arbitration shall be Beijing
Huatai Baoxing Robust Allocation Three month Holding Period Hybrid Fund Fund (FOF) Fund Contract
City. The arbitration award is final and binding on all parties. The arbitration fees and attorney fees shall be paid by
The losing party shall bear the responsibility.
During the period of dispute resolution, the parties concerned shall abide by the responsibilities of the Fund Manager and the Fund Custodian, continue to be faithful
Fulfill the obligations specified in the Fund Contract diligently and responsibly, and safeguard the legitimate rights and interests of fund share holders.
The Fund Contract shall be governed by the laws of China.
9、 Depository of fund contracts and ways for investors to obtain fund contracts
The Fund Contract can be printed in a volume for investors to register with the Fund Manager, Fund Custodian and Sales Agency
For office and business premises.