Ping An China Securities subdivided food and beverage industry, subject transaction oriented opening
Escrow Agreement of Index Securities Investment Fund
Fund Manager: Ping An Fund Management Co., Ltd
Fund Custodian: Bank of Nanjing Co., Ltd
catalog
1、 Parties to the Fund Custody Agreement four
2、 Basis, purpose and principle of fund custody agreement five
3、 Fund Custodian's Business Supervision and Verification of Fund Manager six
4、 The Fund Manager's business verification of the Fund Custodian twelve
5、 Custody of Fund Property thirteen
6、 Sending, confirming and executing instructions sixteen
7、 Transaction, clearing and settlement arrangements twenty
8、 Calculation, valuation and accounting of fund net asset value twenty-two
9、 Fund income distribution twenty-four
10、 Fund information disclosure twenty-five
11、 Fund expenses twenty-seven
12、 Custody of the Register of Fund Unitholders twenty-eight
13、 Preservation of Fund related documents and archives twenty-nine
14、 Replacement of Fund Manager and Fund Custodian thirty
15、 Prohibited acts thirty-one
16、 Change and termination of custody agreement and liquidation of fund assets thirty-two
17、 Liability for breach of contract thirty-three
18、 Dispute resolution thirty-four
19、 Effectiveness of the Escrow Agreement thirty-five
20、 Other matters thirty-six
21、 Signing of Escrow Agreement thirty-seven
Whereas Ping An Fund Management Co., Ltd. is a legally established and validly existing limited liability company in accordance with Chinese laws,
Have the qualification and ability to act as fund manager in accordance with relevant laws and regulations, and plan to raise and issue Ping An China Securities subdivided food
Beverage Industry Theme Trading Open Index Securities Investment Fund;
Whereas Bank of Nanjing Co., Ltd. is a bank legally established and validly existing in accordance with the laws of China
Having the qualification and ability to act as the Fund Custodian as required by laws and regulations;
Whereas Ping An Fund Management Co., Ltd. plans to act as the subject trading open-ended index card of Ping An China Securities subdivided food and beverage industry
The fund manager of the securities investment fund, Bank of Nanjing Co., Ltd., intends to serve as the subject of the food and beverage industry of Ping An Securities
The fund custodian of the exchange type open-ended index securities investment fund;
To clarify the fund manager and
This Custodian Agreement is hereby formulated for the rights and obligations between the Fund Custodians;
Unless otherwise agreed, "Ping An China Securities Segmentation Food and Beverage Industry Theme Trading Open Index Securities Investment Fund"
The terms defined in the Agreement (hereinafter referred to as "Fund Contract") shall have the same meaning when used in this Custodian Agreement
The Fund Contract shall prevail.
1、 Parties to the Fund Custody Agreement
（1） Fund manager
Name: Ping An Fund Management Co., Ltd
Address: Floor 34, Ping An Financial Center, No. 5033, Yitian Road, Futian Street, Futian District, Shenzhen
Office address: 34/F, Ping An Financial Center, 5033 Yitian Road, Futian Street, Futian District, Shenzhen
Postal code: 518000
Legal representative: Luo Chunfeng
Time of establishment: January 7, 2011
Approved by: China Securities Regulatory Commission
Establishment Approval No.: ZJXK [2010] No. 1917
Organizational form: limited liability company (Sino foreign joint venture)
Registered capital: RMB1300 million
Duration: continuous operation
Business scope: fund raising; Fund sales; Asset management and other businesses permitted by the CSRC.
（2） Fund Custodian
Name: Bank of Nanjing Co., Ltd. (hereinafter referred to as "Bank of Nanjing")
Address: No. 288, Zhongshan Road, Xuanwu District, Nanjing
Office address: No. 288, Zhongshan Road, Xuanwu District, Nanjing
Legal representative: Hu Shengrong
Time of establishment: February 6, 1996
Organizational form: limited liability company
Registered capital: RMB 10007016973
Duration: continuous operation
Approval No. of fund custody business: CSRC ZJXK [2014] No. 405
2、 Basis, purpose and principle of fund custody agreement
（1） Basis for entering into custody agreement
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the "Fund Law"), the Public Offering Certificate
Management Measures for the Operation of Securities Investment Funds (hereinafter referred to as "Operation Measures"), Liquidity of Public Offering Open ended Securities Investment Funds
Risk Management Regulations (hereinafter referred to as "Liquidity Risk Management Regulations"), Information Disclosure Management of Publicly Offered Securities Investment Funds
The Measures (hereinafter referred to as the "Information Disclosure Measures") and other relevant laws and regulations, fund contracts and other relevant provisions are formulated.
（2） Purpose of entering into custody agreement
The purpose of entering into this Agreement is to clarify the custody, investment operation
Rights, obligations and responsibilities in matters related to value calculation, income distribution, information disclosure and mutual supervision to ensure the security of fund assets
All, to protect the legitimate rights and interests of fund share holders.
（3） Principles for entering into custody agreement
The Fund Manager and the Fund Custodian have fully protected the legitimate rights and interests of the Fund Unitholders on the basis of equality, voluntariness, honesty and credibility
In principle, this agreement is signed by consensus.
3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
The capital objects shall be supervised. If the Fund Contract clearly stipulates the investment style or securities selection criteria of the Fund, the Fund Manager shall
The format required by the Fund Custodian provides a pool of investment varieties so that the Fund Custodian can use relevant technical systems to actually invest in the Fund
Supervise whether it conforms to the provisions of the Fund Contract on the securities selection criteria, and check the matters with doubts.
The Fund mainly invests in constituent stocks and alternative constituent stocks (including depositary receipts
Certificate). In order to better achieve the investment objectives, the Fund can also invest in non constituent stocks (including the main board, SME board, GEM and
Stocks, depositary receipts, bonds (including treasury bonds, central bank bills, local government bonds, and gold) that he is allowed to invest by the CSRC
Financial bonds, corporate bonds, corporate bonds, subordinated bonds, convertible bonds, exchangeable bonds, convertible bonds for separate transactions, medium-term notes, short-term notes
Long term financing bonds, ultra short term financing bonds, government supported institutional bonds, government supported bonds and other bonds permitted by the CSRC to invest
Bonds), money market instruments, stock index futures, treasury bond futures, stock options, bank deposits (including negotiated deposits and call deposits
And time deposits and other bank deposits), inter-bank deposit receipts, asset-backed securities, bond repurchases, cash and laws and regulations or
Other financial instruments that the CSRC allows the fund to invest in (subject to the relevant provisions of the CSRC).
The Fund will participate in the financing and refinancing securities lending business in accordance with laws and regulations.
The proportion of the Fund's investment in the constituent stocks and their alternative constituent stocks of the CSI sub sector food and beverage industry theme index is no less than the base
90% of the net value of gold assets, and shall not be less than 80% of the non cash fund assets, except for those restricted by laws and regulations
Outside. At the end of each trading day, after deducting the trading deposits required to be paid for stock index futures, treasury bond futures and stock option contracts,
It shall maintain cash no less than one time of the trading margin, of which cash does not include settlement reserves, deposits and accounts receivable
Purchase, etc.
If laws and regulations or regulatory authorities allow the Fund to invest in other varieties or change the investment proportion limit in the future, the Fund Manager
After performing appropriate procedures, the provisions on the scope and proportion of investment may be adjusted accordingly.
（2） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Supervision. The Fund Custodian shall supervise according to the following proportion and adjustment period:
1) The proportion of the Fund's investment in the underlying index constituent stocks and alternative constituent stocks shall not be less than 90% of the net asset value of the Fund, and shall not
Less than 80% of non cash fund assets;
2) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10%；
3) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
4) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed that of the asset-backed certificate
10% of the coupon size;
5) All funds managed by the Fund Manager shall invest in all kinds of asset-backed securities of the same original equity holder, and shall not exceed
10% of the total size of its various asset-backed securities;
6) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB). Assets held by the fund
During the period of holding securities, if its credit rating declines and it no longer meets the investment standards, it shall give a
Sell in full;
7) Fund assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total assets of the Fund
The number of shares declared shall not exceed the total number of shares issued by the company to be issued this time;
8) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed the net asset value of the Fund
40%, and the maximum term of bond repo in the national inter-bank market is one year, and the bond repo cannot be extended after maturity;
9) The Fund participates in stock index futures trading and constructs portfolios according to the following standards:
① At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed the net asset value of the Fund
10%；
② The value of treasury bond futures and stock index futures contracts held by the Fund at the end of any trading day and the market value of securities
The sum shall not exceed 100% of the net asset value of the fund, of which, securities refer to stocks and bonds (excluding those with maturity within one year)
Government bonds), asset-backed securities, redemptory financial assets for sale (excluding pledge repurchase), etc;
③ At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed the shares held by the Fund
20% of the total market value;
④ The total (netting calculation) of the market value of the stocks held by the Fund and the value of the stock index futures contracts purchased and sold shall conform to
Relevant provisions on the proportion of stock investment in the fund contract;
⑤ The trading amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions) shall not exceed that of the previous one
20% of the net asset value of Yiri Fund;
10) The Fund's participation in treasury bond futures trading shall comply with the following investment restrictions:
① At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed the net asset value of the Fund
15%；
② At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund shall not exceed the total amount of bonds held by the Fund
30% of the market value;
③ The trading amount of treasury bond futures contracts traded by the Fund in any trading day (excluding closing positions) shall not exceed that of the previous one
30% of the net asset value of Yiri Fund;
④ Market value of bonds held by the Fund (excluding government bonds with maturity within one year) and purchase and sale of treasury bond futures
The total contract value (netting calculation) shall comply with the relevant provisions of the fund contract on the proportion of bond investment;
11) At the end of each trading day, after deducting the trading deposits required to be paid for stock index futures, treasury bond futures and stock option contracts,
It shall keep cash no less than one time of the trading margin;
12) The total value of the Fund's assets shall not exceed 140% of the Fund's net asset value;
13) If the Fund participates in financing, at the end of each trading day, the financing stocks and other securities markets held by the Fund
The sum of the values shall not exceed 95% of the net asset value of the fund;
14) The Fund's participation in refinancing securities lending business shall meet the following requirements:
① Lending securities assets shall not exceed 30% of the net asset value of the fund. Lending securities with a lending period of more than 10 trading days
Should be classified as restricted liquidity assets;
② The single securities participating in the refinancing securities lending business shall not exceed 30% of the total securities held by the fund;
③ The average daily net asset value of the fund in the latest six months shall not be less than 200 million yuan;
④ The average residual maturity of securities lending shall not exceed 30 days, and the average residual maturity shall be calculated according to the market value weighted average;
15) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed 15% of the Fund's net asset value; Due to evidence
The fund does not meet this ratio due to factors other than the fund manager, such as fluctuations in the securities market, stock suspension of listed companies, changes in fund size, etc
In case of restrictions, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
16) The Fund, private securities asset management products and other subjects identified by the CSRC carry out reverse repurchase for counterparties
In case of transaction, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the fund contract;
17) The total amount of premium paid and received by the Fund due to the outstanding stock option contract shall not exceed 10% of the net asset value of the Fund;
Those who open positions to sell subscription stock options shall hold sufficient underlying securities; For opening positions to sell put options, it is necessary to hold
The full amount of cash or cash equivalents recognized by the rules of the Exchange that can offset the option margin; Open position of stock option contract
The value shall not exceed 20% of the net asset value of the fund. The par value of the contract is calculated by multiplying the exercise price by the contract multiplier;
18) The proportion limit of the Fund's investment in depositary receipts shall be subject to the domestic listed stocks;
19) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
In addition to the situations in Items 6), 14), 15) and 16) above, due to fluctuations in the securities market, futures market, and securities issuers
Merger, fund size change, adjustment of underlying index component stocks, liquidity restrictions of underlying index component stocks and other fund managers
If the investment proportion of the Fund does not meet the above investment proportion due to factors, the Fund Manager shall adjust it within 10 trading days
Except for special circumstances stipulated by the CSRC. Where laws and regulations provide otherwise, such provisions shall prevail.
Due to factors other than fund managers, such as fluctuations in securities and futures markets, mergers of securities issuers, changes in fund size, etc
If the fund investment does not comply with the provisions of Item 14), the fund manager shall not add refinancing securities lending business.
The Fund Manager shall, within six months from the effective date of the Fund Agreement, make the proportion of the Fund's investment portfolio conform to the Fund Agreement
Relevant agreements. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract. Fund Custody
The supervision and inspection of the investment of the Fund shall begin from the effective date of the Fund Agreement.
If laws, regulations or regulatory authorities cancel the above restrictions or changes, if applicable to the Fund, the Fund Manager shall perform appropriate procedures
After that, the investment of the Fund will no longer be subject to relevant restrictions or the changed provisions shall prevail.
（3） When a fund participates in refinancing securities lending business, the manager shall abide by the principle of prudent operation and be equipped with technical systems and specialized
Business personnel, formulate scientific and reasonable investment strategies and risk management systems, improve business processes, effectively prevent and control risks
The custodian will supervise and review the fund's participation in lending business.
（4） The Fund Custodian prohibits the Fund investment in accordance with the provisions of relevant laws and regulations and the Fund Contract
Supervise through post supervision.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, actual controllers or
Securities issued by companies with major interests or securities underwritten during the underwriting period, or other major related transactions
Should comply with the investment objectives and strategies of the Fund, follow the principle of giving priority to the interests of fund share holders, and prevent conflicts of interest,
Establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable market prices. Relevant transactions must be obtained from the fund in advance
Consent of the custodian and disclosure in accordance with laws and regulations. Major related party transactions shall be submitted to the Board of Directors of the Fund Manager for review and
More than two-thirds (including two-thirds) of the independent directors passed. The Board of Directors of the Fund Manager shall, at least every six months
Item.
In accordance with the provisions of laws and regulations on the Fund's engaging in connected transactions, the Fund Manager and the Fund Custodian shall provide each other in advance
The list of shareholders who have a controlling relationship with this institution or companies who have other major interests with this institution and its update, and ensure that
The authenticity, integrity and comprehensiveness of the list of connected transactions provided. The Fund Manager is responsible for keeping the true, complete and comprehensive
List of connected transactions, and be responsible for updating the list in a timely manner.
If the Fund Custodian finds that the related party transactions between the Fund Manager and the related parties listed in the list of related party transactions violate the law
When required by laws and regulations, the Fund Custodian shall timely remind and assist the Fund Manager to take necessary measures to prevent the occurrence of such connected transactions,
If the Fund Custodian fails to prevent the occurrence of connected transactions after taking necessary measures, the Fund Custodian has the right to report to the CSRC
Notice. For the illegal connected transactions that have been transacted on the exchange floor, the fund custodian shall comply with the relevant laws and regulations and the rules of the exchange
And report to the CSRC at the same time.
（5） In accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract, the Fund Custodian participates in the Bank
The inter-bank bond market shall be supervised. The Fund Manager shall provide the Fund Custodian with information in compliance with laws and regulations prior to the investment and operation of the Fund
And the list of industry standard, carefully selected inter-bank bond market counterparties applicable to the Fund, and agree on each trading pair
The applicable transaction settlement method. The Fund Manager shall select in the inter-bank bond market in strict accordance with the list of counterparties
Select the counterparty. The Fund Custodian supervises whether the Fund Manager enters the list of counterparties in the inter-bank bond market provided in advance
Bank non securities payment (DVP) transactions. The fund manager can check the list of counterparties and clearing parties in the inter-bank bond market every six months
The new list shall be updated in accordance with the agreement
Make settlement. If the fund manager needs to temporarily adjust the list of counterparties and the clearing party in the inter-bank bond market according to the market situation
In the case of the Fund Custodian, the reasons shall be explained to the Fund Custodian and the Fund Custodian shall negotiate with the Fund Custodian in advance. If the fund manager fails to trust the fund
The Fund Custodian shall have the right to refuse the inter-bank transaction
Manual supervision.
The fund manager is responsible for controlling the credit of the counterparty, conducting transactions according to the trading rules of the inter-bank bond market, and is responsible for
The Fund Custodian shall not bear any legal liability for the settlement of disputes and losses caused by the counterparty's failure to perform the contract
Any loss. If the non performing counterparty still fails to bear the liability for breach of contract before the time determined by the Fund Custodian and the Fund Manager
And other relevant legal liabilities, the fund manager can first bear the corresponding losses, and then recover from the relevant counterparties
Reimbursement. The Fund Custodian shall supervise the performance of the contract according to the transaction sheet of the inter-bank bond market. For example, the fund trusteeship personnel issued later
The Fund Custodian shall timely remind the Fund Manager when the Fund Manager fails to conduct transactions in accordance with the counterparty or trading method agreed in advance
The Fund Manager and the Fund Custodian shall not bear any losses and liabilities arising therefrom.
（6） The Fund Custodian shall calculate the net asset value of the Fund
Net value calculation of fund units, receipt of funds receivable, determination of fund expenses and income, distribution of fund income, relevant information disclosure
The fund performance data in the fund promotion materials shall be monitored and verified.
（7） The Fund Custodian finds that the above matters and investment orders or actual investment operations of the Fund Manager violate laws and regulations
In accordance with the provisions of the Fund Contract and this Custodian Agreement, the Fund Manager shall be notified of the deadline in a timely manner by telephone reminder or written reminder
Correction. The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision and verification. After receiving the written notice, the Fund Manager shall
Timely check and send a written reply to the Fund Custodian, explain or provide evidence on the Fund Custodian's doubts, and explain the violation
Regulate the causes and correction period, and ensure timely correction within the specified period. The Fund Custodian has the right to
Review the notice and urge the fund manager to correct. The Fund Manager fails to register the violations notified to the Fund Custodian in the
The Fund Custodian shall report to the CSRC if it makes corrections within the time limit.
（8） The Fund Manager has the obligation to cooperate and assist the Fund Custodian in accordance with laws and regulations, the Fund Contract and this Custodian Agreement
It is suggested to check the fund business. The Fund Manager shall reply to and correct the written prompt sent by the Fund Custodian within the specified time
Positive, or explain or provide evidence on the doubts of the Fund Custodian; In accordance with laws and regulations, the Fund Agreement and this
The Fund Manager shall actively cooperate with the CSRC to provide relevant information on matters requiring the submission of fund supervision reports to the CSRC as required by the custody agreement
Data and system, etc.
（9） If the Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate laws, administrative regulations and
In case of any other relevant provisions or violation of the Fund Contract, the Fund Manager shall be notified immediately
The Fund Manager shall undertake.
（10） If the Fund Custodian finds that the Fund Manager has major violations, it shall report to the CSRC in a timely manner and notify the Fund Custodian
The financial manager shall make corrections within a time limit and report the correction results to the CSRC. The Fund Manager refuses or obstructs the Fund without justified reasons
The Custodian shall exercise the right of supervision in accordance with the provisions of this Custodian Agreement, or prevent the Fund Custodian from conducting effective supervision by means of delay, fraud, etc
The Fund Custodian shall report to the CSRC if the circumstances are serious or the Fund Custodian still fails to correct after giving a warning.
4、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of custody duties by the Fund Custodian, and the verification items shall include the security of the Fund Custodian
Fully custody of fund assets, opening of fund accounts, securities accounts and other accounts required for investment of fund assets, and review of fund manager calculations
Net value of fund assets and net value of fund units, clearing and settlement according to the instructions of the fund manager, relevant information disclosure and supervision basis
Financial investment and operation.
（2） The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization, fails to manage the Fund assets separately, and fails to
It violates the Fund Law, the Fund Agreement
In the case of the custody agreement and other relevant provisions, the Fund Custodian shall be notified in writing in a timely manner to make corrections within a time limit. Letter of Receipt of the Fund Custodian
After the face to face notice, it shall check in time and send a written reply to the fund manager before the next working day, stating the reasons for the violation and
Correct the time limit, and ensure to correct in time within the specified time limit. The Fund Manager has the right to notify
And urge the Fund Custodian to make corrections.
（3） The Fund Custodian has the obligation to cooperate and assist the Fund Manager to
The fund business implementation verification includes but is not limited to: the fund custodian shall send a written prompt to the fund manager within the specified time
Reply and correct, or explain or provide evidence on the doubts of the Fund Manager; The Fund Custodian shall actively cooperate in providing relevant materials
So that the Fund Manager can verify the integrity and authenticity of the custody property.
（4） If the Fund Manager finds that the Fund Custodian has major violations, it shall report to the CSRC in a timely manner and notify the Fund Custodian
The gold custodian shall make corrections within a time limit and report the results of the corrections to the CSRC.
5、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
2. The Fund Custodian shall keep the Fund assets in safe custody.
3. The Fund Custodian shall open capital accounts, securities accounts and other accounts required for investment in accordance with regulations.
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody, conduct independent accounting and separate account management to ensure the fund assets
The integrity and independence of the product.
5. The Fund Custodian shall, in accordance with the instructions of the Fund Manager, keep the Fund assets in accordance with the Fund Contract and this Agreement. have not yet
The Fund Manager shall not use, dispose of or distribute any assets of the Fund on its own with its proper instructions. Not actually belonging to the fund custodian
The Fund Custodian shall not be liable for the damage and loss of assets and physical securities under effective control during the custody of the Fund Custodian
Liability arising.
6. For the assets receivable arising from the fund investment, the fund manager shall be responsible for determining the date of receipt with the relevant parties
The Fund Custodian shall also notify the Fund Custodian that if the Fund assets fail to reach the Fund's capital account on the account day, the Fund Custodian shall notify the Fund Custodian in a timely manner
If the Manager takes measures to collect the funds, the Fund Manager shall be responsible for recovering the losses of the Fund property from the relevant parties.
7. Fund funds deposited or deposited by the Fund Custodian in institutions other than the Fund Custodian due to the investment of the Fund Manager
Or the fund assets (including but not limited to those in the futures margin account
Funds, futures contracts, etc.) and their earnings, due to the fraud of a third party other than the parties to this Agreement, such institution or its member units
No liability shall be assumed for losses caused to fund assets due to fraud, negligence, negligence or bankruptcy.
8. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust a third person to custody the Fund assets.
（2） Fund raising period and capital verification of raised funds
1. A "special account for fund raising" shall be opened for the funds raised during the fund raising period. The account shall be opened and managed by the fund manager.
2. When the fund raising period expires or the fund ceases to raise, the total amount of fund units raised and the amount of fund raised (including offline share subscription
The value of the shares purchased is calculated according to the valuation method agreed in the fund contract). The number of fund share holders complies with the Fund Law
After the relevant provisions such as the Operating Measures, the Fund Manager shall transfer all funds belonging to the Fund property to the Fund Custodian as the Fund
The fund fund account opened, and the application of the fund manager within the specified time shall comply with the Securities Law of the People's Republic of China
The specified accounting firm shall verify the capital and issue a capital verification report. The capital verification report issued by 2 or 2 participants
It is valid only after being signed by Chinese CPA.
3. If the fund raising period expires and the conditions for the effectiveness of the fund contract are not met, the fund manager shall handle refunds as required
Matters, the frozen shares shall be unfrozen and returned to the investors in accordance with the relevant rules of the Exchange and the registration and clearing institutions, and shall be registered and settled
The institution and the offering agent will assist the fund manager to complete the return of relevant funds and securities.
（3） Opening and management of fund account
1. The Fund Custodian shall open a fund account (also referred to as "custody account") in its business institution in the name of the Fund,
To keep the bank deposits of the Fund and handle the receipt and payment of funds according to the instructions of the Fund Manager-
2. The opening and use of the Fund's capital account shall be limited to meet the needs of conducting the Fund's business. Fund Custodian and Fund Management
I shall not open any other bank account in the name of the Fund; Nor use any account of the Fund to conduct the Fund industry
Non business activities.
3. The opening and management of the fund account shall comply with laws and regulations and the relevant provisions of the banking regulatory authority.
（4） Opening and management of fund securities account and settlement provision account
1. The Fund Custodian shall open the Fund Funds in the Shanghai Branch and Shenzhen Branch of China Securities Depository and Clearing Corporation Limited
A securities account jointly signed by the fund custodian and the fund.
2. The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Fund Custodian and Fund Management
The Manager shall not lend or transfer any securities account of the Fund without the consent of the other party, nor use any account of the Fund to
Conduct activities other than the Fund's business.
3. The fund custodian shall be responsible for the opening of the fund securities account and the safekeeping of the securities account card, and the management and application of the account assets
The Fund Manager shall be responsible for it.
4. The Fund Custodian shall open a clearing provision account in the name of the Fund Custodian in China Securities Depository and Clearing Co., Ltd
And complete the liquidation with the first level legal person of China Securities Depository and Clearing Co., Ltd. on behalf of the funds under its custody
Managers should give active assistance. The collection of settlement provisions, settlement deposits, etc. shall be subject to China Securities Depository and Clearing Corporation Limited
Implementation of the provisions of.
5. If the CSRC or other regulatory authorities allow the Fund to engage in other investment varieties after the date of this Custody Agreement
Investment business involving the opening and use of relevant accounts shall be opened, used and managed in accordance with relevant regulations; If there is no relevant regulation
The Fund Custodian shall follow the above provisions on account opening and use.
（5） Opening and management of bond custody account
After the Fund Contract comes into force, the Fund Custodian shall, in accordance with the provisions of the People's Bank of China, the Central Government Securities Depository and Clearing Co., Ltd. and the Bank
The relevant provisions of the Inter market Clearing House Co., Ltd
The inter-bank market registration and settlement institution shall open a bond custody account and conduct the settlement of inter-bank market bonds on behalf of the Fund.
（6） Opening and management of other accounts
1. The fund manager shall open a futures margin account and futures trading code according to the investment needs and regulations, and the fund shall be placed in custody
People shall open futures settlement accounts and other accounts required for investment in accordance with regulations. After the above account is opened, the Fund Manager shall
Report the initial capital password of the futures margin account provided by the futures company and the login user name and password of the market monitoring center
Know the Fund Custodian. The fund manager shall reset the fund password and the login password of the Market Monitoring Center, and must notify the fund manager in time after resetting
Know the Fund Custodian.
The Fund Custodian and the Fund Manager shall cooperate with each other in the process of opening accounts and provide the necessary information. Fund Manager Guarantee
The authenticity and validity of the account opening materials provided, and timely provide the changed materials to
Gold Custodian.
2. Other accounts opened for business development may be managed by the fund in accordance with laws and regulations and the provisions of the fund contract
The Fund Custodian shall assist the Fund Custodian to open the Fund after consultation in accordance with relevant laws and regulations and this Agreement. The new account shall be used according to relevant regulations and
Administration.
3. If laws and regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail.
（7） Custody of relevant valuable certificates of fund property investment
Valuable certificates such as physical securities invested by the Fund assets shall be deposited by the Fund Custodian in the custody of the Fund Custodian as agreed
Treasury, or deposited in the Central Government Securities Depository and Clearing Co., Ltd., Interbank Market Clearing House Co., Ltd., and China Securities Depository
The physical custody certificate of the depository of the clearing limited liability company or the bill business center shall be held by the fund custodian. Physical securities, etc
The purchase and transfer of valuable vouchers shall be handled by the Fund Custodian in accordance with the instructions of the Fund Manager. The Fund Custodian shall pay the deposit
Valuable vouchers actually and effectively controlled by institutions other than the institution and the fund custodian shall not bear the custody responsibility.
（8） Custody of major contracts related to fund assets
The originals of the major contracts signed by the Fund Manager on behalf of the Fund and related to the Fund property shall be respectively
Custody by the gold custodian. Unless otherwise specified in this Agreement, major contracts signed by the Fund Manager on behalf of the Fund in connection with the Fund's assets
The Fund Manager and the Fund Custodian shall each hold at least one original. The Fund Manager shall sign major contracts
After that, the major contract shall be faxed to the Fund Custodian in a timely manner, and the original shall be delivered to the Fund Custodian within 30 working days. Due to the fund
The Fund Manager shall be responsible for the consequences caused by the inconsistency between the faxed contract sent by the Manager and the original contract delivered afterwards. heavy
The term of custody of the large contract shall not be less than the period specified by laws and regulations after the termination of the fund contract.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with a fax of the contract with the official seal affixed
The original contract shall not be transferred without mutual agreement. The fax of the contract provided by the Fund Manager to the Fund Custodian and the
If the original documents retained by the fund manager are inconsistent, the fax shall prevail.
6、 Sending, confirmation and execution of instructions
When the Fund Manager uses the Fund assets, it sends the Fund Custodian instructions for fund transfer and other payments
The custodian shall implement the instructions of the fund manager and handle the fund transactions under the name of the fund.
The instructions sent by the fund manager include electronic instructions and paper instructions.
Electronic instructions include electronic instructions sent by the fund manager (electronic instructions sent by electronic message, online custody
The electronic instructions entered by the bank manager client), automatically generated electronic instructions (the online custodian bank custodian end is based on the pre
The electronic instructions automatically generated by the business rules set first). The Fund Manager shall use fax or other means before enabling electronic instructions
Send the activation letter to the Fund Custodian by consensus with the Fund Custodian. The activation letter shall indicate the type of business enabled
Use date, etc. The activation letter shall be stamped with the official seal of the fund manager.
Before sending paper instructions, the fund manager shall issue a fax instruction activation letter, indicating the fax number
Email address for sending instruction attachment, instruction confirmation personnel and their contact information.
（1） Written authorization of the Fund Manager to the personnel who send instructions
Content of authorization notice: The Fund Manager shall provide the Fund Custodian with a written authorization notice in advance (hereinafter referred to as "Authorization Notice")
The authorized person of the designated order and the authorized seal, and the content of the authorization notice includes the list of authorized persons, signature and seal samples
Authority and reserved seal. The authorization notice shall be stamped with the official seal of the fund manager and the effective time shall be indicated. The Fund Manager shall use
Send a notice of authorization to the Fund Custodian in real or other ways agreed with the Fund Custodian, and notify the Fund Custodian by telephone at the same time
People. The notice of authorization is approved by the Fund Manager and the Fund Custodian by telephone or other fund managers and the Fund Custodian
After the method is confirmed, it will take effect at the effective time specified in the authorization notice. If the effective time is not specified, it will live on the signing date of the authorization notice
Effective date. The Fund Manager shall send the original of the authorization notice to the Fund Custodian within three working days thereafter. Original notice of authorization
If the content is inconsistent with the fax received by the Fund Custodian, the fax received by the Fund Custodian shall prevail.
The Fund Manager and the Fund Custodian are obliged to keep confidential the authorization notice, and their contents shall not be disclosed to the authorizer, the authorized person and
It is disclosed by anyone other than the operator, unless otherwise required by laws and regulations or the competent authority.
（2） Content of instructions
Investment instruction refers to the transaction order, transaction instruction and capital issued by the Fund Manager to the Fund Custodian during the management of the Fund
Money transfer instructions (hereinafter referred to as "instructions"). The order shall be stamped with the reserved seal and signed by the authorized person. Issued by the fund manager
The fund custodian's fund transfer instructions shall specify the reason, time, amount, information of the withdrawal and collection accounts, etc.
（3） Time and procedure for sending, confirming and executing instructions
1. Delivery of instructions: The Fund Manager shall, in accordance with relevant laws and regulations and the provisions of this Agreement
And within the transaction authority, in accordance with the authorization of the authorization notice, to
Sent by the Fund Custodian. When sending instructions, the Fund Manager shall ensure that the relevant withdrawal account has sufficient fund balance and
The gold custodian shall set aside the time necessary to execute the order.
For offline public offerings such as subscription of new shares and new bonds, the fund manager shall, before 10:00 on the payment date of offline subscription
The order is sent to the fund custodian.
For the futures deposit and withdrawal business, the fund manager shall transfer the futures deposit and withdrawal 2 hours before the deadline of the deposit and withdrawal on the trading date
The gold instruction is sent to the fund custodian.
For OTC business, the Fund Manager shall confirm with the Fund Custodian that the trading unit and
The shareholder code can only be set.
The Fund Manager shall confirm with the Fund Custodian that the Fund Custodian has completed the certificate and authority setting before proceeding with the Fund's
Inter bank transactions.
The Fund Manager shall send the trading instructions to the Fund Custodian 2 hours in advance for the withdrawal at a specified time; about
The Fund Custodian does not guarantee the withdrawal of funds on the same day as the instructions sent by the Fund Manager to the Fund Custodian after 15:00.
2. Confirmation of instructions: The Fund Manager is obliged to confirm with the Fund Custodian by telephone after sending the instructions. For
The Fund Manager shall not deny the effectiveness of the order issued by the "Authorization Notice".
3. Execution of instructions: After the Fund Custodian confirms receipt of the instructions sent by the Fund Manager, it shall conduct a formal review of the instructions,
Verify whether the elements of the instruction are complete, and check whether the seal and signature of the fax instruction and the surface of the reserved seal and signature sample
The order shall be implemented in time within the specified time limit after being checked without error.
Under normal circumstances, the Fund Custodian will transfer funds through the futures settlement bank in accordance with the deposit and withdrawal instructions issued by the Fund Manager
The account system performs debit and credit operations.
In case of other emergencies such as failure of the bank futures transfer system of the settlement bank, the fund manager can use non bank futures transfer
Manual deposit and withdrawal.
Manual deposit and withdrawal of non bank term transfer, the deposit shall be paid by the fund custodian through the settlement bank according to the transfer instruction provided by the fund manager
After the bank's online banking system is transferred to the designated account of the futures company, the fund manager shall notify the futures company to carry out the deposit operation, and the withdrawal shall be made by
After the fund manager notifies the futures company of the withdrawal of funds, it will send instructions to the fund custodian, which will provide them according to the fund manager
The transfer instruction of is transferred to the fund custody account through the online banking system of the settlement bank.
After executing the operation of futures cash out or cash in, the fund manager shall query the cash out transfer through its trading system or terminal system
Outgoing and incoming cash.
On the premise that the order has not been executed, if the fund manager cancels the order, the fund manager shall indicate "invalid"
"Abolished" and other words shall be faxed to the Fund Custodian after being stamped with the reserved seal and the signature of the authorized person, and the Fund Custodian shall be notified by telephone.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
1. The circumstances under which the fund manager sends wrong instructions include that the instruction sender has no right or exceeds the authority to send instructions, and the instructions do not
It can be identified or the elements are incomplete, which leads to the failure of implementation.
2. When the Fund Custodian believes that the instructions received are wrong, it shall timely confirm with the Fund Manager by telephone
Stop the execution of the order and request the fund manager to resend the order. The Fund Custodian has the right to require the Fund Manager to provide relevant documents
Exchange vouchers, contracts or other effective accounting information to ensure that the Fund Custodian has sufficient information to judge the effectiveness of the order. base
The gold custodian shall restart the execution of the order after receiving all relevant information and judging that the order is effective. The Fund Manager shall, within a reasonable time
Supplement relevant materials and reserve necessary execution time for the Fund Custodian, otherwise the Fund Custodian will not accept the delay caused thereby
Take responsibility.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
The Fund Custodian finds that the instructions sent by the Fund Manager may violate the Fund Law, the Operation Measures, the Fund Contract
In case of provisions of this Agreement or other relevant laws and regulations, the execution of instructions shall be suspended and the Fund Manager and the Fund Manager shall be notified in a timely manner
Timely check and correct after receiving the notice; If the relevant transaction has come into effect, the Fund Manager shall be notified to rectify within 10 working days
And report to the CSRC. As for the transaction behavior that is difficult to supervise before the fund custodian, the fund custodian has performed
The notification to the fund manager and the reporting obligation to the CSRC shall be deemed as full performance of its investment supervision responsibilities. yes
The Fund Manager violates the Fund Law, the Operation Measures, the Fund Contract, this Agreement or other relevant laws and regulations
If any loss of fund property is caused, the fund manager shall bear the corresponding responsibility, and the fund custodian shall be exempted from the responsibility.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
For the effective instructions and notices of the fund manager, unless it violates laws and regulations, the fund contract, the custody agreement or has the provisions of Article (4)
The Fund Custodian shall not unreasonably refuse or delay the implementation of the errors mentioned in Item (1), or it shall
Be liable for damages.
The Fund Custodian shall be liable for compensation for any damage to the interests of the Fund or the Fund Manager caused by its intention or negligence
The Bank's fund manager shall not be liable for any loss caused to the fund property by its lawful order.
（7） Procedures for replacing authorized personnel
The fund manager must use the fax at least one trading day in advance to replace the authorized personnel or change the authority of the authorized personnel
Send the stamped fund manager company to the fund custodian in real way or in other ways approved by the fund manager and the fund custodian
A written notice of change of the seal shall be sent to the Fund Custodian by telephone at the same time. The notice of change of the authorized person, after the fund manager and the fund custody
After confirmation by telephone or other means approved by the Fund Manager and the Fund Custodian
And the original authorization notice is invalid. The Fund Manager shall send the original of the notice of change of the authorized person to
To the Fund Custodian. If the content of the original written notice of change is inconsistent with the fax received by the Fund Custodian, the Fund Custodian shall receive it
The arrival fax shall prevail.
The Fund Custodian shall notify the Fund Manager in advance of changing the personnel receiving the Fund Manager's instructions.
（8） Custody of instructions
If the instruction is sent by fax, the original shall be kept by the Fund Manager, and the Fund Custodian shall keep the fax of the instruction. When both
In case of any inconsistency, the fax of the instruction received by the Fund Custodian shall prevail.
（9） Relevant responsibilities
The instruction given to the Fund Custodian by the Fund Manager without sufficient funds has resulted in the failure to liquidate funds in a timely manner
The losses caused shall be borne by the Fund Manager. When the transmission is not timely and sufficient execution is not reserved due to the fund manager
The loss caused by the failure to timely clear the funds or the failure of trading due to the failure to timely confirm the instructions with the fund custodian
The Fund Manager shall undertake. If the Fund Custodian correctly executes the effective instructions sent by the Fund Manager and the Fund property suffers losses
The Fund Custodian shall not assume any form of responsibility. Within the time specified in the normal business acceptance channels and instructions, due to the fact that the Fund Custodian
If the Fund property is damaged due to the failure to timely or correctly implement the legal and compliant instructions, the Fund Custodian shall bear the corresponding
Except in case of force majeure.
The Fund Custodian shall perform the duty of formal review in accordance with the relevant provisions of this Agreement
Without authorization, fraud, forgery or failure to provide authorization notice in a timely manner, the Fund Custodian shall not be liable for
The Fund shall be responsible for the losses caused to the Fund Manager or the Fund assets or any third party by refusing to execute the relevant instructions
The manager shall bear the responsibility, except for the loss caused by the Fund Custodian's failure to review its obligation to execute the order in a proper manner as agreed in the contract.
7、 Transaction, clearing and settlement arrangements
（1） Select securities and futures operating institutions that act as agents for securities and futures trading
1. The Fund Manager shall design the standards and procedures for selecting securities operating institutions to act as agents for securities trading, and shall, in accordance with relevant contracts
And stipulate the obligations that should be undertaken to exercise the investment rights of the Fund assets, including but not limited to the selection of brokers and investment objects. fund
The Manager shall be responsible for selecting the securities operating institutions that purchase and sell the securities of the Fund and using their trading units as the trading units of the Fund.
The Fund Manager shall sign an entrustment agreement with the selected securities operating institution, and the Fund Manager shall notify the Fund Custodian in advance and
The trading unit rental agreement and relevant documents shall be delivered to the fund custodian in time to ensure that the fund custodian applies for receiving settlement data. fund
The manager shall, in accordance with the relevant provisions, include in the interim report and annual report of the fund the relevant information
The fund shall disclose the trading volume of the securities purchased and sold by the securities operating agency, the trading volume of repurchase and the commissions paid, and shall disclose such information
The Fund Custodian shall be promptly notified in writing of the status, fund trading unit number, commission rate and other basic information as well as changes.
2. The Fund Manager is responsible for selecting the futures brokerage institutions that act as agents for the futures trading of the Fund and signing futures brokerage contracts with them,
Other matters shall be carried out in accordance with the relevant provisions of laws and regulations and the Fund Contract. If there are no clear provisions, you can refer to the relevant securities purchase
The rules selected by the selling and securities brokerage institutions shall be implemented.
(1) The futures company selected by the fund manager shall be responsible for the clearing and delivery of the futures trading of entrusted assets.
(2) The Fund Manager shall instruct the futures company selected by it to send to the Fund Custodian and the Fund Manager through SZSE
Transaction settlement report showing the transaction results of the Fund in the format of the Market Monitoring Center and the display made with reference to the format of the Market Monitoring Center
A trading settlement report on the equity status of the Fund's futures margin account. With the consent of the Fund Custodian, e-mail can be used for transmission
The mode is used as an emergency backup mode to transmit the transaction settlement data of the day.
Under normal circumstances, the transaction settlement report of the day should be sent before 17:00 on the trading day. Due to the exchange
If the data is delayed, the Fund Manager shall notify the Fund Custodian in time and notify the futures company to send the data immediately after recovery
Send it to the Fund Custodian and confirm the data reception by telephone. If the futures data sent by the futures company is incorrect, it shall be reported to the fund management again
If the manager or the fund custodian sends the new futures data, the fund manager shall instruct the futures company to notify the fund custodian immediately after sending the new futures data
Manage the personnel and confirm the data reception status by telephone.
(3) The fund manager shall oblige the futures company it selects to be responsible for the accuracy, integrity and authenticity of the data sent.
Due to the inconsistency between the items recorded in the transaction settlement report and the actual transaction results and equity, the valuation calculation of this fund is wrong
The Fund Manager shall be responsible for recovering from the data sender, and the Fund Custodian shall not be liable.
（2） Settlement arrangements after the fund invests in securities
The responsibilities of the Fund Manager and the Fund Custodian in terms of clearing and settlement of fund assets on the market and related risk control shall be subject to
Implement the requirements of the Agreement Governing the Settlement of Securities Funds of Banks.
（3） Basic Provisions on Fund Purchase and Redemption
1. The Fund Manager or its entrusted registration institution shall be responsible for the confirmation and liquidation of the subscription and redemption of fund units.
2. The settlement of cash substitution and cash balance shall be handled in accordance with the relevant rules of the Exchange and the prospectus of the Fund. In case of special circumstances
The two parties shall negotiate for settlement.
3. Capital Instruction
Except that the purchase consideration reaches the fund account and needs to be reconciled by both parties according to the agreed method, the payment and dividend fund transfer related to investment
At the time of allocation, the Fund Manager shall issue instructions to the Fund Custodian.
The format, content, sending, receiving and confirmation methods of capital orders are the same as those of investment orders.
（4） Fund cash dividends
1. The Fund Manager shall notify the Fund Custodian of the dividend plan, which shall be approved by both parties in accordance with the relevant provisions of the Information Disclosure Measures
It shall be announced on the media specified by the CSRC.
2. After the fund custodian and the fund manager conduct accounting treatment and check on the fund dividend, the fund manager shall place the fund in custody
The Fund Custodian shall promptly transfer the dividend to the fund clearing account in accordance with the transfer instructions of cash dividends sent by the Fund Custodian.
3. When giving instructions, the Fund Manager shall allow the Fund Custodian the necessary time to transfer funds.
（5） The transaction and settlement arrangements shall be in accordance with the provisions of this Part or other fund managers and fund custodians
It shall be executed in the form of written confirmation by both parties.
8、 Calculation, valuation and accounting of the net asset value of the Fund
（1） Time and procedure for calculation, review and completion of net asset value of the Fund
1. Net value of fund assets
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
The net value of fund units refers to the calculation of the net value of fund units on the valuation date divided by the total number of fund units on the valuation date,
The accuracy is 0.0001 yuan, and the fifth digit after the decimal point is rounded off. The fund manager can set the net value precision in the case of large redemption
Emergency adjustment mechanism. If the state has other provisions, such provisions shall prevail.
The Fund Manager shall calculate the net value of the Fund assets and the net value of the Fund units on each working day, which shall be reviewed by the Fund Custodian, and the Fund Manager shall, in accordance with the provisions
Notice. Except when the Fund Manager suspends valuation in accordance with laws and regulations or the provisions of the Fund Agreement.
2. Review procedure
The Fund Manager shall send the net value of the Fund assets and the net value of the Fund units to the Fund after evaluating the Fund assets every working day
The custodian shall be publicly announced by the fund manager after being checked by the fund custodian.
3. According to relevant laws and regulations, the Fund Manager shall be responsible for the calculation of the net asset value of the Fund and the accounting of the Fund. Base
The Fund Manager shall be responsible for the accounting of the Fund. Therefore, for accounting issues related to the Fund
If no agreement can be reached after full discussion on the basis of equality, the calculation result of the fund manager on the net fund value information shall prevail
Make public.
（2） Valuation of Fund Assets
The Fund Manager and the Fund Custodian shall conduct valuation in accordance with the provisions of the Fund Contract.
（3） Treatment method for net value error of fund units
The Fund Manager and the Fund Custodian shall handle the error of unit net value in accordance with the provisions of the Fund Contract.
（4） Fund accounting system
The accounting system stipulated by relevant national departments shall be followed.
（5） Establishment of fund account book
After the fund contract comes into effect, the fund manager and the fund custodian shall follow the same bookkeeping method and accounting department agreed by both parties
Management principle, independently set up, record and keep the full set of account books of the Fund, and regularly check the respective account books of relevant parties
Yes, mutual supervision to ensure the safety of fund assets.
（6） Preparation and review of fund financial statements and reports
1. Preparation of financial statements
The financial statements of the Fund shall be prepared by the Fund Manager and reviewed by the Fund Custodian.
2. Report review
After receiving the financial statements of the Fund prepared by the Fund Manager, the Fund Custodian shall independently review them. In case of discrepancy
Timely notify the fund manager to jointly find out the reasons and make adjustments until the data of both parties are completely consistent.
3. Preparation and review schedule of financial statements
The Fund Manager and the Fund Custodian shall complete the preparation and review of the monthly statements within 5 working days after the end of each month; stay
Complete the preparation, review and announcement of the quarterly report of the Fund within 15 working days from the end of each quarter; Settled in the first half of the year
The preparation and review of the interim report of the Fund shall be completed and announced within 2 months from the date of termination; Three months from the end of each year
The preparation and review of the annual report of the Fund shall be completed and announced. The Fund Custodian finds that the statements of both parties are kept
In case of any discrepancy, the Fund Manager and the Fund Custodian shall jointly identify the causes and make adjustments, which shall be subject to the relevant national regulations.
The financial accounting report of the annual report of the Fund shall be audited by an accounting firm that complies with the provisions of the Securities Law of the People's Republic of China.
If the fund contract has taken effect for less than two months, the fund manager may not prepare the current quarterly report, interim report or annual report.
（7） When necessary, the Fund Manager shall provide the Fund Custodian with the basic data of the benchmark of fund performance quarterly
And prepare the results.
9、 Fund income distribution
The Fund Manager and the Fund Custodian shall handle the distribution of fund income in accordance with the provisions of the Fund Contract.
10、 Fund information disclosure
（1） Confidentiality obligations
The Fund Custodian and the Fund Manager shall disclose information in accordance with laws and regulations and the relevant provisions of the Fund Agreement, and plan to disclose it publicly
The information of shall be kept confidential before public disclosure. Except in accordance with the Fund Law, the Fund Contract, the Information Disclosure Measures and the Liquidity Risk
In addition to the disclosure of information in the Administrative Provisions and other relevant provisions, the Fund Manager and the Fund Custodian have a letter to the Fund
Information and business information obtained from the other party shall be kept confidential. However, the following circumstances shall not be deemed as violations of the Fund Manager or the Fund Custodian
Anti confidentiality obligations:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the judgment or ruling of the court, the arbitral award or the supervision of the CSRC
Information disclosure or disclosure made by the order or decision of the regulatory authority.
（2） Contents of information disclosure
The information disclosure of the Fund mainly includes the Fund Prospectus, the Fund Contract, the Custody Agreement, the Fund Product Information Summary
Fund unit offering announcement, fund contract effectiveness announcement, fund net value information, purchase and redemption list, fund unit listing company
Statement, announcement of conversion date of fund units, announcement of conversion results of fund units, consideration for subscription and redemption of fund units, and regular report of fund units
Reports (including annual reports, interim reports and quarterly reports), interim reports, clarification announcements, resolutions of the general meeting of fund share holders
Fund liquidation report and other information specified by the CSRC. The annual report of the Fund shall comply with the Securities Law of the People's Republic of China
It can be disclosed only after being audited by the specified accounting firm.
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports, as well as the Prospectus (update) and other documents
The documents disclose the trading of stock index futures and treasury bond futures, including investment policies, positions, profits and losses, risk indicators, etc,
And fully reveal the impact of stock index futures and treasury bond futures trading on the overall risk of the fund and whether they are in line with the established investment policies and
Investment objectives.
The Fund Manager shall disclose the relevant information about its participation in stock option trading, including investment policies, in the regular information disclosure documents
Policies, positions, profits and losses, risk indicators, valuation methods, etc., and fully reveal the overall risk of stock option trading on the fund
And whether it is consistent with the established investment policies and investment objectives.
The Fund Manager shall disclose the total amount of asset-backed securities and asset-backed securities held by it in the Fund's annual report and interim report
The proportion of the market value of securities in the net assets of the Fund and the details of all asset-backed securities during the reporting period. The Fund Manager shall
The report discloses the total amount of asset-backed securities held, the proportion of the market value of asset-backed securities in the net assets of the fund and the reporting period
Details of the top 10 asset-backed securities ranked by the proportion of market value in the net assets of the fund.
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports, as well as the Prospectus (update) and other documents
Information on participation in financing and refinancing securities lending transactions, including investment strategy, business development, profit and loss
Risk and its management, and major related party transactions occurred in the refinancing securities lending business of the Fund during the reporting period
Give a detailed description of.
（3） Responsibilities and information disclosure procedures of the Fund Custodian and the Fund Manager in information disclosure
1. Responsibilities
The Fund Custodian and the Fund Manager shall be honest in the process of information disclosure with the purpose of protecting the interests of fund share holders
Keep your promises and keep your secrets. The Fund Manager is responsible for handling information disclosure matters related to the Fund
The information disclosure documents that need to be reviewed by the Fund Custodian as stipulated in the Fund Agreement shall be reviewed by the Fund Custodian
The administrator shall publish it.
The Fund Manager and the Fund Custodian shall actively cooperate with each other and supervise each other to ensure that they perform the disclosure in accordance with the statutory method and within the time limit
Obligations.
The fund manager shall, within the time limit prescribed by the CSRC, pass the fund information that should be disclosed to the CSRC
National newspapers and periodicals that meet the prescribed conditions (hereinafter referred to as "the prescribed newspapers and periodicals") and Internet websites (in
(hereinafter referred to as "regulated website") and other media, and ensure that fund investors can check in accordance with the time and method agreed in the fund contract
Read or copy publicly disclosed information.
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related information when:
(1) The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund's assets or to provide information due to force majeure
At the time of disclosure;
(2) When the securities and futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons;
(3) On the current valuation date, the assets with more than 50% of the net asset value of the fund have no active market price to refer to and adopt valuation
When the technology still causes significant uncertainty in the fair value, the valuation is suspended after consultation and confirmation with the Fund Custodian;
(4) Laws and regulations, fund contract or the situation stipulated by the CSRC.
2. Procedure
Information disclosure documents that must be reviewed by the Fund Custodian according to relevant regulations shall be drafted by the Fund Manager and replied by the Fund Custodian
After verification, the Fund Manager shall make an announcement. In case of any event required to be disclosed in the fund contract, it shall be announced in accordance with the provisions of the fund contract.
3. Storage of information text
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall, in accordance with the relevant laws and regulations
It shall be kept at the company's domicile and the stock exchange where the funds are listed and traded for public reference and copying. After paying the cost of production
Obtain copies or photocopies of the above documents within a reasonable time. The Fund Manager and the Fund Custodian shall ensure that the content of the text is consistent with the
The contents of the announcement are completely consistent.
11、 Fund expenses
（1） The accrual method, accrual standard and payment method of fund management fee are as follows:
The management fee of the Fund is accrued at an annual fee rate of 0.50% of the net asset value of the Fund on the previous day. The management fee is calculated as follows:
H ＝ E × 0.50% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated day by day to the end of each month, and paid monthly
After verification, the Fund Custodian shall, in accordance with the method agreed with the Fund Manager, withdraw the funds from the Fund Treasury within the first five working days of the next month
The fund manager shall be paid in a lump sum during production. In case of legal holidays, public holidays, etc., the payment date shall be postponed. After automatic deduction of expenses,
The Fund Manager shall check, and in case of any discrepancy in data, contact the Fund Custodian for settlement through consultation.
（2） The withdrawal method, withdrawal standard and payment method of fund custody fee are as follows:
The custody fee of the Fund is accrued at an annual fee rate of 0.10% of the net asset value of the Fund on the previous day. The custody fee is calculated as follows:
H ＝ E × 0.10% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. After the fund manager and the fund custodian have verified that there is no error, the fund custody
In accordance with the way agreed with the Fund Manager, the Fund shall withdraw from the Fund property in a lump sum within the first five working days of the next month. In case of
In case of legal holidays, rest days or force majeure, the payment date shall be postponed. 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.
（3） Other fund expenses shall be withdrawn and paid in accordance with the Fund Contract.
12、 Custody of the Register of Fund Unitholders
The register of fund unit holders shall at least include the name, certificate number and fund units held by the fund unit holders. base
The register of fund share holders shall be prepared and kept by the fund registration authority in accordance with the instructions of the fund manager
The custodian shall keep the register of fund unit holders separately for a period not less than that prescribed by laws and regulations. If it cannot be kept properly,
Shall be liable in accordance with relevant laws and regulations. According to the requirements of anti money laundering, the fund manager shall properly keep the identity information of product investors
Information, if required by the Fund Custodian, the Fund Manager shall actively provide or assist.
Before the Fund Custodian requests or prepares the interim report and annual report, the Fund Manager shall send the relevant information to the Fund Custodian
The manager shall not refuse or delay the provision without reason, and shall ensure its authenticity, accuracy and integrity. Fund manager and fund trust
The custodian shall not use the register of fund unit holders in its custody for other purposes than fund custody business, and shall observe confidentiality
Obligations.
13、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager shall keep the records, account books, statements and other relevant materials of the fund property management business activities. Fund Custody
People shall keep records, account books, statements and other relevant materials of fund custody business activities. Both the Fund Manager and the Fund Custodian
It shall be kept within the specified time limit. The storage period shall not be less than the period specified by laws and regulations.
（2） Establishment of contract archives
1. After the Fund Manager signs a major contract, it shall promptly deliver the original of the contract to the Fund Custodian.
2. The Fund Manager shall promptly fax the contracts and agreements related to the Fund's accounting treatment and fund transfer to the Fund Custody
People.
（3） Change and assistance
If the Fund Manager/Fund Custodian changes, the unchanged party is obliged to assist the successor after the change to accept the corresponding
File.
（4） The Fund Manager and the Fund Custodian shall keep the original vouchers, accounting vouchers, fund account books
Transaction records and important contracts shall be kept confidential for no less than the period specified by laws and regulations.
14、 Replacement of Fund Manager and Fund Custodian
（1） After the termination of the duties of the fund manager, it shall still properly keep the fund management business information and ensure that it will not make any contribution to the fund shares
Any act that causes damage to the interests of the holder, and timely handle the fund management business with the new fund manager or temporary fund manager
The handover procedures of the service. The Fund Custodian shall actively cooperate and check the Fund with the new Fund Manager or temporary Fund Manager
Total assets and net fund assets.
（2） After the termination of the duties of the fund custodian, it shall still properly keep the fund assets and the fund custody business information, and ensure that it will not make
Any act that causes damage to the interests of fund share holders, and shall be handled in a timely manner with the new fund custodian or temporary fund custodian
Procedures for the transfer of fund assets and fund custody business. The Fund Manager shall actively cooperate with the new Fund Custodian or
The Fund Custodian shall check the total value of the Fund's assets and the net value of the Fund's assets.
（3） For other matters, please refer to the relevant provisions of the fund contract.
15、 Prohibited acts
The behaviors prohibited by the parties to this agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian mix their own property or other people's property with the Fund property to engage in securities investment.
（2） The fund manager treats the different fund assets under its management unfairly, and the fund custodian treats its custody unfairly
Different fund assets.
（3） The Fund Manager and the Fund Custodian use the Fund assets to seek benefits for a third party other than the Fund Unitholders.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders gains or bear losses in violation of regulations.
（5） The Fund Manager and the Fund Custodian disclose to others any failure to comply with laws and regulations in the process of fund operation and management
Information disclosed in a prescribed manner.
（6） The Fund Manager sends investment instructions and payment instructions to the Fund Custodian without sufficient funds, or violates
To issue instructions to the Fund Custodian.
（7） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior managers and other practitioners
Members work part-time for each other.
（8） The Fund Custodian privately uses or disposes of the Fund assets, and in accordance with the legal instructions of the Fund Manager, the Fund Agreement or the Trust
Except for the punishment stipulated in the management agreement.
（9） Other acts prohibited by laws and regulations and the fund contract, as well as in accordance with the relevant provisions of laws and administrative regulations
Other acts prohibited by the CSRC for fund managers and fund custodians.
16、 Change and Termination of Custody Agreement and Liquidation of Fund Assets
（1） Change procedure of custody agreement
The parties to this agreement may amend the agreement upon consensus. The contents of the revised new agreement shall not be consistent with those of the basic agreement
There is any conflict between the provisions of the gold contract. Changes to the Fund Custody Agreement shall be reported to the CSRC for filing.
（2） Termination of Fund Custody Agreement
1. The Fund Contract is terminated;
2. The Fund Custodian is unable to continue to serve as the Fund Custodian due to dissolution, bankruptcy, cancellation and other reasons
There is no other appropriate custodian institution to undertake its original rights and obligations within the month;
3. The Fund Manager is unable to continue to serve as the Fund Manager due to dissolution, bankruptcy, cancellation and other reasons
No other appropriate fund management company has undertaken its original rights and obligations within the month;
4. Other termination events specified by laws and regulations or the Fund Contract occur.
（3） Liquidation of fund assets
The Fund Manager and the Fund Custodian shall handle the liquidation of the Fund assets in accordance with the provisions of the Fund Contract.
17、 Liability for breach of contract
（1） If the Fund Manager or the Fund Custodian fails to perform this Agreement or fails to perform this Agreement in accordance with the agreement, they shall be liable for breach of contract
Responsibility.
（2） The Fund Manager and the Fund Custodian violate the Fund Law and the Fund Contract in the process of performing their respective duties
As agreed in this Custody Agreement, if any damage is caused to the Fund property or the Fund Unitholders, they shall respectively conduct their own acts in accordance with the law
Bear the liability for compensation; If damage is caused to fund assets or fund unit holders due to joint acts, it shall be based on their respective faults
The degree shall bear corresponding responsibilities for the direct losses caused thereby.
（3） If one party breaches the contract and causes losses to the other party or the fund property, it shall compensate for the direct losses,
The other party has the right and obligation to claim compensation from the defaulting party on behalf of the fund. However, if one of the following circumstances occurs, the party concerned shall be exempted from liability:
1. The Fund Manager and/or the Fund Custodian shall act or not act in accordance with the then effective laws and regulations or the provisions of the CSRC
Losses caused by actions, etc;
2. Losses caused by the Fund Manager's investment or non investment in accordance with the investment principles specified in the Fund Contract;
3. Computer system failure, network failure
Loss caused by communication failure, power failure, computer virus attack and other accidents;
4. Force majeure.
（4） If one party breaches the contract, the other party has the obligation to take necessary measures in a timely manner within the scope of its duty to prevent
Stop the expansion of losses. If the loss is further expanded due to the failure to take appropriate measures, no claim for compensation for the expanded loss may be made. Non violation
The reasonable expenses incurred by the contracting party to prevent the loss from expanding shall be borne by the defaulting party.
（5） If the breach of contract has occurred, but this Custodian Agreement can continue to be performed, the fund share holding shall be protected to the maximum extent
The Fund Manager and the Fund Custodian shall continue to perform this Agreement on the premise of the interests of others. If the fund manager or fund custodian
If a person is sued for performing this Agreement, the other party shall provide reasonable and necessary support.
（6） Due to the uncontrollable factors of the Fund Manager and the Fund Custodian, business errors occur
Although the fund custodian has taken necessary, appropriate and reasonable measures to carry out the inspection, it fails to find any error, resulting in
The Fund Manager and the Fund Custodian shall be exempted from the compensation liability for the loss of the Fund property or investors. But the Fund Manager and Fund Custodian
Necessary measures shall be actively taken to mitigate or eliminate the impact caused thereby.
18、 Dispute resolution
Both parties agree that all disputes arising from or in connection with this Agreement, if not resolved through friendly negotiation
Either party shall have the right to submit the dispute to Shenzhen International Arbitration Court in accordance with the then effective arbitration rules of Shenzhen International Arbitration Court
Arbitration. The place of arbitration shall be Shenzhen. The arbitration award is final and binding on both parties. The arbitration fee shall be paid by the losing party
Party.
During the dispute settlement period, both parties shall abide by the responsibilities of the Fund Manager and the Fund Custodian, and continue to be faithful, diligent
Fulfill the obligations specified in the Fund Agreement and this Custodian Agreement and safeguard the legitimate rights and interests of the Fund Unitholders.
This Agreement shall be governed by the laws of the People's Republic of China (excluding the laws of Hong Kong, Macao and Taiwan).
19、 Effect of Custody Agreement
Both parties agree on the effectiveness of the custody agreement as follows:
（1） The draft custody agreement submitted by the fund manager when applying to the CSRC for the sale of fund units shall be approved by the Custodian Association
Both parties to the agreement shall affix their seals and the legal representatives or authorized representatives of both parties shall affix their signatures or seals
The CSRC's comments were revised and the custody agreement was formally signed. The custody agreement shall take the text registered with the CSRC as the official text.
（2） The Custodian Agreement shall be established as of the date of establishment of the Fund Contract and shall come into force as of the date of entry into force of the Fund Contract. The custody agreement includes
The validity period shall be from the effective date to the date when the liquidation results of the fund assets are reported to the CSRC for filing and announcement.
（3） The trusteeship agreement shall have the same legal binding force on the parties to the trusteeship agreement as of the effective date.
（4） This agreement is made in triplicate, with each party holding one copy and the fund manager reporting one copy to the regulatory authority as required,
Each copy has the same legal effect.
20、 Other matters
In the event that the competent judicial authority freezes the fund units of the fund unit holders according to law, the fund manager shall cooperate and undertake
Undertake the obligation of judicial assistance.
Unless explicitly defined in this Agreement, the definitions of terms in this Agreement shall apply to the provisions of the Fund Contract. Matters not covered in this agreement
People shall negotiate in accordance with the fund contract and relevant laws and regulations.
21、 Signing of Escrow Agreement
Signature, seal, signing place and signing date of legal representatives or authorized representatives of both parties