Important tips
1. The sale of Debon Ruifeng Bond Securities Investment Fund (hereinafter referred to as "the Fund") has been approved for registration by the China Securities Regulatory Commission (CSRC) in ZJXK [2021] No. 2773. The registration of the Fund raised by the CSRC does not mean that it makes substantive judgments or guarantees on the investment value and market prospects of the Fund, nor does it mean that there is no risk in investing in the Fund.
2. The Fund is a bond securities investment fund, and its operation mode is contractual open-ended.
3. The Manager of the Fund is Deppon Fund Management Co., Ltd. (hereinafter or referred to as "the Company" or "the Fund Manager"), the Fund Custodian is Hengfeng Bank Co., Ltd., and the Fund share registration authority is Deppon Fund Management Co., Ltd.
4. The Fund is sold to individual investors, institutional investors, qualified foreign institutional investors and RMB qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, as well as other investors permitted by laws and regulations or the CSRC to purchase securities investment funds.
5. The fund raising period is from December 2, 2021 to March 1, 2022. The Fund Manager may appropriately extend or shorten the raising period of the Fund according to the raising situation and make an announcement in a timely manner.
6. During the fund raising period, investors may subscribe for fund units several times. For the first subscription of the Fund units through the Fund Manager Direct Marketing Center, the minimum amount of a single subscription for each fund account is 10 yuan (including subscription fees, the same below), and the minimum amount of a single additional subscription for the Fund units is 10 yuan. If the Fund units are subscribed for the first time through the online direct selling platform of the Fund Manager or other sales institutions other than the Fund Manager's direct selling institutions, the minimum amount of a single subscription for each fund account is 10 yuan, and the minimum amount of a single additional subscription for the Fund units is 10 yuan. If the sales agency has other provisions, such provisions shall prevail.
Generally, during the raising period, there is no limit on the proportion of fund units held by an investor in a single account and the maximum subscription amount. However, if the cumulative number of fund units subscribed by a single investor of the Fund exceeds 50% of the total fund units, the Fund Manager may limit the subscription application of such investor by means of proportion confirmation. If the Fund Manager's acceptance of a certain subscription application or some subscription applications may lead investors to evade the above 50% ratio requirement in disguised form, the Fund Manager has the right to reject all or part of such subscription applications. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority after the fund contract takes effect.
If any sales institution has other regulations on the minimum subscription amount and transaction level difference of the Fund, the business regulations of each sales institution shall prevail.
7. The selling face value of the Fund units is RMB 1.00.
8. When the fund contract comes into effect, the interest generated from the effective subscription funds during the raising period will be converted into fund units and owned by the fund unit holders, of which the specific amount of interest and the specific amount of interest transferred to units shall be subject to the records of the registration authority.
9. The acceptance of the subscription application by the sales agency (including the direct sales outlets of the fund manager and the sales agency that the fund manager signs the fund sales service agreement and handles the fund sales business) does not mean that the application is certain to be successful, but only that the sales agency has actually received the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration institution or the fund manager. For the subscription application and the confirmation of subscription shares, the investors shall timely inquire and properly exercise their legal rights, otherwise, any losses incurred by the investors shall be borne by the investors themselves.
10. Investors shall not illegally use other people's accounts or funds to subscribe, nor shall they raise funds in violation of regulations or help others to subscribe in violation of regulations.
11. This announcement only explains the relevant matters and regulations of the Fund's offering. For details of the Fund, please read the Prospectus of Debon Ruifeng Bond Securities Investment Fund published on the website of the CSRC (http://eid.csrc. gov.cn/fund) on November 29, 2021. The fund contract, prospectus and this announcement of the Fund will be published on the Company's website (www.dbfund. com. cn) at the same time.
12. For investors in regions without sales outlets, please call the company's customer service hotline 400-821-7788 or 021-36034888 and the sales outlets of sales institutions for consultation on purchase.
13. During the raising of the Fund, in addition to the sales agencies listed in this announcement, if there are additional sales agencies, the Company will make a separate announcement. Each sales agency may increase some fund sales outlets. For the detailed list of sales outlets and account opening and subscription matters, please refer to the relevant announcements of each sales agency or call the customer service hotline of each sales agency for consultation. The specific provisions shall be subject to the instructions of each sales agency.
14. The Fund Manager may make appropriate adjustments to the arrangements for the sale of Fund units in light of various circumstances.
15. Risk warning
(1) The securities investment fund (hereinafter referred to as the fund) is a long-term investment tool, whose main function is to diversify investment and reduce the individual risks brought by investing in a single security. Different from bank deposits and bonds and other financial instruments that can provide fixed income expectations, investors who buy funds may share the income generated by fund investment according to their shares, and may also bear the losses caused by fund investment.
(2) The Fund may face various risks in the process of investment operation, including market risk, management risk of the Fund itself, liquidity risk, specific risk of the Fund, other risks, etc. The huge redemption risk is a unique risk of open-end funds, that is, when the net redemption application of fund units in a single open day exceeds 10% of the total fund units in the previous open day, the fund manager may take liquidity risk management measures.
(3) There are different types of funds, such as stock funds, hybrid funds, bond funds, and money market funds. Investors who invest in different types of funds will obtain different income expectations and bear different degrees of risk. Generally speaking, the higher the expected return of a fund, the greater the risk that investors will bear. The Fund invests in the securities market, and the net value of the Fund will fluctuate due to factors such as fluctuations in the securities market. The Fund is sold at the initial face value of fund units of 1.00 yuan. Under the influence of market fluctuations and other factors, the net value of fund units may be lower than the initial face value of fund units. It includes the systematic risk caused by the impact of political, economic, social and other environmental factors on the securities price, the unique non systematic risk of individual securities, the liquidity risk caused by the continuous large redemption of funds by fund investors, the fund management risk caused by the fund manager in the implementation of fund management, and the operational risk generated in the process of fund investment, The credit risk caused by settlement default and investment bonds, the unique risk caused by the fund's investment object and investment strategy, and so on. The specific risks of the Fund are detailed in the "Risk Disclosure" section of the Prospectus.
The number of fund units held by a single investor of the Fund shall not reach or exceed 50% of the total number of fund units, except for those that reach or exceed 50% due to the redemption of fund units and other circumstances beyond the control of the Fund Manager during the operation of the Fund.
The Fund is a hybrid fund, whose expected return and expected risk level are higher than those of bond funds and money market funds, but lower than those of equity funds.
(4) Investors should carefully read the fund contract, prospectus and other fund legal documents of the Fund, understand the risk return characteristics of the Fund, and judge whether the Fund is suitable for investors' risk tolerance according to their own investment purpose, investment period, investment experience, asset status, etc.
(5) Investors should fully understand the difference between the regular and fixed investment of the fund and the fractional deposit and withdrawal. Fixed investment is a simple and easy way to guide investors to make long-term investment and average investment cost. However, regular and quota investment can not avoid the inherent risks of fund investment, nor can it guarantee that investors can obtain income, nor is it an equivalent financing method to replace savings.
(6) The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, good faith, prudence and diligence, but does not guarantee that the Fund will be profitable or the minimum return. The performance of other funds managed by the Fund Manager does not constitute a guarantee for the performance of the Fund. The Fund Manager reminds investors of the principle of buyer's conceit in fund investment. After making investment decisions, the investors shall bear the investment risks caused by changes in the operation status of the fund and the net value of the fund.
17. Liquidity risk
Due to the special requirements of open-ended funds, the Fund must maintain a certain cash ratio to meet the redemption requirements. Due to the relative lack of liquidity and uneven liquidity in China's securities market as a whole, it may be difficult or costly to build a position for funds; Fund assets cannot be quickly converted into cash, or the realization cost is very high; Unable to cope with the possible risk of large redemption by investors; Liquidity risk of individual bonds in securities investment.
(1) Subscription and redemption arrangements of the Fund
See "Part VIII Subscription and Redemption of Fund Units" in the Prospectus for details of the subscription and redemption arrangements of the Fund.
(2) Liquidity risk assessment of the proposed investment market, industry and assets
The investment market of the Fund is mainly the stock exchange, the national inter-bank bond market and other standardized trading places with good liquidity, and the main investment objects are financial instruments with good liquidity (including domestic bonds and money market instruments issued according to law). At the same time, the Fund does not have high concentration in the industry and individual bonds based on the principle of diversified investment, Through comprehensive assessment, the liquidity risk of the Fund is moderate under the normal market environment.
(3) Liquidity risk management measures in the case of huge redemption
In case of huge redemption of the Fund, the Fund Manager may decide to fully redeem or partially postpone redemption according to the current asset portfolio of the Fund or the proportion of the huge redemption units. At the same time, if a single fund unit holder of the Fund applies to redeem more than 20% of the total fund units of the previous open day on a single open day, the Fund Manager may take measures to postpone the application for redemption. For details and procedures, please refer to "X. Large amount Redemption Situation and Handling Method" in "Part VIII Subscription and Redemption of Fund Units" of the Prospectus.
(4) Implementation of alternative liquidity risk management tools, procedures and potential impact on investors
In extreme circumstances such as sharp market fluctuations and liquidity depletion, when it is impossible to deal with investors' massive redemption, the Fund Manager will, on the premise of protecting the legitimate rights and interests of investors, strictly comply with laws and regulations and the provisions of the Fund Contract, prudently choose to postpone the processing of massive redemption applications, suspend the acceptance of redemption applications, postpone the payment of redemption funds, collect short-term redemption fees Suspend fund valuation, adopt swing pricing mechanism and other liquidity risk management tools as auxiliary measures.
1) Delayed handling of massive redemption application
When the Fund Manager believes that it is difficult to pay the redemption application of the investor or that the realization of property due to the redemption application of the investor may cause significant fluctuations in the net asset value of the Fund, the Fund Manager may postpone the processing of other redemption applications on the premise that the redemption proportion accepted on the same day is not less than 10% of the total fund shares on the previous open day.
Investors will face the risk of not being able to fully redeem or not being able to obtain redemption funds in a timely manner, and the fund units that investors fail to redeem will also face the risk of net value fluctuation.
2) Suspend acceptance of redemption application and postpone 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 funds:
a. The Fund Manager is unable to pay the redemption amount due to force majeure;
b. When the valuation of fund assets is suspended as stipulated in the fund contract;
c. The trading hours of the securities and futures exchanges are abnormally closed, causing the fund manager to be unable to calculate the net asset value of the fund on that day;
d. Large amount redemption occurs for two or more consecutive open days;
e. In the event that continuing to accept a certain redemption application or some redemption applications will affect or damage the interests of existing fund unit holders;
f. When 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 and the use of valuation techniques still leads to significant uncertainty in the fair value, the Fund Manager shall, after consultation and confirmation with the Fund Custodian, postpone the payment of redemption funds or suspend the acceptance of the Fund redemption application;
g. Other circumstances specified by laws and regulations or recognized by the CSRC.
Investors will face the risk of not being able to fully redeem or not being able to obtain redemption funds in a timely manner, and the fund units that investors fail to redeem will also face the risk of net value fluctuation.
3) Suspend fund valuation
When 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 and the use of valuation techniques still leads to significant uncertainty in the fair value, after consultation and confirmation with the Fund Custodian, the Fund Manager shall suspend valuation and take measures to delay the payment of redemption funds or to suspend the acceptance of applications for purchase and redemption of the Fund.
The implementation of this tool may cause investors to fail to obtain redemption money in time.
4) Adopt swing pricing mechanism
In case of large purchase or redemption of the Fund, the Fund Manager may adopt the swing pricing mechanism to ensure the fairness of the Fund's valuation. The swing pricing mechanism may cause the redemption amount received by investors to be less than the redemption amount calculated according to the unit net value on the redemption application date.
5) Other circumstances stipulated by laws and regulations, recognized by the CSRC or agreed in the fund contract.
For the use of various liquidity risk management tools, the Fund Manager will monitor and evaluate the risks in a timely and effective manner in accordance with the principle of strict approval and prudent decision-making. Before use, the Fund Manager will go through internal approval procedures and reach an agreement with the Fund Custodian. In the actual application of various liquidity risk management tools, the redemption application and redemption payment of investors may be affected accordingly. The Fund Manager will operate in strict accordance with laws and regulations and the provisions of the Fund Contract to fully protect the legitimate rights and interests of investors.
1、 Sale of Fund Units
(1) Fund name and code
Fund name: Debon Ruifeng Bond Securities Investment Fund
Class A unit fund code: 013682
Class A share abbreviation: Deppon Ruifeng Bond A
Code of Class C unit fund: 013683
Class C share abbreviation: Deppon Ruifeng Bond C
(2) Fund category
Bond securities investment fund
(3) Fund operation mode
Contractual and open
(4) Investment objectives of the Fund
On the premise of strictly controlling risks and ensuring sufficient liquidity, the Fund strives to provide investors with steadily growing investment returns through proactive asset management and risk control.
(5) Selling face value of fund units
The selling face value of the Fund units is RMB 1.00.
(6) Duration of the Fund
Irregular
(7) Investment scope
The Fund's investment scope covers financial instruments with good liquidity, including bonds (including national debt, central bank bills, financial bonds, corporate bonds, corporate bonds, publicly issued subordinated bonds, local government bonds, medium-term notes, short-term financing bonds, ultra short-term financing bonds, etc.), asset-backed securities, bond repurchase, inter-bank deposit receipts, bank deposits Money market instruments and other financial instruments permitted by laws and regulations or the CSRC to be invested by the Fund (subject to the relevant provisions of the CSRC).
The Fund does not buy equity assets such as stocks, nor invest in convertible bonds and exchangeable bonds.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager may include it into the investment scope after performing appropriate procedures.
The proportion of the Fund's investment portfolio: the proportion of the Fund's investment in bond assets shall not be less than 80% of the Fund's assets. The total proportion of cash held by the Fund or government bonds with a maturity date of less than one year shall not be less than 5% of the net asset value of the Fund, of which cash does not include settlement provisions, deposits and subscription receivables. If laws and regulations or the CSRC change the proportion limit of the above investment varieties, the changed proportion shall prevail. After the Fund Manager performs appropriate procedures, the investment proportion of the Fund will be adjusted accordingly.
(8) Target
Individual investors, institutional investors, qualified foreign institutional investors and RMB qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds.
(9) Total minimum raised shares
The minimum total number of units raised by the Fund is 200 million.
(10) Type of Fund Units
The Fund divides the Fund units into different categories according to the different collection methods of subscription/subscription fees and sales service fees. If the investor collects subscription/subscription fees when subscribing/subscribing, and collects redemption fees according to the holding period when redeeming, and no longer withdraws sales service fees from the fund property of this category, it is called Class A fund units; When investors subscribe/subscribe, they do not charge subscription/subscription fees, but withdraw sales service fees from the fund property of this category. When redeeming, they charge redemption fees according to the holding period, which are called Class C fund units.
The fund code shall be separately set for Class A fund units and Class C fund units of the Fund, and the net value of fund units and the cumulative net value of fund units shall be calculated and announced respectively.
When subscribing/subscribing for fund units, investors can choose the type of fund units by themselves. No mutual conversion is allowed between different fund unit classes of the Fund.
The specific settings and rate levels of the Fund unit categories shall be determined by the Fund Manager and listed in the Prospectus and the Fund Product Information Summary. Without violating laws and regulations and the Fund Agreement and having no material adverse impact on the interests of fund share holders, the Fund may, after consultation with the Fund Custodian and after performing appropriate procedures, stop the sale of existing fund share categories, add new fund share categories, or adjust the setting of existing fund share categories and their amount restrictions, reduce the sales service fees, etc, Or to adjust the classification methods and rules of fund units. Before such adjustment is implemented, the Fund Manager shall make a timely announcement without convening a general meeting of fund unit holders for deliberation.
(11) Sales organization
1. Direct selling mechanism
(1) Deppon Fund Management Co., Ltd. Direct Sales Center
Address: Unit 503B, No. 501, Dongdaming Road, Hongkou District, Shanghai
Office address: Unit 2101-2106, Building S1, No. 600, Zhongshan Second Road, Huangpu District, Shanghai
Legal representative: Zuo Chang
Contact: Jiang Mengsi
Company switchboard: 021-26010999
Direct sales telephone: 021-26010928
Direct sales fax: 021-26010960
Customer service hotline: 400-821-7788
(2) Online direct selling platform of Deppon Fund Management Co., Ltd
Website: www.dbfund.com.cn
Investors can handle the subscription, purchase and redemption of the Fund through the Fund Manager's website and other online direct marketing platforms. Please refer to the relevant announcements for specific business rules.
2. Other sales organizations
(1) CITIC Securities South China Co., Ltd
Registered address: 19th and 20th floors of the main tower of Guangzhou International Finance Center, No. 5, Zhujiang West Road, Tianhe District, Guangzhou
Office address: 19th and 20th floors of the main tower of Guangzhou International Finance Center, No. 5, Zhujiang West Road, Tianhe District, Guangzhou
Legal representative: Hu Fuyun
Contact: Liang Wei
Tel.: 020-88836999
Customer Tel.: 95396
Fax: 020-88836984
Website: www.gzs.com.cn
(2) CITIC Securities (Shandong) Co., Ltd
Registered address: 20/F, Building 1, Qingdao International Finance Plaza, 222 Shenzhen Road, Laoshan District, Qingdao
Office address: 20/F, Building 1, Qingdao International Finance Plaza, 222 Shenzhen Road, Laoshan District, Qingdao
Legal representative: Yang Baolin
Contact: Sun Qiuyue
Tel.: 0532-85022326
Fax: 0532-85022605
Customer service hotline: 95548
Website: www.citicssd.com
(3) CITIC Securities Co., Ltd
Registered address: North Block, Excellence Times Square (Phase II), No. 8, Zhongxin Third Road, Futian District, Shenzhen, Guangdong Province
Office address: CITIC Securities Building, 48 Liangmaqiao Road, Chaoyang District, Beijing
Legal representative: Wang Dongming
Contact: Ma Jingyi
Tel.: 010-60833889
Fax: 010-60833739
Customer service hotline: 95548
Website: www.citics.com
(4) CITIC Futures Co., Ltd
Registered address: Room 1301-1305, 13/F, 14/F, North Block, Excellence Times Square (Phase II), No. 8, Central 3rd Road, Futian District, Shenzhen
Office address: Room 1301-1305, 13/F, 14/F, North Block, Excellence Times Square (Phase II), No. 8, Central 3rd Road, Futian District, Shenzhen
Legal representative: Zhang Hao
Contact: Han Yu
Tel.: 010-60833754
Fax: 010-57762999
Customer service hotline: 400-990-8826
Website: www.citicsf.com
(5) China Galaxy Securities Co., Ltd
Registered address: Block C, International Enterprise Building, No. 35, Financial Street, Xicheng District, Beijing
Office address: Block C, International Enterprise Building, No. 35, Financial Street, Xicheng District, Beijing
Legal representative: Chen You'an
Contact: Xin Guozheng
Tel.: 010-83574507
Fax: 010-83574807
Customer service telephone: 400-888-8888
Website: www.chinastock.com.cn
(6) Huajin Securities Co., Ltd
Registered address: Floor 30, No. 759, Yanggao South Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 30, No. 759, Yanggao South Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Song Weidong
Contact: Long Ying
Tel.: 021-20655746
Customer service hotline: 956011
Website: www.huajinsc.cn
(7) Tianfeng Securities Co., Ltd
Registered address: 4F, Gaoke Building, No. 2 Guandongyuan Road, Donghu New Technology Development Zone, Wuhan, Hubei Province
Office address: 48th floor, Poly Plaza, No. 99, Zhongnan Road, Wuchang District, Wuhan, Hubei Province
Legal representative: Yu Lei
Contact: Wang Yawei
Tel: 13971585665
Customer service hotline: 95571
Website: www.tfzq.com
(8) Essence Securities Co., Ltd
Registered address: Unit A02, 35/F and 28/F, Allianz Building, No. 4018, Jintian Road, Futian District, Shenzhen
Office address: Unit A02, 35/F and 28/F, Allianz Building, No. 4018, Jintian Road, Futian District, Shenzhen
Legal representative: Wang Lianzhi
Contact: Liu Lingling
Tel.: 0755-82558340
Fax: 0755-82558355
Customer service telephone: 400-800-1001
Website: www.essence.com.cn
(9) China Merchants Securities Co., Ltd
Registered address: 38-45/F, Jiangsu Building, Yitian Road, Futian District, Shenzhen
Office address: 23F, China Merchants Securities Building, No. 111, Fuhua 1st Road, Futian District, Shenzhen
Legal representative: Huo Da
Contact: Huang Chanjun
Tel.: 0755-82960167
Fax: 0755-83734343
Customer service hotline: 95565/4008888111
Website: www.newone.com.cn
(10) Noah Zhengxing Fund Sales Co., Ltd
Registered address: Room 3724, No. 9, Lane 360, Feihong Road, Hongkou District, Shanghai
Office address: Building 2, No. 1687, Changyang Road, Yangpu District, Shanghai
Legal representative: Wang Jingbo
Contact: Li Juan
Tel.: 021-80358523
Fax: 021-38509777
Customer service hotline: 400-821-5399
Website: www.noah-fund.com
(11) Haiyin Fund Sales Co., Ltd
Registered address: Room 402, No. 8, Yincheng Middle Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 4, No. 8, Yincheng Middle Road, Pudong New Area, Shanghai
Legal representative: Gong Qiaoli
Contact: Mao Lin
Tel.: 021-80133597
Fax: 021-80133413
Customer service telephone: 400-808-1016
Website: www.fundhaiyin.com
(12) Shanghai Lide Fund Sales Co., Ltd
Registered address: Room 1033, No. 5475, Yunchuan Road, Baoshan District, Shanghai
Office address: 53F, Pujiang Financial Century Plaza, No. 1098, Dongdaming Road, Hongkou District, Shanghai
Legal representative: Li Xingchun
Contact: Zhang Jiahui
Tel.: 1391740510
Fax: 021-60195121
Customer service hotline: 400-921-7755
Website: www.leadbank.com.cn
(13) Shanghai Tiantian Fund Sales Co., Ltd
Address: Floor 2, Building 2, No. 190, Longtian Road, Xuhui District, Shanghai
Office address: Jinzuo Oriental Fortune Building, No. 88, Wanping South Road, Xuhui District, Shanghai
Legal representative: actually
Fax: (021) 64385308
Contact: Tu Yanyang
Tel: 95021
Customer service hotline: 400-1818-188
Website: www.1234567.com.cn
(14) Zhejiang Tonghuashun Fund Sales Co., Ltd
Registered address: Room 903, No. 1, Wener West Road, Hangzhou, Zhejiang
Office address: 4F, Tonghua Shun Building, No. 18, Tongshun Street, Wuchang Street, Yuhang District, Hangzhou, Zhejiang Province
Legal representative: Wu Qiang
Contact: Dong Yifeng
Tel.: 0571-88911818
Fax: 0571-86800423
Customer service hotline: 952555
Website: www.5ifund.com
(15) Shanghai Liantai Fund Sales Co., Ltd
Registered address: Room 310, Floor 3, No. 277, Fute North Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 3, Building 8, No. 518, Fuquan North Road, Changning District, Shanghai
Legal representative: Yin Binbin
Contact: Lan Min
Tel.: 021-52822063
Fax: 021-52975270
Customer service telephone: 400-118-1188
Website: www.66liantai.com
(16) Shanghai Changliang Fund Sales Co., Ltd
Registered address: Room 220, Building 2, No. 526 Gaoxiang Road, Pudong New Area, Shanghai
Office address: Floor 11, No. 1267, Dongfang Road, Pudong New Area, Shanghai
Legal representative: Zhang Yuewei
Contact: Miao Ming
Tel.: 021-20691923
Fax: 021-2069-1861
Customer service telephone: 400-820-2899
Website: www.erichfund.com
(17) Shanghai Haomai Fund Sales Co., Ltd
Registered address: No. 41, Floor 2, Building 26, No. 196, Ouyang Road, Hongkou District, Shanghai
Office address: Room 903-906, Ordos International Building, No. 1118, Pudong South Road, Shanghai
Legal representative: Yang Wenbin
Contact: Gao Yuan
Tel: 021-36696312
Customer service hotline: 400-700-9665
Website: www.ehowbuy.com
(18) Beijing Hengtian Mingze Fund Sales Co., Ltd
Registered address: Room 5122, Floor 5, No. 10, Hongda North Road, Beijing Economic and Technological Development Zone
Office address: Room 3006-3015, Floor 30, SOHO Jiasheng Center, No. A19, East Third Ring North Road, Chaoyang District, Beijing
Legal representative: Zhou Bin
Contact: Sun Dexin
Customer service telephone: 4008-980-618
Website: www.chtfund.com
(19) Shenzhen Zhonglu Fund Sales Co., Ltd
Registered address: 4F, HALO Plaza, No. 8, Liyuan Road, Luohu District, Shenzhen
Office address: 4F, HALO Plaza, No. 8, Liyuan Road, Luohu District, Shenzhen
Legal representative: Xue Feng
Contact: Gong Jiangjiang
Tel.: 0755-33227950
Customer service hotline: 4006-788-887
Website: www.zlfund.cn
(20) Shanghai Grand Smart Fund Sales Co., Ltd
Registered address: Unit 1102, Building 1, No. 428, Yanggaonan, China (Shanghai) Pilot Free Trade Zone
Office address: Unit 1102, Building 1, No. 428, Yanggaonan, China (Shanghai) Pilot Free Trade Zone
Legal representative: Shen Jian
Contact: Zhang Yu
Tel.: 021-20219988
Fax: 021-20219923
Customer service telephone: 021-20292031
Website: www.wg.com.cn
(21) Beijing Huicheng Fund Sales Co., Ltd
Registered address: 19C13, Floor 17, Building 2, Yard 1, Xizhimenwai Street, Xicheng District, Beijing
Office address: 19/F, Building 2, Yard 1, Xizhimenwai Street, Xicheng District, Beijing
Legal representative: Wang Weigang
Tel.: 010-62680527
Fax: 010-62680827
Contact: Wang Xiaoxiao
Customer service hotline: 400-619-9059
Website: www.hcfunds.com
(22) Nanjing Suning Fund Sales Co., Ltd
Registered address: No. 1-5, Suning Avenue, Xuanwu District, Nanjing
Office address: No. 1-5, Suning Avenue, Xuanwu District, Nanjing
Legal representative: Qian Yanfei
Contact: Wang Feng
Tel.: 025-66996699699-887226
Customer service hotline: 95177
Website: www.snjijin.com
(23) Zhuhai Yingmi Fund Sales Co., Ltd
Registered address: Room 105 - 3491, No. 6, Baohua Road, Hengqin New District, Zhuhai
Office address: Floor 33, North Tower, Poly International Plaza, No. 688, Yuejiang Middle Road, Haizhu District, Guangzhou
Legal representative: Xiao Wen
Contact: Qiu Xiangxiang
Tel.: 020-89629099
Fax: 020-89629011
Customer service telephone: 020-89629066
Website: www.yingmi.cn
(24) Beijing Hongdian Fund Sales Co., Ltd
Registered address: Room 1015, Floor 10, No. 17, North East Third Ring Road, Chaoyang District, Beijing
Office address: 9/F, Heng'an Building, No. 17, East Third Ring North Road, Chaoyang District, Beijing
Legal representative: He Jing
Contact: Wang Chongyang
Tel.: 010-85643600
Customer service hotline: 400-618-0707
Website: www.hongdianfund.com
(25) Beijing Sina Cangshi Fund Sales Co., Ltd
Registered address: Room 518, Floor 5, Sina Headquarters Scientific Research Building, Plot N-1 and N-2, Zhongguancun Software Park Phase II (West Expansion), Dongbei Wangxi Road, Haidian District, Beijing
Office address: Sina Headquarters Research Building, Plot N-1 and N-2, Zhongguancun Software Park Phase II (West Expansion), Dongbei Wangxi Road, Haidian District, Beijing
Legal representative: Mu Feihu
Contact: Mu Feihu
Tel.: 010-58982465
Fax: 010-62676582
Customer service hotline: 010-62675369
Website: www.xincai.com
(26) Shanghai Wande Fund Sales Co., Ltd
Registered address: Block B, Floor 11, No. 33, Fushan Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 11, Wande Building, No. 1500, Puming Road, Pudong New Area, Shanghai
Legal representative: Huang Yi
Tel.: 021-50712782
Fax: 021-50710161
Contact: Xu Yadan
Customer service hotline: 400-799-1888
Website: www.520fund.com.cn
(27) Yifeng Fund Sales Co., Ltd
Registered address: Room 201, Building A, No. 1, Qianwan 1st Road, Qianhai Shenzhen Hong Kong Cooperation Zone, Shenzhen (settled in Shenzhen Qianhai Business Secretary Co., Ltd.)
Office address: Room 1704, Floor 17, Block A, Aerospace Science and Technology Plaza, Haide 3rd Road, Nanshan District, Shenzhen
Legal representative: TEOWEEHOWE
Contact: Ye Jian
Tel.: 0755-89460507
Fax: 0755-21674453
Customer service telephone: 400-684-0500
Website: www.ifastps.com.cn
(28) Shanghai Yunwan Fund Sales Co., Ltd
Registered address: 103-1, 103-2 office area, Floor 1, Building 1, No. 27, Xinjinqiao Road, Mingyue Road 1257, China (Shanghai) Pilot Free Trade Zone
Office address: Building 1, No. 27, Xinjinqiao Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Feng Yiming
Contact: Fan Zejie
Tel.: 021-20530186
Fax: 021-20538999
Customer service telephone: 400-820-1515
Website: www.zhengtongfunds.com
(29) Shanghai Huifu Fund Sales Co., Ltd
Registered address: Unit 056, Area A, Room 201, No. 333, Huanghe Road, Huangpu District, Shanghai
Office address: Floor 2, Huifutian Headquarters Building, Building C5, Putian Information Industrial Park Phase 2, No. 700, Yishan Road, Xuhui District, Shanghai
Legal representative: Jin Ji
Contact: Zhen Baolin
Tel: 18001713632/021-34-13996-3011
Fax: 021-33323837
Customer service hotline: 021-34013999
Website: www.hotjijin.com
(30) Jian Wealth (Beijing) Fund Sales Co., Ltd
Registered address: 307, Floor 3, Building 1, Yard 16, Taiyanggong Middle Road, Chaoyang District, Beijing
Office address: 307, Floor 3, Building 1, Yard 16, Taiyanggong Middle Road, Chaoyang District, Beijing
Legal representative: Yang Jian
Contact: Li Haiyan
Tel.: 010-65309516
Fax: 010-65330699
Customer service hotline: 400-673-7010
Website: www.jianfortune.com
(31) Yixin Puze (Beijing) Fund Sales Co., Ltd
Registered address: Room 1008, Apartment 9/F, No. 1, Xidawang Road, Chaoyang District, Beijing
Office address: Room 1008, Apartment 9/F, No. 1, Xidawang Road, Chaoyang District, Beijing
Legal representative: Cai Dianyang
Contact: Wei Chen
Tel.: 010-52413385
Fax: 010-59644496
Customer service hotline: 400-6099-200
Website: www.yixinfund.com
(32) Shanghai Jiyu Fund Sales Co., Ltd
Registered address: Unit 3001, Floor 30, No. 500, Guangdong Road, Huangpu District, Shanghai
Office address: Room 1503-1504, Taiping Financial Building, No. 488, Yincheng Middle Road, Pudong New Area, Shanghai
Legal representative: Wang Xiang
Contact: Wu Hongfei
Tel.: 021-65370077
Fax: 021-55085991
Customer service hotline: 400-820-5369
Website: www.jiyufund.com.cn
(33) Wanjia Wealth Fund Sales (Tianjin) Co., Ltd
Registered address: Room 2-2413, Binhai Zheshang Building Apartment, No. 1988 Yingbin Avenue, Tianjin Free Trade Zone (Central Business District)
Office address: Floor 5, Block A, Pacific Insurance Building, 28 Fengsheng Hutong, Xicheng District, Beijing
Legal representative: Dai Xiaoyun
Contact: Wang Qianrui
Tel.: 010-59013825
Fax: 010-59013828
Post code: 100032
Customer service hotline: 010-59013895
Website: www.wanjiawealth.com
(34) Wuhan Boga Fund Sales Co., Ltd
Registered address: Room 601, Block B, Huanya Building, Taipei 1st Road, Jianghan District, Wuhan
Office address: Room 601, Block B, Huanya Building, Taipei 1st Road, Jianghan District, Wuhan
Legal representative: Tao Jie
Tel.: 027-83863742
Fax: 027-83862682
Post code: 430000
Customer service hotline: 400-027-9899
Website: www.buyfunds.cn
(35) Beijing Eggroll Fund Sales Co., Ltd
Registered address: Room 1501, 15/F, Building 6, Yard 34, Chuangyuan Road, Chaoyang District, Beijing
Office address: Floor 17, Block C, Rongxin Technology Center, No. 34 Chuangyuan Road, Chaoyang District, Beijing
Contact: Hou Fangfang
Tel.: 010-57319532
Fax: 010-84997571
Customer service hotline: 400-159-9288
Website: https://danjuanapp.com/
(36) Harvest Wealth Management Co., Ltd
Registered address: Unit 5312-15, 53F, Phase 2, Shanghai Guojin Center Office Building, No. 8, Century Avenue, Pudong New Area, Shanghai
Office address: Floor 6, Block A, Jindi Center, No. 91 Jianguo Road, Chaoyang District, Beijing
Legal representative: Zhao Xuejun
Contact: Li Wen
Tel.: 010-60842306
Fax: 010-85712195
(37) Shanghai Zacai Fund Sales Co., Ltd
Registered address: Unit 03, 18th Floor, No. 759, Yanggao South Road, China (Shanghai) Pilot Free Trade Zone
Office address: Unit 03, 18th Floor, No. 759, Yanggao South Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Lv Liuxia
Tel.: 021-50810673
Contact: Mao Shanbo
Tel.: 021-50810673
Fax: 021-50810687
Website: www.wacaijijin.com
(38) Shanghai Panying Fund Sales Co., Ltd
Registered address: Room 306, No. 1207, Guangzhong West Road, Zhabei District, Shanghai
Office address: Unit 703, UOB Building, No. 116, Yincheng Road, Pudong New Area, Shanghai
Legal person: Shen Ruyi
Contact: Wu Weidong
Tel.: 13918302493
Customer service hotline: 021-68889082
Website: www.pytz.cn
(39) Beijing Tangding Yaohua Fund Sales Co., Ltd
Registered address: Room 236, Building 2, No. 10 Baiquan Street, Yanqing Economic Development Zone, Yanqing County, Beijing
Office address: 10/F, Block A, Huaye International Center, 39 East Fourth Ring Middle Road, Chaoyang District, Beijing
Mailing address: 38/F, Taikang Financial Building, No. 1, Yard 38, East Third Ring Road North, Chaoyang District, Beijing
Post code: 100020
Legal representative: Zhang Guanyu
Tel.: 010-85932884
(40) Yilu Wealth (Beijing) Fund Sales Co., Ltd
Registered address: 101-14, Floor 9, Building 20, Yard 1, Baosheng South Road, Haidian District, Beijing
Office address: Floor 9, Guotai Building, Aobei Science Park, Haidian District, Beijing
Legal representative: Wu Xuexiu
Contact: Dong Xuan
Tel.: 010-88312877
Fax: 010-88312099
Customer service hotline: 400-001-1566
Website: www.yilucaifu.com
(41) Sunshine Life Insurance Co., Ltd
Registered address: Floor 16, Sanya Sunshine Financial Plaza, No. 360-1, Yingbin Road, Sanya, Hainan
Office address: 12/F, Kuntai International Building, No. 1, Yard B12, Chaoyangmenwai Street, Chaoyang District, Beijing
Legal representative: Li Ke
Tel.: 010-85632771
Fax: 010-85632773
Contact: Wang Chao
Customer service telephone: 95510
Website: fund.sinosig.com
(42) Beijing Duxiaoman Fund Sales Co., Ltd
Registered address: Room 103, Floor 1, Building 4, West District, Yard 10, Xibeiwang East Road, Haidian District, Beijing
Office address: Building 4, West Area, Yard 10, Xibeiwang East Road, Haidian District, Beijing
Legal representative: Ge Xin
Contact: Sun Bochao
Tel.: 010-59403028
Fax: 010-59403027
Customer service hotline: 95055-4
Website: www.baiyingfund.com
(43) Hegeng Inheritance Fund Sales Co., Ltd
Registered address: 503, Floor 5, Building 6, North East Kangning Street, Dongfeng South Road, Zhengzhou Area (Zhengdong), Henan Pilot Free Trade Zone
Office address: 503, Floor 5, Building 6, North East Kangning Street, Dongfeng South Road, Zhengzhou Area (Zhengdong), Henan Pilot Free Trade Zone
Legal representative: Wen Liyan
Contact: Dong Yafang
Tel: 0371-855183996
Customer service hotline: 400-0555-671
Website: www.hgccpb.com
(44) Shanghai Zhongzheng Daguang Fund Sales Co., Ltd
Registered address: Room 302, No. 2815, Longteng Avenue, Xuhui District, Shanghai
Office address: Room 302, No. 2815, Longteng Avenue, Xuhui District, Shanghai
Legal representative: Huang Xin
Contact: He Yuan
Tel: 021-33768132
Customer service hotline: 021-33635338/400-6767-523
Website: www.zhongzhengfund.com
(45) Magpie Wealth Fund Sales Co., Ltd
Registered address: Room 1513, Liuwu Building, Liuwu New District, Lhasa, Tibet
Office address: No. A1, Beiyuan Road, Chaoyang District, Beijing
Legal representative: Wang Haizheng
Organization contact: Zhang Meng
Tel.: 010-58349088
Fax: 0891-6177483
Customer service hotline: 400-699-7719
Website: www.xiquefund.com
(46) Beijing Zhixin Fund Sales Co., Ltd
Registered address: Room 106 - 67, Building 2, Yard 8, Xingsheng South Road, Miyun District, Beijing
Office address: No. 10 Shengshilongyuan, Huihe South Road, Chaoyang District, Beijing
Legal representative: Wang Junhui
Contact: Zhang Zhe
Tel.: 010-56075718
Customer service telephone: 400-680-2123
Website: www.zhixin-inv.com
(47) Xuanyuan Insurance Agency Co., Ltd
Registered address: Room 1105, No. 707, Zhangyang Road, China (Shanghai) Pilot Free Trade Zone
Office address: Room 1105, No. 707, Zhangyang Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Ma Yongqing
Contact: Lu Yabo
Tel: 137-5252-8013
Fax: 021-50701053?
Customer service hotline: 400-080-8208
Website: www.licaimofang.cn
(48) Dalian Wangjin Fund Sales Co., Ltd
Registered address: Room 202, Floor 2, Nord Building, 22 Titan Road, Shahekou District, Dalian, Liaoning
Office address: Room 202, Floor 2, Nord Building, 22 Titan Road, Shahekou District, Dalian, Liaoning
Legal representative: Fan Huaidong
Contact: Yu Xiu
Tel: 0411-39027810
Customer service telephone: 4000-899-100
Website: www.yibaijin.com
(49) Jiangsu Huilin Baoda Fund Sales Co., Ltd
Registered address: No.47 Gutan Avenue, Economic Development Zone, Gaochun District, Nanjing
Office address: Room 2005, Greenland Zifeng Building, No. 2, Zhongshan North Road, Gulou District, Nanjing
Legal representative: Wu Yanlin
Contact: Zhang Jingyan
Tel.: 025-66046166-849
Fax: 025-56878016
Customer service hotline: 025-66046166-849
Website: www.huilinbd.com
(50) Tonghua Wealth (Shanghai) Fund Sales Co., Ltd
Registered address: Room 201, No. 667Nong 107, Tongfeng Road, Hongkou District, Shanghai
Office address: Tonghua Science and Technology Building, No. 55, Jinhu Road, Pudong New Area, Shanghai
Legal representative: Shen Danyi
Customer service hotline: 400-101-9301
Website: www.tonghuafund.com
(51) Shanghai Aijian Fund Sales Co., Ltd
Registered address: Room 1806-13, No. 336, Middle Tibet Road, Huangpu District, Shanghai
Legal representative: Ma Jin
Customer service hotline: 021-60608980
(52) For the specific list of other sales agencies, see the relevant announcement on adjusting the sales agencies issued by the fund manager at that time.
(12) Raising schedule and effectiveness of fund contract
The fund raising period is from December 2, 2021 to March 1, 2022. The raising period shall not exceed 3 months from the date of sale of the fund units.
The Fund Manager has the right to extend or shorten the offering and raising period according to the actual situation of the Fund raising in accordance with the relevant procedures and make a timely announcement.
Within three months from the date of the sale of the Fund units, the Fund Manager may decide to stop the sale of the Fund upon the expiration of the Fund raising period or in accordance with laws, regulations and the Prospectus, provided that the total amount of the Fund units raised is not less than 200 million, the amount of the Fund raised is not less than 200 million yuan and the number of subscribers to the Fund is not less than 200, It shall employ a legal capital verification institution to verify the capital within 10 days, and handle the fund filing procedures with the CSRC within 10 days from the date of receiving the capital verification report. If the fund raising meets the requirements for fund filing, the Fund Contract shall come into force as of the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the CSRC.
2、 Offering method and relevant regulations
(1) Way of sale
It is publicly offered through various sales institutions (including the fund manager's direct sales center, online direct sales platform and sales outlets of other sales institutions that have signed fund sales service agreements with the fund manager and handled fund sales business).
The acceptance of the investor's subscription application by the sales agency does not mean that the application has been successfully confirmed, but only means that the sales agency has indeed received the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration institution or the fund manager. After the Fund Contract comes into effect, the investor shall go to each sales agency to inquire about the final transaction confirmation and the fund units subscribed in time, otherwise, any losses incurred by the investor shall be borne by the investor itself.
For the detailed list of sales agencies, please refer to "(XI) Sales Agencies" in "I. The Sale of Fund Units" of this announcement and the relevant announcement on the adjustment of sales agencies issued by the Fund Manager at that time.
(2) Target
Individual investors, institutional investors, qualified foreign institutional investors and RMB qualified foreign institutional investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds.
(3) Subscription rate
Class A fund units of the Fund will be charged with fund subscription fees at the time of subscription, while Class C fund units will not be charged with fund subscription fees at the time of subscription.
The subscription fees for Class A fund units of the Fund are not included in the fund property, and are mainly used for various expenses incurred during the fund raising period, such as marketing, sales and registration.
The subscription fee shall be charged when the investor subscribes Class A fund units. For multiple subscriptions, it shall be calculated at the rate corresponding to the amount of a single subscription.
The subscription rate of the Fund is as follows:
Subscription rate of fund share category customer subscription amount (M, including subscription fee)
Class A fund shares
M < 1 million yuan 0.6%
1 million yuan ≤ M < 2 million yuan 0.4%
2 million yuan ≤ M < 5 million yuan 0.2%
M ≥ 5 million yuan 1000 yuan/transaction
Class C fund share 0
Note: M is the subscription amount
4. Calculation of subscribed shares
(1) Subscription of Class A Fund Units
The subscription amount of Class A fund units of the Fund includes subscription fees and net subscription amount. The calculation formula is as follows:
When the subscription fee adopts the proportional rate:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=subscription amount - net subscription amount
Subscription units=(net subscription amount+interest on subscription funds)/selling face value of Class A fund units
When the subscription fee is fixed:
Subscription fee=fixed amount
Net subscription amount=subscription amount - subscription fee
Subscription units=(net subscription amount+interest on subscription funds)/selling face value of Class A fund units
The above calculation results shall be kept to 2 decimal places, and the part after 2 decimal places shall be rounded off. The gains or losses caused by the error shall be borne by the fund property.
Example 1: An investor invests 100000 yuan to subscribe for Class A fund units of the Fund during the raising period, and the corresponding subscription rate is 0.6%. If the interest generated by the subscription amount during the raising period is 50.00 yuan, the subscription units that can be obtained are calculated as follows:
Net subscription amount=100000.00/(1+0.6%)=99403.58 yuan
Subscription fee=100000.00 - 99403.58=596.42 yuan
Subscription units=(99403.58+50.00)/1.00=99453.58
That is, investors invest 100000 yuan to subscribe for Class A fund shares of the Fund during the raising period, and the corresponding subscription rate is 0.6%. If the interest generated by the subscription amount during the raising period is 50.00 yuan, they can get 99453.58 Class A fund shares.
(2) Subscription of Class C Fund Units
If investors choose to subscribe for Class C fund units of the Fund, the calculation method of subscribed units is as follows:
Subscription amount=total application amount
Subscription units=(subscription amount+interest of subscription funds)/selling par value of Class C fund units
The above calculation results shall be kept 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.
Example 2: An investor invests 100000 yuan to subscribe for Class C fund units of the Fund during the raising period, and the interest generated by the subscription amount during the raising period is 50.00 yuan, then the subscription units available to him are calculated as follows:
Subscribed shares=(100000.00+50.00)/1.00=100050.00
That is, investors invest 100000 yuan to subscribe for Class C fund shares of the Fund during the raising period. If the interest generated by the subscription amount during the raising period is 50.00 yuan, they can get 100050.00 Class C fund shares.
(5) The subscription of fund units shall be in the form of amount subscription
When investors subscribe, they shall pay in full in the way specified by the sales agency.
Fund investors may subscribe for fund units several times during the fund raising period, but the accepted subscription applications are not allowed to be withdrawn.
(6) 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 owned by the fund unit holders, of which the specific amount of interest and the specific amount of interest transferred to units shall be subject to the records of the registration authority.
(7) Limitation on Subscription Amount
During the fund raising period, investors may subscribe for fund units several times. For the first subscription of the Fund units through the Fund Manager Direct Marketing Center, the minimum amount of a single subscription for each fund account is 10 yuan (including subscription fees, the same below), and the minimum amount of a single additional subscription for the Fund units is 10 yuan. If the Fund units are subscribed for the first time through the online direct selling platform of the Fund Manager or other sales institutions other than the Fund Manager's direct selling institutions, the minimum amount of a single subscription for each fund account is 10 yuan, and the minimum amount of a single additional subscription for the Fund units is 10 yuan. If the sales agency has other provisions, such provisions shall prevail.
Generally, during the raising period, there is no limit on the proportion of fund units held by an investor in a single account and the maximum subscription amount. However, if the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds 50% of the total fund units, the Fund Manager may limit the subscription application of such investor by means of proportion confirmation. If the Fund Manager's acceptance of a certain subscription application or some subscription applications may lead investors to evade the above 50% ratio requirement in disguised form, the Fund Manager has the right to reject all or part of such subscription applications. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority after the fund contract takes effect.
If any sales institution has other regulations on the minimum subscription amount and transaction level difference of the Fund, the business regulations of each sales institution shall prevail.
3、 Account opening and subscription procedures of direct selling institutions
(1) Account opening and subscription procedures of direct selling institutions
i. The account opening and subscription process of the direct sales center:
1. Individual investors
(1) Account opening and subscription time: 9:30 a.m. to 17:00 p.m. every day during the offering period (except Saturdays, Sundays and statutory holidays).
(2) Account opening and subscription procedures:
1) The investor shall provide the following materials to handle the opening procedures of the fund account:
A. Fill in the Open ended Fund Account Business Application Form (Individual) and Risk Tolerance Questionnaire (Individual) that are qualified and signed by the applicant;
B. Original and photocopy of my valid ID card;
C. Real name voucher of designated bank account (original and copy of bank debit card);
D. Fill in the Individual Tax Resident Identity Declaration Document, Instructions for Filling in and Changing Investor Information, Investor Risk Matching Notice and Investor Confirmation Letter that are qualified and signed by the applicant;
E. In case of entrusting others to handle the business on behalf of others, the original of the power of attorney for entrusted business, the original and photocopy of the agent's valid ID card, which have been signed and confirmed by the agent, shall also be provided;
F. If the investor is a professional investor, it is also required to provide a copy of the asset certificate issued by the relevant financial institution or the income certificate issued by the working institution, a copy of the investment record in the last two years issued by the relevant financial institution (such as the statement of account or transaction flow), and if it has relevant financial experience, it can provide an on-the-job certificate issued by the working institution Provide the completed and signed Customer Commitment Letter and investor knowledge test questionnaire;
G. Other materials to be submitted.
2) The investor shall provide the following materials to go through the fund subscription procedures:
A. Fill in the Transaction Business Application Form (Individual) that is qualified and signed by the applicant;
B. Original or copy of fund transfer voucher;
C. Original and photocopy of my valid ID card;
D. Provide the completed Risk Disclosure Statement of the proposed investment product;
E. If the risk level of ordinary investors (not belonging to the lowest risk tolerance category) applying for subscribing products does not match their risk tolerance, they should additionally sign the Application for Ordinary Investors to Purchase Risk Mismatched Products and the Warning Letter of Risk Mismatch and the Confirmation Letter of Investors;
F. When applying for subscription of R5 risk products, the direct salesperson or salesperson should explain the following information to ordinary investors: detailed information, key features and risks of the products; Main costs, rates and important rights of products; Information content, method and frequency; Losses that investors may bear; The investor's complaint mode and dispute resolution arrangement shall sign the above "Application Form for Ordinary Investors to Purchase Risk Mismatched Products" and the "Risk Mismatch Warning Letter and Investor Confirmation Letter", and the investor shall also be asked to fill in the "Questionnaire for Additional Information".
3) Payment of subscription funds:
The investor shall transfer the full amount of subscription capital to the following special direct sales account opened by the fund manager in the designated bank before 17:00 on the day when the subscription application is submitted.
A. Account name: Deppon Fund Management Co., Ltd
Bank of deposit: Shanghai No. 1 Branch of Bank of Communications
Account No.: 310066726018170166900
B. Account name: Deppon Fund Management Co., Ltd
Opening bank: Shanghai Wusong Road Branch of ICBC
Account No.: 1001197819200053442
C. Account name: Deppon Fund Management Co., Ltd
Opening bank: China Merchants Bank Shanghai Dalian Road Sub branch
Account No.: 121910244310802
D. Account name: Deppon Fund Management Co., Ltd
Opening bank: Shanghai Putuo Branch of China Construction Bank
Account No.: 31001511980050031801
(3) Precautions
1) If the subscription funds of investors do not reach the special account designated by the fund manager before 17:00 on the day of subscription application, the application submitted on that day will fail. Please ensure that the subscription application is resubmitted after the subscription funds arrive at the special direct sales account designated by the fund manager. The application acceptance date (i.e. the effective application date) shall be subject to the fund receipt date.
2) At the end of the fund raising period, the following subscription will be deemed invalid:
A. The investor has transferred the subscription funds, but has not gone through the account opening procedures within the time limit or failed to open the account;
B. The investor has transferred the subscription fund, but has not gone through the subscription procedures within the time limit;
C. The subscription funds already paid by the investor are less than the subscription amount applied for by the investor;
D. The subscription fund fails to reach the designated direct selling special account before 17:00 p.m. on the deadline of the raising period;
E. Other invalid funds or failed subscription funds confirmed by the Fund Manager.
3) For the invalid subscription confirmed by the registration authority, the fund manager will return the subscription fund within 7 working days, and the investor can submit a subscription application again after the returned subscription fund is received (except for the subscription period that has ended at that time).
2. Institutional investors
(1) Account opening and subscription time: 9:30 a.m. to 17:00 p.m. every day during the offering period (except Saturdays, Sundays and statutory holidays).
(2) Account opening and subscription procedures:
1) The investor shall provide the following materials to handle the opening procedures of the fund account:
A. Fill in the Account Business Application Form (institution/product) and Risk Tolerance Questionnaire (institutional version) that are qualified and stamped with the official seal and the signature of the handler;
B. The original copy of the "Enterprise Legal Person License" or "Business License" approved and issued by the industrial and commercial administration department and passed the annual inspection, and the copy with official seal affixed; Or the original copy of the registration certificate issued by the civil affairs department or other competent departments and the copy stamped with the official seal. If you are an overseas institutional investor, you should also submit the original and copy of the approval certificate of the securities investment business license and investment quota of the qualified overseas institutional investor (with the seal of the custodian bank);
C. The original of valid organization code certificate and the copy with official seal affixed (if the three certificates are in one, it is unnecessary to provide);
D. The original of the valid tax registration certificate and the copy affixed with the official seal (if the three certificates are in one, it is not necessary to provide);
E. The original of the bank account opening certificate and the copy with official seal affixed;
F. Investors who need to open fax transactions shall sign the Fax Transaction Agreement affixed with the official seal;
G. Power of Attorney (Organization) for Business with official seal;
H. Official seal, legal person seal, and signature of the operator Declaration Document of Institutional Tax Resident Identity;
1. If the institution type is a passive non-financial institution, it is also required to provide the Controller's Tax Resident Identity Declaration Document signed by the controller
J. Fill in the Anti money Laundering Identification Information Collection Form that is qualified and stamped with the official seal and the signature of the handler;
K. Reserved Seal Card with official seal and reserved seal;
50. Instructions for Information Collection and Change of Investors with official seal and signature of the handler;
M. Notes to Investors' Rights and Interests of Securities Investment Funds affixed with the official seal and the signature of the handler;
N. Investor Risk Matching Notice and Investor Confirmation Letter stamped with official seal and signed by the handler;
O. Copies of valid ID cards of legal persons and agents with official seals affixed;
P. Qualification certificates for conducting financial related business (if any);
Q. Other materials to be submitted.
2) The investor shall provide the following materials to go through the fund subscription procedures:
A. Fill in the Transaction Business Application Form that is qualified and stamped with the reserved seal;
B. Original or copy of fund transfer voucher;
C. Copy of ID card of the handler;
D. The ordinary investor shall also provide the following materials: provide the Product Risk Disclosure Statement with the official seal and the signature of the handler in duplicate; If the risk level of ordinary investors (not belonging to the lowest risk tolerance category) applying for subscribing products does not match their risk tolerance, they should additionally sign the Application for Ordinary Investors to Purchase Risk Mismatched Products and the Warning Letter of Risk Mismatch and the Confirmation Letter of Investors; When applying for subscription of R5 risk products, the direct salesperson or salesperson should explain the following information to ordinary investors: detailed information, key features and risks of the products; Main costs, rates and important rights of products; Information content, method and frequency; Losses that investors may bear; Investors' complaint methods and dispute resolution arrangements, signing the above Application for Ordinary Investors to Purchase Risk Mismatched Products and the Risk Mismatch Warning Letter and Investor Confirmation, and also asking investors to fill in the Questionnaire for Additional Information;
E. Ordinary investors who belong to the lowest risk tolerance category cannot buy products higher than their risk level.
The investor may go through the subscription procedures while opening an account.
3) Payment of subscription funds:
The investor shall transfer the full amount of subscription funds to the following special direct sales account opened by the fund manager in the designated bank by means of telegraphic transfer, cheque active payment or credit voucher before 17:00 on the day when the subscription application is submitted.
A. Account name: Deppon Fund Management Co., Ltd
Bank of deposit: Shanghai No. 1 Branch of Bank of Communications
Account No.: 310066726018170166900
B. Account name: Deppon Fund Management Co., Ltd
Opening bank: Shanghai Wusong Road Branch of ICBC
Account No.: 1001197819200053442
C. Account name: Deppon Fund Management Co., Ltd
Opening bank: China Merchants Bank Shanghai Dalian Road Sub branch
Account No.: 121910244310802
D. Account name: Deppon Fund Management Co., Ltd
Opening bank: Shanghai Putuo Branch of China Construction Bank
Account No.: 31001511980050031801
(3) Precautions
1) If the subscription funds of investors do not reach the special account designated by the fund manager before 17:00 on the day of subscription application, the application submitted on that day will fail. Please ensure that the subscription application is resubmitted after the subscription funds arrive at the special direct sales account designated by the fund manager. The application acceptance date (i.e. the effective application date) shall be subject to the fund receipt date.
2) At the end of the fund raising period, the following subscription will be deemed invalid:
A. The investor has transferred the subscription funds, but has not gone through the account opening procedures within the time limit or failed to open the account;
B. The investor has transferred the subscription fund, but has not gone through the subscription procedures within the time limit;
C. The subscription funds already paid by the investor are less than the subscription amount applied for by the investor;
D. The subscription fund fails to reach the designated fund direct sale special account before 17:00 p.m. on the deadline of the raising period;
E. Other invalid funds or failed subscription funds confirmed by the Fund Manager.
3) For the invalid subscription confirmed by the registration authority, the fund manager will return the subscription fund within 7 working days, and the investor can submit a subscription application again after the returned subscription fund is received (except for the subscription period that has ended at that time).
(2) Online direct selling account opening and subscription process:
1. Account opening and subscription time: accept account opening and subscription applications within 24 hours during the raising period. The subscription application after 17:00 on working days and legal holidays shall be postponed to the next trading day.
2. Account opening and subscription procedures:
(1) Open fund account:
When an investor opens a fund account through the online direct selling trading system of the Company, he/she needs to verify his/her identity information, read the risk reminder letter, and sign an online direct selling agreement. When new users log in for the first time, the system will require investors to conduct risk assessment.
(2) Subscription process:
A. On the day when an investor opens a fund account through the online direct selling trading system, he or she can use the fund account or trading account to handle subscription business;
B. Please refer to the Online Trading Business Rules of Deppon Fund Management Co., Ltd. and other relevant announcements published on the company's website for the process of investors subscribing through the online direct trading system.
3. Precautions
(1) If the subscription fund of the investor is not deducted in real time, the application submitted fails. Please re launch the subscription application after ensuring that the bank account has sufficient funds.
(2) At the end of the fund raising period, the following subscription will be deemed invalid:
A. The investor has transferred the subscription fund, but the account opening is unsuccessful;
B. The subscription funds already paid by the investor are less than the subscription amount applied for by the investor;
C. Other invalid funds or failed subscription funds confirmed by the Fund Manager.
(3) For the invalid subscription confirmed by the registration authority, the fund manager will return the subscription fund within 7 working days, and the investor can submit a subscription application again after the returned subscription fund is received (except for the subscription period that has ended at that time).
4、 Account opening and subscription procedures of non direct selling institutions
The account opening and subscription procedures of individual investors and institutional investors in non direct selling institutions shall be subject to the provisions of the non direct selling institutions.
5、 Clearing and settlement
(1) The Fund Manager shall deposit the funds raised during the fund raising into a special account, and no one may use them before the end of the fund raising. The interest generated from the effective subscription funds during the raising period will be converted into fund units and owned by the fund unit holders, of which the specific amount of interest and the specific amount of interest transferred to units shall be subject to the records of the registration authority.
(2) The registration of the rights and interests of the Fund shall be completed by the fund registration agency after the end of the offering.
6、 Capital Verification of the Fund and Effectiveness of the Fund Contract
(1) Conditions for Fund Filing
Within three months from the date of the sale of the Fund units, the Fund Manager may decide to stop the sale of the Fund upon the expiration of the Fund raising period or in accordance with laws, regulations and the Prospectus, provided that the total amount of the Fund units raised is not less than 200 million, the amount of the Fund raised is not less than 200 million yuan and the number of subscribers to the Fund is not less than 200, It shall employ a legal capital verification institution to verify the capital within 10 days, and handle the fund filing procedures with the CSRC within 10 days from the date of receiving the capital verification report.
If the fund raising meets the requirements for fund filing, the Fund Contract shall come into force as of the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the CSRC; Otherwise, the Fund Contract will not take effect. 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 no one may use them before the end of the fund raising.
(2) Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by the investors within 30 days after the expiration of the fund raising period, plus the interest of the current deposit of the bank for the same period;
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.
7、 Selling expenses
Information disclosure fees, accountants' fees, lawyers' fees and other fees during the fund raising period shall not be disbursed from the fund assets. If the fund raising fails, the fund manager, the fund custodian and the sales agency shall bear the debts and expenses arising from the raising. All expenses incurred after the Fund Contract comes into effect shall be disbursed in accordance with the relevant laws and regulations.
8、 Parties involved in this unit offering and relevant institutions
(1) Fund manager
Name: Deppon Fund Management Co., Ltd
Address: Unit 503B, No. 501, Dongdaming Road, Hongkou District, Shanghai
Office address: Unit 2101-2106, Building S1, No. 600, Zhongshan Second Road, Huangpu District, Shanghai
Legal representative: Zuo Chang
Time of establishment: March 27, 2012
Organizational form: limited liability company
Registered capital: 590 million yuan
Duration: continuous operation
Approved by: China Securities Regulatory Commission
Approval No. of establishment: CSRC ZJXK [2012] No. 249
Business scope: fund raising, fund sales, asset management of specific clients, asset management and other businesses permitted by the CSRC
Contact: Wang Jing
Tel: 021-26010999
Company website: www.dbfund.com.cn
(2) Fund Custodian
Name: Hengfeng Bank Co., Ltd
Registered address: No. 8, Luoyuan Avenue, Lixia District, Jinan
Office address: Floor 16, No. 88 Kaiping Road, Huangpu District, Shanghai
Postal code: 200023
Legal representative: Chen Ying
Date of establishment: November 23, 1987
Approval No. of fund custody business: CSRC ZJXK [2014] No. 204
Organizational form: limited liability company
Registered capital: RMB 111209629836
Duration: continuous operation
Business scope: absorbing RMB deposits; Issue short-term, medium-term and long-term loans; Settlement; Handle bill discount; Issuing financial bonds, issuing, cashing and underwriting government bonds as agents; Buying and selling government bonds; Interbank borrowing; Provide credit requisition service and guarantee; Agency collection and payment; Provide custody services; Foreign exchange deposit; Foreign exchange loans; Foreign exchange remittance; Foreign currency exchange; International settlement; Interbank foreign exchange borrowing; Acceptance and discount of foreign exchange bills; Foreign exchange borrowing; Foreign exchange guarantee; Settlement and sales of foreign exchange; Issuance and agency of foreign currency securities other than stocks; Buying and selling foreign currency securities other than stocks; Self operated foreign exchange trading; Foreign exchange trading on behalf of customers; Credit investigation, consultation and witness business.
(3) Selling agency
See "(XI) Sales Agencies" in "I. The Sale of Fund Units" for the list of sales agencies.
(4) Registration Authority
Name: Deppon Fund Management Co., Ltd
Address: Unit 503B, No. 501, Dongdaming Road, Hongkou District, Shanghai
Office address: Unit 2101-2106, Building S1, No. 600, Zhongshan Second Road, Huangpu District, Shanghai
Legal representative: Zuo Chang
Tel: 021-26010999
Contact: Wu Peijin
(5) Law firm issuing legal opinion
Name: Shanghai Tongli Law Firm
Address: 19/F, 68 Yincheng Middle Road, Shanghai
Office address: 19/F, 68 Yincheng Middle Road, Shanghai
Person in charge: Han Jiong
Tel.: 021-31358666
Fax: 021-31358600
Contact: Ding Yuan
Handling lawyers: Liming, Ding Yuan
(6) Accounting firm auditing fund assets
Name: Ernst&Young Huaming Certified Public Accountants (Special General Partnership)
Legal representative: Ge Ming
Address: Floor 16, Ernst&Young Building, Oriental Plaza, No. 1, East Chang'an Street, Dongcheng District, Beijing, China
Office address: 16/F, Ernst&Young Building, Oriental Plaza, No. 1, East Chang'an Street, Dongcheng District, Beijing, China
Postal code: 100738
Tel.: 010-58153000
Fax: 010-85188298
Certified Public Accountants: Chen Lu, Lin Yuhua
Business contact: Lin Yuhua
Deppon Fund Management Co., Ltd
November 29, 2012