Fund Manager: Ping An Fund Management Co., Ltd
Fund Custodian: Postal Savings Bank of China Limited
1、 Parties to the Fund Custody Agreement ---------------------------------------------- 1
2、 Basis, Purpose and Principles of the Fund Custody Agreement --------------------------------- 2
3、 Fund Custodian's Business Supervision and Verification of Fund Manager ------------------------- 3
4、 Fund Manager's Business Verification of Fund Custodian -------------------------------- 11
5、 Custody of Fund Property ------------------------------------------------- 12
6、 Sending, Confirmation and Execution of Instructions ------------------------------------------ 16
7、 Transaction and Settlement Arrangement ------------------------------------------------- 19
8、 Calculation and Accounting of the Net Asset Value of the Fund ------------------------------------- 24
9、 Fund income distribution -------------------------------------------------- 30
10、 Fund Information Disclosure -------------------------------------------------- 31
11、 Fund expenses --------------------------------------------------- 33
12、 Registration and Custody of the Register of Fund Unitholders -------------------------------- 35
13、 Preservation of Fund related files ------------------------------------------ 35
14、 Replacement of Fund Manager and Fund Custodian --------------------------------- 36
15、 Prohibited Acts --------------------------------------------------- 39
16、 Change and Termination of Custody Agreement and Liquidation of Fund Assets ------------------------- 40
17、 Liability for breach of contract --------------------------------------------------- 41
18、 Dispute Resolution ------------------------------------------------- 42
19、 Effectiveness of Custody Agreement ---------------------------------------------- 43
20、 Other matters --------------------------------------------------- 43
21、 Signing of Custody Agreement ------------------------------------------------- 431
Whereas Ping An Fund Management Co., Ltd. is a legally established and validly existing company
A limited liability company, which is qualified and capable of acting as a fund manager in accordance with relevant laws and regulations, intends to raise funds
Collect and issue Ping An Xinyuan Hybrid Securities Investment Fund;
Whereas Postal Savings Bank of China Co., Ltd. is a legally established and effective company in accordance with the laws of China
The surviving bank has the qualification and ability to act as the fund custodian in accordance with relevant laws and regulations;
Whereas Ping An Fund Management Co., Ltd. plans to act as the fund manager of Ping An Xinyuan Hybrid Securities Investment Fund
Manager, Postal Savings Bank of China Co., Ltd. proposes to act as the foundation of Ping An Xinyuan Hybrid Securities Investment Fund
Gold custodian;
For the purpose of clarifying the financial position of Ping An Xinyuan Hybrid Securities Investment Fund (hereinafter referred to as "the Fund" or "the Fund")
This Custody Agreement is hereby formulated for the rights and obligations between the Fund Manager and the Fund Custodian;
Unless otherwise agreed, the Fund Contract of Ping An Xinyuan Hybrid Securities Investment Fund (hereinafter referred to as the "Fund Contract")
The terms defined in the gold contract shall have the same meaning when used in this custody agreement; In case of conflict
The Fund Contract shall prevail and be interpreted in accordance with its terms.
If the Fund implements the side pocket mechanism, please refer to the fund contract and recruitment for relevant arrangements during the implementation of the side pocket mechanism
Specification.
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
Legal representative: Luo Chunfeng
Time of establishment: January 7, 2011
Approved by: China Securities Regulatory Commission
Approval No. of establishment: CSRC ZJXK [2010] No. 1917
Organizational form: limited liability company (Sino foreign joint venture)
Registered capital: RMB1300 million
Duration: going concern 2
Business scope: initiating fund establishment, fund management and other businesses approved by the CSRC
（2） Fund Custodian
Name: Postal Savings Bank of China Co., Ltd
Address: No. 3, Financial Street, Xicheng District, Beijing
Office address: Block A, No. 3, Financial Street, Xicheng District, Beijing
Postal code: 100808
Legal representative: Zhang Jinliang
Time of establishment: March 6, 2007
Approval authority and approval document number: CBRC YJF [2006] No. 484
Approval No. of fund custody business: ZJXK [2009] No. 673
Organizational form: limited liability company
Registered capital: 92.384 billion yuan
Duration: continuous operation
Business scope: absorbing public deposits; Issue short-term, medium-term and long-term loans; Handle domestic and foreign settlement;
Handle bill acceptance and discount; Issuance of financial bonds; Issuing, cashing and underwriting government bonds as an agent; buy
Selling government bonds and financial bonds; Interbank lending; Buying and selling foreign exchange; Engaging in bank card business;
Provide letter of credit service and guarantee; Acting for collection and payment and insurance business; Provide safe deposit box service; Midmeridian
Other businesses approved by regulatory authorities such as China Banking Regulatory Authority.
2、 Basis, purpose and principle of fund custody agreement
（1） Basis for entering into custody agreement
Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the Fund Law), Public Offering
Measures for the Operation and Management of Securities Investment Funds (hereinafter referred to as the "Operation Measures"), and Measures for the Public Offering of Securities Investment
Measures for the Supervision and Administration of Fund Sales Agencies (hereinafter referred to as the "Sales Measures"), Public Offering of Securities Investment
Measures for the Administration of Fund Information Disclosure (hereinafter referred to as the Measures for Information Disclosure), the Open ended Securities Offering
Provisions on Liquidity Risk Management of Securities Investment Funds (hereinafter referred to as the Provisions on Liquidity Risk Management)
An Xinyuan Hybrid Securities Investment Fund Fund Contract (hereinafter referred to as the "Fund Contract") and other relevant regulations
This Custody Agreement is hereby concluded.
（2） Purpose of entering into custody agreement 3
The purpose of this Agreement is to clarify the custody and investment of the Fund property between the Fund Manager and the Fund Custodian
Rights, obligations and duties in matters related to operation, net worth calculation, income distribution, information disclosure and mutual supervision
Responsible for ensuring the safety of fund assets and protecting the legitimate rights and interests of fund share holders.
（3） Principles for entering into custody agreement
The Fund Manager and the Fund Custodian shall fully protect the holding of fund shares on the basis of equality, voluntariness, honesty and credibility
This agreement is signed based on the principle of legal rights and interests of the people.
（4） Interpretation
Unless otherwise agreed in this Agreement, all terms in this Agreement correspond to the "Interpretation" part of the Fund Contract
Terms have the same meaning.
3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian invests in the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Scope, investment proportion, investment restrictions, etc. The fund contract clearly stipulates the investment style or securities of the fund
If the selection criteria are met, the Fund Manager shall provide a pool of investment varieties in the format required by the Fund Custodian to
The Fund Custodian shall supervise whether the actual investment of the Fund complies with the provisions of the Fund contract on the securities selection criteria.
The investment scope of the Fund is financial instruments with good liquidity, including those legally issued and listed domestically
Stocks (including the main board, GEM and other stocks and depositary receipts that the CSRC allows funds to invest in)
Stock, stock index futures, treasury bond futures, stock options, credit derivatives, bonds (including national
Bonds, central bank bills, financial bonds, corporate bonds, corporate bonds, medium-term notes, short-term financing bonds, ultra short
Long term financing bonds, subordinated bonds, government supported institutional bonds, government supported bonds, local government bonds, convertible bonds
Bonds, separable convertible bonds, exchangeable bonds and other bonds allowed by the CSRC to invest), assets
Supporting securities, bond repurchase, inter-bank deposit receipts, bank deposits (including negotiated deposits, time deposits and other banks
Bank deposits), money market instruments, cash, etc., as well as funds allowed to invest by laws and regulations or the CSRC
Other financial instruments, subject to the relevant provisions of the CSRC.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform appropriate
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment portfolio is: the proportion of stock investment in the Fund's investment portfolio is fund assets
60% - 95%, and the proportion invested in Hong Kong stocks accounted for 0-50% of the stock assets. At the end of each trading day
After deducting the trading margin required to be paid for stock index futures, treasury bond futures and stock option contracts, it shall be no less than
5% of the fund's net asset value in cash or government bonds with a maturity of less than one year. Cash excluding settlement reserve
Payment, deposit, subscription receivable, etc. Investment in stock index futures, treasury bond futures and stock option contracts
The proportion shall comply with relevant national laws and regulations.
If laws and regulations or the CSRC allow the fund to change the investment proportion limit of investment varieties
After performing appropriate procedures, the manager may adjust the investment proportion of the above investment varieties.
The Fund's portfolio is subject to the following restrictions:
(1) The Fund's stock investment accounts for 60% - 95% of the Fund's assets, and invests in Hong Kong stocks that are the general standard stocks
The proportion of votes accounts for 0-50% of stock assets;
(2) The Fund holds securities issued by a company (the same company is listed in both the Mainland and Hong Kong
A+H shares), whose market value does not exceed 10% of the net asset value of the fund;
(3) All funds managed by the Fund Manager hold securities issued by one company (the same company
A+H shares listed in both the mainland and Hong Kong), no more than 10% of the securities, fully in accordance with
The composition ratio of the relevant index of the fund variety for securities investment may not be subject to the proportion limit specified in this article;
(4) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(5) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
(6) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of the asset-backed securities;
(7) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(8) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All of them will be sold within 3 months from the date of release of the level report;
(9) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(10) The maximum term for the Fund to enter the national inter-bank market for bond repurchase is one year
No extension is allowed after the maturity of the repurchase of bonds; five
(11) All open-ended funds managed by the Fund Manager (including open-ended funds and open funds
The holding of tradable shares issued by a listed company shall not exceed that of the listed company
15% of the outstanding shares; All investment portfolios managed by the Fund Manager hold shares issued by a listed company
The tradable shares shall not exceed 30% of the tradable shares of the listed company; Completely according to the structure of the relevant index
Open ended funds investing in securities in proportion and special investment portfolios recognized by the CSRC may not be subject to
The foregoing proportional restrictions;
(12) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% of the net asset value of the Fund; At the end of any trading day, the value of the sold stock index futures contracts held shall not exceed
20% of the total market value of stocks held by the fund; The market value of stocks held by the Fund and the index period for buying and selling stocks
The total of the contract value (offset calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment;
The trading amount of stock index futures contracts traded (excluding closing positions) in any trading day shall not exceed the previous one
20% of the net asset value of Yiri Fund;
(13) At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed
15% of the net asset value of the Fund; At the end of any trading day, the value of the futures contract for selling treasury bonds held shall not exceed
30% of the total market value of bonds held by the Fund; Bonds held by the Fund (excluding those with maturity of less than one year
The total (netting calculation) of the market value of government bonds and the value of futures contracts for buying and selling government bonds should be consistent with the basis
Relevant provisions on the proportion of bond investment in the gold contract; Countries trading (excluding closing positions) on any trading day
The trading amount of the bond futures contract shall not exceed 30% of the net asset value of the fund on the previous trading day;
(14) At the end of any trading day, the value and value of treasury bond futures and stock index futures contracts held
The sum of the market value of securities shall not exceed 95% of the net asset value of the fund. Among them, marketable securities refer to stocks, bonds (not
Including government bonds with a maturity date of less than one year), asset-backed securities, redemptory financial assets for sale (excluding quality
Pledged repo), etc;
(15) At the end of each trading day, the Fund will deduct stock index futures, treasury bond futures and stock option contracts
After paying the transaction margin, it should be kept no less than 5% of the net asset value of the fund in cash or the maturity date should be within one year
Government bonds within, of which cash does not include provisions for settlement, deposits and subscription receivables;
(16) The total amount of premium paid and received by the Fund due to the outstanding stock option contract shall not exceed the Fund
10% of net asset value; Those who open positions to sell subscription stock options shall hold sufficient underlying securities; Opening and selling order
If the stock option is put, the full amount of cash required for the exercise of the contract or the offset stock recognized by the rules of the Exchange shall be held
Cash equivalents of option margin; The par value of the outstanding stock option contract shall not exceed the net asset value of the fund
20%。 The par value of the contract is calculated by multiplying the exercise price by the contract multiplier;
(17) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net assets of the Fund
15% of the value;
Due to fluctuations in the securities market, stock suspension of listed companies, changes in fund size and other reasons other than fund managers
If the fund does not meet the limit of this proportion as a result, the fund manager shall not actively increase the investment of liquidity restricted assets
Capital;
(18) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the fund contract
bring into correspondence with;
(19) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(20) The proportion limit of the Fund's investment in depositary receipts shall be subject to the domestic listed stocks;
(21) The Fund does not hold credit derivatives with the attribute of credit protection seller; Do not hold contractual letters
Derivatives; The nominal principal of credit derivatives held by the Fund shall not exceed the corresponding protected principal of the Fund
100% of the face value of the bonds; The Fund invests in the principal of various credit derivatives of the same credit protection seller
The total amount shall not exceed 10% of the net asset value of the Fund; Due to fluctuation of securities/futures market, merger of securities issuers
The fund investment proportion does not meet the above requirements due to factors other than the fund manager, such as fund size change
The Fund Manager shall adjust the proportion within three months;
(22) Other investment restrictions stipulated by laws and regulations, CSRC and the Fund Contract.
Except for (8), (15), (17), (18) and (21) above
Market fluctuations, mergers of securities issuers, changes in fund size and other factors outside the fund manager cause fund investment
If the capital ratio does not meet the above investment ratio, the Fund Manager shall make adjustment within 10 trading days,
Except for the special circumstances stipulated by the CSRC. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Agreement
Start. seven
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing appropriate procedures, the investment of the Fund will no longer be subject to relevant restrictions, but it needs to be announced in advance, and it is not necessary to
Deliberated by the general meeting of gold share holders. The Fund Custodian shall comply with relevant laws and regulations, the Fund Agreement and the Custodian Agreement
The fund manager still violates the provisions of laws and regulations, the fund contract or the custody agreement after fulfilling the supervision responsibilities
The Fund Manager shall be responsible for the loss of the Fund property caused by the restriction on the proportion of the investment portfolio of
People do not assume any responsibility.
（3） The Fund Custodian shall invest the following funds in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Supervise the prohibited behaviors. Unless otherwise agreed in this Agreement, the Fund Custodian shall supervise the Fund
The Fund Manager shall supervise the prohibited acts of fund investment.
In accordance with the provisions of laws and regulations and the fund contract, the fund assets shall not be used for the following investments or activities
Active:
1. Underwriting securities;
2. Loan or provide guarantee to others in violation of regulations;
3. Investment with unlimited liability;
4. Buying and selling other fund units, unless otherwise stipulated by the CSRC;
5. Make capital contributions to the Fund Manager and the Fund Custodian;
6. Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
7. Other activities prohibited by laws, administrative regulations and the provisions of the CSRC.
Laws, administrative regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund,
After the Fund Manager has performed the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or in accordance with the changed provisions
Execution.
The Fund Custodian has performed its supervisory duties in accordance with relevant laws and regulations, the Fund Agreement and the Custodian Agreement,
The Fund Manager is still in violation of laws and regulations, the investment prohibition agreed in the Fund Contract or the Custody Agreement
The Fund Manager shall be liable for any loss of the Fund property, and the Fund Custodian shall not be liable.
（4） The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, shall comply with the investment objectives and investment strategies of the Fund and follow
The principle of giving priority to the interests of holders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement at fair and reasonable prices in the market. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Regulations. Major related party transactions shall be submitted to the Board of Directors of the Fund Manager for review, and more than two-thirds of them shall be approved
Approved by the independent directors of. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
（5） The Fund Custodian shall manage the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Participate in supervision of inter-bank bond market.
The Fund Manager shall provide the Fund Custodian with information that complies with laws, regulations and industry requirements
A standard, carefully selected list of inter-bank bond market counterparties applicable to the Fund, and an agreement on
The transaction settlement method applicable to the counterparty. The Fund Manager shall strictly follow the scope of the list of counterparties
The interbank bond market selects counterparties. The Fund Custodian supervises whether the Fund Manager provides the Bank in advance
If the fund manager fails to provide the inter-bank bond market as required
List of market counterparties, resulting in the Fund Custodian's inability to effectively perform its supervisory duties, resulting in losses and liabilities
All responsibilities shall be assumed by the Fund Manager.
The Fund Manager shall update the list of counterparties in the inter-bank bond market and the settlement method in a timely manner
Inform the Fund Custodian that the new list will come into force after the Fund Custodian's confirmation, and the new list has been cancelled this time
Transactions conducted by counterparties but not yet settled shall still be settled in accordance with the agreement. If the Fund Manager
If the market situation needs to adjust the list of counterparties in the inter-bank bond market and the settlement method, the fund custodian shall be informed
Explain the reasons and confirm with the fund custodian within 3 working days before the transaction with the counterparty
It shall be settled through consultation. If the Fund Custodian finds that the Fund Manager and the inter-bank market transaction pair that is not on the list
In case of manual transaction, the Fund Manager shall be timely reminded. If the Fund Manager still fails to correct after reminding
The administrator will not bear any loss and responsibility caused thereby.
The fund manager is responsible for controlling the credit control and trading mode of the counterparty, and
Conduct transactions according to the market's trading rules, and be responsible for resolving disputes and losses caused by the counterparty's failure to perform the contract
In case of loss, the Fund Custodian shall not bear any legal liability and loss arising therefrom. The Fund Custodian
The bond market transaction sheet shall supervise the performance of the contract. If the fund custodian finds that the fund manager fails to comply with
The Fund Custodian shall timely remind the Fund Management when conducting transactions according to the trading counterparty or trading method agreed in advance
If the Fund Manager still fails to correct after being reminded, the Fund Custodian will not bear any losses and
Responsibility.
（6） The Fund Custodian shall manage the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
People choose deposit banks for supervision. nine
If the Fund invests in bank deposits, the Fund Manager shall, in accordance with the provisions of laws and regulations and the provisions of the Fund Contract
Determine the list of all eligible deposit banks and provide them to the Fund in time before the Fund invests in deposits
Whether the Fund Custodian and the Fund Custodian should comply with the relevant regulations on the counterparties of the Fund's investment bank deposits
To supervise, if the Fund Manager fails to provide the list of deposit banks as required, the Fund Custodian is unable to be effective
The Fund Manager shall be responsible for the losses and liabilities arising from the performance of supervision duties.
The investment bank deposits of the Fund shall comply with the following provisions:
1. The Fund Manager and the Fund Custodian shall, in accordance with the relevant regulations, make separate arrangements for the investment bank deposits of the Fund
Sign a written agreement to clarify that the Fund Manager and the Fund Custodian are handling the deposit business of the Fund investment bank
To ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
2. The Fund Custodian shall strengthen the supervision and verification of the Fund's bank deposit business and strictly review relevant agreements
Discussions, account information, investment instructions, deposit certificates and other relevant documents, and earnestly perform the custody responsibilities.
3. The Fund Manager and the Fund Custodian shall strictly abide by the Fund Law
Operation Measures and other relevant laws and regulations, as well as national account management, interest rate management, payment and settlement, etc
The provisions of.
（7） Supervision of the Fund Custodian over the Fund's investment in restricted securities
1. The Fund's investment in negotiable restricted securities shall comply with the Regulations on the Fund's Investment in Non public Issuance of Stocks and Other Negotiable Securities
Notice on Issues Related to Securities Restrictions and other relevant laws and regulations.
2. Circulating restricted securities, including non-public issuance regulated by the Administrative Measures for Securities Issuance of Listed Companies
The tradable certificates of stocks, offline allotment of publicly issued stocks, etc. that are locked for a certain period of time at the time of issuance
Securities, excluding securities temporarily suspended due to the release of major news or other reasons, issued and unlisted securities
Pledged bonds and other negotiable restricted securities in repurchase transactions.
3. The Fund Manager shall provide the Fund Custodian with
Investment decision-making process and risk control system approved by the Board of Directors of the Manager in respect of restricted securities for fund investment and circulation
Degrees. If the Fund invests in non-public offering of shares, the Fund Manager shall also provide the flow approved by the Board of Directors of the Fund Manager
Dynamic risk disposal plan. The above information shall include but not limited to the investment quota of the Fund's investment in restricted securities
And investment proportion control.
The Fund Manager shall send the above information in writing at least two working days before the first execution of the investment order
To the Fund Custodian to ensure that the Fund Custodian has enough time to review. ten
4. Before the Fund invests in restricted securities, the Fund Manager shall provide the Fund Custodian with information that complies with laws and regulations
Relevant written information required, including but not limited to the CSRC approval documents
The number of securities, issue price, lock up period, and the number, price, total cost and total cost of the fund to be subscribed
The proportion of the net asset value of the fund, the proportion of the market value of the tradable restricted securities held in the net asset value, and when the funds are transferred
Intermediate, etc. The Fund Manager shall guarantee the authenticity and integrity of the above information, and shall at least be less than that before the proposed implementation of the investment order
Send the above information to the Fund Custodian in writing within two working days to ensure that the Fund Custodian has enough time to carry out
to examine.
5. The Fund Custodian shall, in accordance with the "Questions on the Fund's Investment in Negotiable Restricted Securities such as Non public Offerings of Shares"
The Notice of the Fund Management Committee stipulates that it shall supervise whether the Fund Manager complies with laws and regulations, and review the Fund Manager
Relevant written information provided. If the Fund Custodian believes that the above information may cause risks to the Fund, it has the right to
Require the Fund Manager to supplement the risk elimination or preventive measures before investing in restricted securities
Face to face explanation, and reserve the right to check the risk management department of the fund manager for the risk issued by the fund investment and circulation restricted securities
The right of insurance assessment report and other materials for future reference. Otherwise, the Fund Custodian has the right to refuse to execute the relevant instructions. Refusal
The Fund Custodian will not bear any responsibility for the loss of the Fund property caused by the absolute execution of the instruction, and has the right to report
China Securities Regulatory Commission.
（8） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Net value calculation, net value calculation of fund shares, receipt of funds receivable, determination of fund expenses and income, fund
Income distribution, relevant information disclosure, fund performance data published in fund promotion materials, etc
Supervision and verification.
If the fund manager prints false performance data on the
On the promotional materials, the Fund Custodian will not bear any responsibility for this and will report to
China Securities Regulatory Commission.
（9） The Fund Custodian discovers the above matters and investment instructions of the Fund Manager or the actual investment operation
In case of violation of laws and regulations, the Fund Agreement and this Custodian Agreement, the Fund Management shall be notified in writing in a timely manner
Correct within a time limit. The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision and verification. fund management
After receiving the notice, the trustee shall check it in time and send a written reply to the fund custodian before the next working day,
Explain or provide evidence on the reasonable doubts of the Fund Custodian, explain the reasons for the violation and the time limit for correction, and ensure that
Correct in time within the specified time limit. Within the above specified period, the Fund Custodian has the right to carry out 11
Review and urge the fund manager to correct. The Fund Manager fails to list the violations notified by the Fund Custodian
The Fund Custodian has the right to report to the CSRC if it makes corrections within the prescribed time limit.
The Fund Custodian finds that the Fund Manager's instructions violate laws, administrative regulations and other relevant provisions, or
If the fund manager violates the fund contract, it shall suspend or refuse to implement it as appropriate and notify the fund manager immediately
Correction. If the Fund Manager refuses to make corrections, the Fund Custodian has the right to report to the CSRC.
The Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate laws and administrative laws
In case of violation of the provisions of the Fund Agreement, the Fund Manager shall be notified immediately, and
Report to the CSRC at any time.
（10） Matters concerning the Fund Custodian's need to submit the Fund Supervision Report to the CSRC as required by laws and regulations
The Fund Manager shall actively cooperate in providing relevant data and systems.
（11） If the Fund Custodian finds that the Fund Manager has major violations of laws and regulations, it shall report them in a timely manner
At the same time, the CSRC shall notify the fund manager to correct within a time limit and report the correction results to the CSRC. fund
The administrator refuses or obstructs the other party to exercise the supervision right according to the provisions of this Agreement, or delays
Fraud and other means prevent the other party from conducting effective supervision, and if the circumstances are serious or the Fund Custodian gives a warning, it still fails to correct
The fund custodian shall report to the CSRC.
（12） When the fund holds specific assets and there are or potential large redemption applications
In the principle of protecting the interests of fund share holders, the Fund Manager has reached consensus with the Fund Custodian and consulted
After the opinion of the accounting firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to
Convene a general meeting of fund share holders for deliberation.
During the implementation of the side pocket mechanism, the agreed portfolio proportion and portfolio restrictions in this part are only applicable to
Main pocket account.
The specific rules of the side pocket mechanism shall be implemented in accordance with the provisions of relevant laws and regulations and the fund contract.
4、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of the custodian duties of the Fund Custodian, including
But not limited to the safe custody of fund assets by the fund custodian, the opening of fund accounts, securities accounts and
Other accounts required for investment, timely and accurately review the net asset value of the fund and the fund shares calculated by the fund manager
Net amount, clearing and settlement shall be handled according to the instructions of the fund manager, and timely feedback and relevant information shall be provided in case of problems
Disclose and supervise whether the fund investment operation is confidential to non-public information.
The Fund Manager shall regularly and irregularly check the Fund assets under the custody of the Fund Custodian. Gikinto
The custodian shall actively cooperate with the fund manager in the verification, including but not limited to: submitting relevant materials for the fund
The manager shall check the integrity and authenticity of the entrusted property, reply to the fund manager and make corrections within the specified time.
（2） The Fund Manager discovers that the Fund Custodian misappropriates the Fund assets without authorization and fails to distribute the Fund assets
Account management, failure to execute or unreasonably delayed execution of fund manager's fund transfer instructions, disclosure of fund investment information, etc
Any violation of the Fund Law, the Fund Contract, this Agreement and other relevant provisions shall be notified in writing in a timely manner
The Fund Custodian shall make corrections within a time limit. After receiving the notice, the Fund Custodian shall check it in time before the next working day and submit a written statement
Send a reply letter to the fund manager in the form of face to explain the reasons for the violation and ensure that it can be corrected within the specified time limit.
Within the time limit specified above, the Fund Manager has the right to review the notice at any time and urge the Fund Custodian
Correction. The Fund Custodian shall actively cooperate with the Fund Manager in its verification activities, including but not limited to: submitting relevant documents
Information for the fund manager to check the integrity and authenticity of the custody property and reply to the fund management within the specified time
Manage people and correct them. The Fund Manager shall have the right to request the Fund Custodian to compensate the losses suffered by the Fund as a result.
（3） If the Fund Manager finds that the Fund Custodian has major violations, it shall report to the CSRC in a timely manner
And the banking regulatory authority, and notify the fund custodian to make corrections within a time limit, and report the results of the corrections to China
CSRC. The Fund Custodian refuses or obstructs the other party from exercising its supervision right in accordance with the provisions of this Agreement without justified reasons,
Or prevent the other party from conducting effective supervision by means of delay, fraud, etc., if the circumstances are serious or the Fund Manager proposes
If the warning is still not corrected, the fund manager shall report 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. Without the proper instructions of the Fund Manager, it shall not
To apply, dispose of and distribute any assets of the Fund. If the Fund property is damaged during the custody of the Fund Custodian
In case of loss, the Fund Custodian shall be liable for compensation.
3. The Fund Custodian shall open the fund account, securities account and investment of the Fund property in accordance with the provisions
Other accounts. thirteen
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody
Strict separate account management shall be implemented for other businesses and custody businesses of other funds to ensure the integrity and independence of fund assets
stand.
5. The Fund Custodian shall, in accordance with the instructions of the Fund Manager, the provisions of laws and regulations, the Fund Agreement and
The agreement of this agreement is to keep the fund property.
6. Assets receivable arising from fund investment and receivables arising from fund subscription and purchase
Assets, such as the Fund Custodian cannot obtain the account date from the public information or the written materials provided by the Fund Manager
In the case of periodic information, the Fund Manager shall be responsible for determining the date of receipt with the relevant parties and notifying the Fund Custodian,
If the fund assets fail to reach the fund account on the account arrival date, the fund custodian shall timely notify and cooperate with the fund manager
Take measures to collect. If any loss is caused to the Fund property, the Fund Manager shall be responsible to the relevant parties
The Fund Custodian shall not bear any responsibility for the recovery of the losses of the Fund.
7. 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
Fund assets.
（2） Fund raising period and capital verification of raised funds
1. The funds raised during the fund raising period shall be deposited in the special fund raising account opened by the fund manager
No one may use the proceeds before the end of the offering. Interest generated from effective subscription funds during the fund raising period
It will be converted into fund units and owned by fund unit holders. The interest generated during the fund raising period shall be registered
The records of the organization shall prevail.
2. When the fund raising period expires or the fund raising ends ahead of schedule, the total amount of fund units raised and the fund raising
After the amount and the number of fund unit holders meet the relevant provisions of the Fund Law and the Operation Measures
The Manager shall transfer all funds belonging to the Fund property to the Fund Bank opened by the Fund Custodian for the Fund
Account, the Fund Custodian shall issue relevant supporting documents on the day of receipt of funds, and the Fund Manager shall, within the specified time,
Employ an accounting firm conforming to the provisions of the Securities Law of the People's Republic of China to conduct capital verification and issue a capital verification report
The capital raised by the fund shall be confirmed in the capital verification report. The capital verification report issued by 2
Only signed by or more than two Chinese certified public accountants is valid.
3. If the fund raising period expires and the conditions for the effectiveness of the fund contract are not met, the fund manager shall
The Fund Custodian shall provide full assistance in handling refund and other matters.
（3） Opening and management of the Fund's bank account 14
1. The Fund Custodian shall be responsible for the opening and management of the Bank Account of the Fund.
2. The Fund Custodian may open a bank account of the Fund in its business institution in the name of the Fund, and
Handle the receipt and payment of funds according to the legal and compliant instructions of the fund manager. The bank reserved seal of the Fund shall be
Custody and use. All monetary income and expenditure activities of the Fund, including but not limited to investment and redemption payment
The amount, the payment of fund income and the collection of subscription funds shall be made through the bank account of the Fund.
3. The opening and use of the Fund's bank account shall be limited to meet the needs of conducting the Fund's business. Gikinto
The Custodian and the Fund Manager shall not open any other bank account in the name of the Fund; The base shall not be used
Any account of King carries out activities other than the business of the Fund.
4. The opening and management of the fund bank account shall comply with relevant laws and regulations.
（4） Opening and management of fund securities settlement account and settlement provision account
1. The Fund Custodian is located in the Shanghai Branch and Shenzhen Branch of China Securities Depository and Clearing Co., Ltd
Open a securities account jointly named by the Fund Custodian and the Fund for the Fund, and the account name shall be subject to the actual opening.
2. The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Gikinto
The custodian and the fund manager shall not lend or transfer any securities account of the fund without the consent of the other party, nor shall they
Any account of the Fund may be used for activities other than the business of the Fund.
3. The Fund Custodian shall open a settlement in the name of its own legal person in China Securities Depository and Clearing Co., Ltd
The reserve account shall open a secondary settlement reserve account in the custodian system of the Fund in the name of the Fund
And complete the liquidation with the primary legal person of China Securities Depository and Clearing Co., Ltd. on behalf of the funds under its custody
The Fund Manager shall provide active assistance. The collection of settlement provisions is subject to the registration and settlement of Chinese securities
The provisions of the limited liability company shall be implemented.
4. The Fund Custodian shall be responsible for the opening of the Fund's securities account, and the management and application of the account assets shall be handled by the Fund
The manager is responsible.
5. If the CSRC or other regulatory authorities allow the fund to engage in its
If the investment business of other investment varieties involves the opening and use of relevant accounts, they shall be opened and used in accordance with relevant regulations
And management; In the absence of relevant provisions, the Fund Custodian shall refer to and comply with the above provisions on account opening and use
Provisions of.
（5） Opening and management of bond custody account 15
After the Fund Contract comes into force, the Fund Custodian shall have limited liability for registration and settlement according to the People's Bank of China and the Central Government Bonds
As required by the Company and the Interbank Market Clearing House Co., Ltd
The responsible company and the inter-bank market clearing house Co., Ltd. open bond custody and settlement accounts, and
The settlement of bonds in the inter-bank market is carried out by the Bank.
（6） Opening and management of other accounts
1. Other accounts opened for business development may be subject to laws, regulations and fund contract
The Fund Custodian shall be responsible for the opening after the Fund Manager and the Fund Custodian have discussed. The new account is subject to relevant regulations
Then use and manage.
2. If laws and regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail
Li.
（7） Custody of relevant valuable certificates of fund property investment
Valuable certificates such as physical securities and bank time deposit certificates related to the investment of fund assets shall be placed in the custody of the fund
The Fund Custodian shall be responsible for safekeeping, and the custody certificates shall be held by the Fund Custodian, of which the physical securities shall be deposited by the Fund Custodian
The depository in the custodian bank shall be kept separately from other physical securities not belonging to the Fund; It can also be deposited for registration
The agency's escrow. The purchase and transfer of physical securities shall be conducted by the Fund Custodian according to the instructions of the Fund Manager
Order handling. Losses of physical securities under the effective control of the Fund Custodian during the custody of the Fund Custodian
The Fund Custodian shall be responsible for the damage and loss. Fund Custodian to Fund Custodian
The securities and other fund assets actually and effectively controlled by the institution shall not bear the custody responsibility.
（8） Custody of major contracts related to fund assets
The originals of major contracts signed by the Fund Manager on behalf of the Fund and related to the Fund shall be managed by the Fund respectively
Custody by the manager and the fund custodian, unless otherwise restricted by relevant business procedures. Except as otherwise provided in the Agreement, the Fund
When signing major contracts related to the Fund on behalf of the Fund, the Manager shall ensure that one party of the Fund holds more than two copies
So that the Fund Manager and the Fund Custodian each hold at least one original. Fund manager
The major contract shall be faxed to
The Fund Custodian shall deliver the original to the Fund Custodian within 10 working days. Storage period of major contracts
It is limited to 20 years after the termination of the fund contract, and if laws and regulations provide otherwise, such provisions shall prevail. For failure to obtain two copies
In the case of the above originals, the Fund Manager shall provide the Fund Custodian with a facsimile of the contract stamped with the authorized business seal,
The original contract shall not be transferred without mutual consultation or within the scope of the contract. sixteen
6、 Sending, confirmation and execution of instructions
The Fund Manager sends fund transfers and other payments to the Fund Custodian when using the Fund assets
The Fund Custodian shall execute the investment instructions of the Fund Manager and handle the fund transactions under the name of the Fund
matter.
The instructions sent by the fund manager include electronic instructions and paper instructions.
The electronic instructions include the electronic instructions sent by the fund manager (sent through the SZSE financial data exchange platform
Electronic instructions sent, electronic instructions sent through custody online banking), automatically generated electronic instructions (custody industry
The business system automatically generates electronic instructions through preset business rules). Once the electronic command is sent, it will be
It shall be deemed as a legal and effective instruction, and the paper instruction shall be used as an emergency mode for backup. Number of fund managers passing SZSE Finance
According to the electronic instructions sent by the exchange platform and the custodian online bank, the fund custodian uniquely identifies the fund according to the User ID
The Fund Manager shall keep the User ID properly after identifying the identity of the Fund Custodian
The Fund Custodian shall not be liable for any loss caused by the electronic order.
（1） Written authorization of the fund manager to the person who sends the paper order
1. The Fund Manager shall designate a special person to send instructions to the Fund Custodian.
2. The Fund Manager shall provide the Fund Custodian with written authorization documents, including the list of authorized persons
Seal and signature sample of the authorized person shall be reserved, and the authorization document shall indicate the corresponding authority of the authorized person.
3. After the Fund Custodian receives the original authorization document and confirms with the Fund Manager by telephone, the authorization document
Is effective. If the authorization document specifies the specific effective time, the effective time shall not be earlier than the Fund Custodian
The time when the authorization document is received and confirmed by telephone. If it is earlier than, the time when the fund custodian receives the authorization document and
The time point confirmed by telephone is the effective time of the authorization document.
4. The Fund Manager and the Fund Custodian are obliged to keep confidential the authorization documents, and their contents shall not be disclosed to the authorized person
Disclosed by anyone other than the authorized person and relevant operators, but otherwise stipulated by laws and regulations or required by the competent authority
Except as required.
（2） Content of instructions
1. Instructions include redemption, dividend payment instructions, repurchase payment instructions due, and investment related payments
Instructions and other fund transfer instructions. seventeen
2. The instructions issued by the Fund Manager to the Fund Custodian shall specify the reason for the payment, the time of payment and the time of receipt
Room, amount, account information (including the number of large amount payment bank of the receiving bank), etc., and paper instructions need to be stamped with a reserved seal
And signed by the authorized person.
（3） Time and procedure for sending, confirming and executing instructions
1. Sending of instructions
The Fund Manager shall send instructions electronically or by fax or by other Fund Managers and Funds
The method of mutual confirmation of the trustee.
The Fund Manager shall, in accordance with laws and regulations and the provisions of the Fund Contract
Send instructions within authority; The authorized person shall send instructions in strict accordance with his/her authorized authority. Compliance with the agreement for the authorized person
The fund manager shall not deny the validity of the order issued by the prescribed procedure. However, if the Fund Manager has withdrawn or
After changing the authorization of the person who sends the transaction order and the Fund Custodian confirms in accordance with this Agreement
The fund manager will not accept the orders that the sender of the trading order has no authority to send or the orders sent beyond his authority
Take responsibility, except that the authorization has been changed without informing the Fund Custodian and without confirmation by the Fund Custodian.
After the order is issued, the Fund Manager shall confirm it to the Fund Custodian by telephone in a timely manner.
For inter-bank market bond transactions, if the transactions generated by the inter-bank bookkeeping system need to be taken
In case of cancellation or termination, the Fund Manager shall notify the Fund Custodian in writing.
The Fund Manager shall send the investment transfer instruction to the Fund Custodian and confirm it by telephone one day before the transfer, such as
The investment transfer instruction shall be issued on the day when the transfer is required. When sending the instruction, the fund custodian shall reserve a place for executing the instruction
Necessary time. The instruction should be sent 2 working hours before the designated time of receipt (T+0 means
The deadline for sending is 15:00 on the same day), and confirm by phone. For the fixed income platform of Shanghai Stock Exchange
"Real time transaction by transaction full settlement" and "T+0 transaction by transaction"
For the business of full amount non guaranteed settlement, the fund manager shall send the transfer instruction to the base fund before 14:00 on the trading day
The Fund Custodian shall not
Ensure that the implementation is completed on the same day without any responsibility. The instruction transmission is not timely due to the fund manager
The Fund Custodian shall not be responsible for the loss caused by the failure to set aside sufficient time for transfer, which results in the failure of funds to arrive in the account in time
Undertake.
2. Confirmation of instructions 18
The Fund Custodian shall designate a special person to receive the instructions of the Fund Manager and notify the Fund Manager of his name in advance
And negotiate with the fund manager on the method of sending and receiving instructions. After the order reaches the fund custodian
The administrator shall designate a special person to carefully verify the relevant content immediately. The paper instructions also need to verify the seal and signature. If there is any doubt
The fund manager must be informed in time. The Fund Custodian only conducts formal review on the transfer instructions.
3. Execution of instructions
After the Fund Custodian verifies the instructions, it shall handle them in a timely manner.
The Fund Manager shall ensure that the Fund Custodian has sufficient fund balance in the fund account when executing the instruction
In case the fund fund position is sufficient, the fund custodian shall comply with the laws, regulations
The execution of the instructions of the contract and this agreement shall not be delayed or delayed. If the fund fund position is insufficient, the fund custodian
Immediately notify the Fund Manager, who shall make up the capital and notify the Fund Custodian to continue to implement the instruction
Order, such as the time reserved for the execution of the order after the fund manager makes up the capital is insufficient, or the fund manager makes up the capital
If the Fund Custodian is not notified to continue to execute the instructions after the payment, the Fund Custodian does not guarantee that the execution will be completed on that day and will not bear the responsibility
Responsibility; If the Fund Manager fails to make up the capital, the Fund Custodian may refuse to implement the instruction, and the Fund Custodian shall not
Bear the responsibility for the loss caused by failure to execute the instruction. In particular, for the agreed non RTGS T+0 site
When the transaction and account balance are sufficient, the fund custodian can directly process according to the Zhongdeng data, without the need for the fund manager
Issue a transfer instruction. If the account balance is insufficient, the fund manager shall make up the capital before 16:00 on the same day,
Otherwise, if it causes losses to the Fund Custodian or other assets under the custody of the Fund Custodian, the Fund Manager shall bear the compensation
Liability.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
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
The order and delivery information are wrong, and the important information in the order is ambiguous or incomplete.
The Fund Custodian has the right to refuse to execute the instruction if it finds any error, and prompt the Fund Manager to correct it in time before
Implementation. If it is necessary to revoke the paper order, the fund manager shall issue a written statement and affix the business seal.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
If the Fund Custodian finds that the Fund Manager's instructions violate laws, administrative regulations and other relevant provisions,
Or in violation of the provisions of the fund contract, the execution shall be suspended or refused depending on the circumstances, and the fund manager shall be notified immediately.
If the Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate the laws and administrative regulations
Where laws, regulations or other relevant provisions are violated, the Fund Manager shall be notified immediately. nineteen
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
The Fund Custodian's interest in the Fund is subject to
If any damage is found, measures should be taken to make up for it in a timely manner. If losses are caused to fund share holders,
The Fund Custodian shall bear corresponding responsibilities according to law.
（7） Procedures for replacing authorized personnel
The fund manager shall change the authorized person, change or terminate the authorization to the authorized person at least one time in advance
The Fund Custodian shall be notified within three working days, and the Fund Manager shall fax the new authorized person's surname to the Fund Custodian
Name, authority, reserved seal and signature sample, and confirm by telephone in time to ensure that the Fund Custodian,
The authorization document takes effect. The Fund Manager shall send the original of the notice of authorization change to the Fund Manager within three working days thereafter
The content of the original copy of the custodian shall be completely consistent with that of the faxed copy. In case of any inconsistency, the faxed copy shall prevail.
Before the change notice of the authorized person takes effect, the Fund Custodian shall still execute the order as originally agreed, and the Fund Manager
Its validity shall not be denied.
The Fund Custodian shall notify the Fund Custodian at least one working day in advance of changing the personnel receiving the Fund Manager's instructions
Know the fund manager.
（8） Other matters
1. When receiving instructions, the Fund Custodian shall check whether the elements of the instructions are complete, the seal and the authorized person
Check whether it is consistent with the content of the reserved authorization document. If any problem is found, it shall be reported to the fund manager in a timely manner.
If the Fund Manager has revoked or changed the authorization of the person who sent the order and has notified the Fund Custodian
If the custodian confirms by telephone the fund custodian, the person who sends the order after the activation date of the change notice
The Fund Manager shall not be liable for the instructions that it is not authorized to send or sent beyond its authority.
2. After performing the supervision responsibility, the Fund Custodian shall implement the legal instructions of the Fund Manager and
No compensation liability shall be borne for the losses caused by the property.
7、 Transaction, clearing and settlement arrangements
（1） Select a securities operating agency for securities trading
The Fund Manager shall design the standards and procedures for selecting securities operating institutions to act as agents for securities trading. Fund management
The manager is responsible for selecting the securities operating agency that purchases and sells the securities of the Fund and using its trading unit as the fund
Special trading unit. twenty
The Fund Manager and the selected securities operating institution sign the Trading Unit Lease Agreement, which is managed by the Fund
The Manager shall notify the Fund Custodian in advance and deliver the Transaction Unit Lease Agreement to the Fund Custodian in a timely manner to confirm that
The insurance fund custodian applies for receiving settlement data. The margin of the trading unit shall be paid by the selected securities operating institution
Pay. The Fund Manager shall disclose the use of the trading unit in accordance with the relevant provisions, and shall
And special unit number of the fund, commission rate and other basic information of the fund as well as changes shall be notified in writing in a timely manner
Fund Custodian.
Changes brought about by the modification of relevant laws and regulations or transaction rules to the then effective laws and regulations
The relevant transaction rules shall prevail.
（2） Settlement arrangements after the fund invests in securities
1. Clearing and settlement
According to the Administrative Measures for Settlement Reserves of China Securities Depository and Clearing Corporation Limited and Securities Settlement
Measures for the Administration of Margin, within the first three working days of each month, China Securities Depository and Clearing Co., Ltd
Hereinafter referred to as "China Securities Depository and Clearing Corporation")
The amount limit shall be recalculated and adjusted. The Fund Custodian adjusts the minimum settlement in China Securities Depository and Clearing Corporation
The adjusted minimum reserve and settlement guarantee shall be reflected in the capital reconciliation statement on the current day
Gold. The Fund Manager shall reserve minimum provisions and clearing deposits, and
Determine the actual minimum reserve and settlement margin data, and adjust the required cash based on the arrangement of fund operation
Position.
The Fund Custodian shall be responsible for the clearing and settlement of the securities traded by the Fund. The fund custodian shall, according to the
Settlement data processing of China Securities Depository and Clearing Corporation; The transfer of OTC funds shall be managed by the fund custodian according to the fund
The transaction transfer instructions of the person shall be handled specifically.
If the loss of fund assets is caused in liquidation due to the fund custodian's own reasons, the fund shall be placed in custody
To compensate for the loss of the fund; If the fund manager violates the provisions of laws, regulations and trading rules
The Fund Custodian shall immediately notify the Fund Custodian of the difficulties and risks of fund investment liquidation caused by bank overbought, oversold and other reasons
The Fund Manager shall be responsible for the settlement of the losses caused to the Fund, and the Fund Manager shall bear the losses caused to the Fund
Dan.
The Fund Manager shall take reasonable measures to ensure that there is sufficient capital before 10:00 a.m. on T+1
Inch, used for the capital settlement of China Securities Depository and Clearing Corporation Shanghai Branch and Shenzhen Branch on the current day. twenty-one
The Fund Custodian has the right to reject the Fund Manager when the fund position used for settlement of OTC transactions of the Fund is insufficient
Transfer instructions sent.
For the clearing and settlement of funds for OTC transactions, if the fund manager fails to make up the settlement funds on time
The fund custodian shall handle the matter in accordance with the relevant provisions of China Securities Depository and Clearing Corporation Limited. Due to the fund manager
Failure to replenish the settlement funds on time affects the clearing and settlement of fund assets and the registration between the fund custodian and Chinese securities
First level liquidation between clearing limited liability companies, thereby giving fund assets, fund custodians and fund custodians
The losses caused by other assets under custody shall be borne by the Fund Manager.
When the fund position is sufficient, the Fund Custodian shall, in the normal business acceptance channel and
The instructions that comply with laws and regulations and this Agreement sent within a reasonable time specified in the instructions shall not be delayed or refused to be executed
that 's ok. If the fund asset fails to pay the securities clearing amount on time due to the reason of the fund custodian
The Fund Custodian shall bear the loss of, but the balance of the bank custody account is insufficient or if the Fund Custodian encounters irresistible
Except for force.
2. Time and method of reconciliation of transaction records, capital and securities accounts
(1) Reconciliation of capital accounts
The fund account is verified by the fund manager and the fund custodian on a daily basis, and the account is consistent with the actual situation.
(2) Reconciliation of securities accounts
The Fund Manager and the Fund Custodian shall check the fund securities accounts at the end of each trading day to ensure the accounts of both parties
Match. The Fund Manager and the Fund Custodian shall check the types and quantities in the securities accounts of the Exchange on time to ensure that
Ensure that the types and quantities of securities in the securities account are consistent with the records in the fund accounting books after the daily trading.
For the capital account and securities account, if the Fund Manager and the Fund Custodian are inconsistent, both parties shall
Actively find out the causes and correct them.
（3） Basic Provisions on Fund Purchase and Redemption
1. The registration institution designated by the fund manager shall be responsible for the confirmation and liquidation of the subscription and redemption of fund units.
2. The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day
To the Fund Custodian. The Fund Manager shall be true to the data of subscription, redemption and conversion of open-ended funds transmitted
Sexual responsibility. The Fund Custodian shall timely check the receipt of subscription funds and transferred funds, and
People order to transfer redemption and transfer out funds in time. twenty-two
3. The Fund Manager shall ensure that the registration institution entrusted by it must report to the Fund before 15:00 every working day
The custodian sends the above relevant data on the previous opening day and guarantees the accuracy and completeness of the relevant data.
4. The registration authority shall send relevant data (including electronic
Data and sealed paper clearing summary), if the system cannot send normally due to various reasons
Can be settled through negotiation. For the data sent by the Fund Manager to the Fund Custodian, both parties shall
Provisions for preservation.
5. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, the above matters shall be handled by
The Financial Manager shall be responsible for and ensure that the above matters are carried out on time.
6. Establishment and management of special clearing account
In order to meet the needs of subscription, redemption and dividend capital remittance, the fund manager shall open a special fund clearing
The account is managed by the registration agency.
7. The fund manager shall be responsible for the assets receivable generated in the process of fund purchase
The person confirms the date of receipt and informs the fund custodian that if the fund property does not reach the fund account on the date of receipt, the fund
The Custodian shall timely notify the Fund Manager to take measures to collect funds, and if losses are caused to the Fund
The manager shall be responsible for recovering the losses of the fund from the relevant parties.
8. Redemption and dividend fund allocation regulations
When the redemption money is allocated or the fund dividends are distributed, if the fund bank account has sufficient funds, the fund custodian
It shall be allocated on time; If the Fund Custodian fails to allocate relevant funds on time, the responsibility shall be borne by the Fund Custodian.
Due to insufficient funds in the Fund's bank account, the Fund Custodian cannot allocate funds on time, such as fund management
The Fund Manager shall bear the responsibility for the reason of the Fund Manager, and the Fund Custodian shall not bear the obligation of advance.
9. Capital Instruction
Except that the subscription amount shall be reconciled by both parties according to the agreed method when it reaches the fund bank account, the funds shall be transferred out, redeemed and
The Fund Manager shall issue instructions to the Fund Custodian when allocating dividend funds.
The format, content, sending, receiving and confirmation methods of capital orders are the same as those of investment orders
Other parts shall be stipulated separately.
（4） Net settlement of redemption and purchase
The fund clearing between the fund custody account and the "fund clearing account" follows the principle of "net clearing and net payment"
The principle of "collection", that is, the trusteeship is determined according to the difference between the funds receivable on the day of the trusteeship account and the amount payable on the trusteeship account
The net receivable amount or net payable amount of the account shall be used to determine the capital delivery amount. When there is a net receivable amount in the custody account,
The fund manager is responsible for transferring the net receivable amount of the escrow account from the "fund clearing account" before 16:00 on the settlement date
To the fund custody account; When there is a net payable amount in the custody account, the fund custodian shall transfer funds according to the fund manager
The order will transfer the net payable amount of the escrow account to the "fund clearing account" before 16:00 on the settlement date.
The Fund Manager fails to remit the full amount of the net receivables of the escrow account to the fund escrow account in a timely manner as agreed above
The fund manager shall bear the responsibilities arising therefrom; The fund custodian fails to place the fund in custody as agreed in the preceding paragraph
The net payable amount of the account shall be remitted to the "fund clearing account" in full and timely, and the responsibilities arising therefrom shall be entrusted by the fund
(except for force majeure or no fault of the Fund Custodian).
The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day to the Fund
Gold Custodian. The Fund Manager shall be responsible for the negative authenticity of the data of subscription, redemption and conversion of open-ended funds transmitted
Responsibility. The Fund Custodian shall timely check the receipt of subscription funds and transfer them in accordance with the instructions of the Fund Manager
Redemption proceeds.
The transaction and settlement arrangements shall be in accordance with the provisions of this Part or other fund managers and funds
It shall be executed in the form of mutual written confirmation by both the custodian parties.
（5） Fund conversion
1. Before the Fund and other funds managed by the Fund Manager carry out conversion business, the Fund Manager
The Fund Custodian shall be informed in writing about the time, procedure and custody agreement of relevant capital clearing and data transmission
Discuss the rights and responsibilities of people.
2. The Fund Custodian will conduct accounting treatment according to the fund conversion data transmitted by the Fund Manager.
3. The Fund shall publish the fund conversion business on the specified media in accordance with relevant regulations.
（6） Fund cash dividends
1. The Fund Manager shall notify the Fund Custodian of the dividend plan, which shall be approved by both parties on the specified media
Notice.
2. After the fund custodian and the fund manager conduct accounting treatment and check on the fund dividend, the fund management
The Fund Custodian shall timely transfer the funds into the special account when the Fund Custodian sends the transfer instruction of cash dividends to the Fund Custodian
Household.
3. When giving instructions, the Fund Manager shall allow the Fund Custodian the necessary time to transfer funds.
（7） Fund investment futures 24
Matters related to the Fund's investment in futures shall be separately signed by the Fund Manager, the Fund Custodian and the futures company
Relevant operation agreements shall be followed.
8、 Calculation and accounting of fund net asset value
（1） Calculation and review procedures of the 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.
Net value of fund units refers to the amount after dividing the net value of fund assets on the calculation date by the balance of fund units on the calculation date
Value.
The net value of fund units shall be calculated to the nearest 0.0001 yuan, and the fifth decimal place shall be rounded off
The resulting errors are included in the fund assets. If the state has other provisions, such provisions shall prevail.
The Fund Manager shall calculate the net value of the Fund units every working day. After the Fund Custodian has verified that there is no error
Announcement, except when the Fund Manager suspends valuation in accordance with laws and regulations or the provisions of the Fund Contract.
2. Review procedure
The Fund Manager shall send the net value result of the Fund units to the Fund after valuing the Fund assets every working day
The custodian shall be publicly announced by the fund manager after being checked by the fund custodian.
（2） Fund asset valuation methods and treatment of special circumstances
1. Valuation object
Stocks, bonds, stock index futures, treasury bond futures, stock options, credit derivatives and
Bank deposit principal and interest, receivables, asset-backed securities, other investments and other assets and liabilities.
2. Valuation method
(1) Valuation of securities listed on stock exchanges
1) Securities (including stocks, etc.) listed on the stock exchange shall be listed on the stock exchange on the valuation date
Valuation of market price (closing price); There is no transaction on the valuation date, and there is no significant economic environment after the most recent transaction date
In case of change or no major event affecting the securities price occurs to the securities issuer, the market price of the latest trading day shall be used
(closing price) valuation; If the economic environment has changed significantly after the recent trading day or the securities issuer has
In case of major events affecting the securities price, the current market price and major change factors of similar investment varieties can be referred to,
Adjust the market price of the latest transaction and determine the fair price; twenty-five
2) The third party on the valuation date shall be selected for the non equity fixed income varieties listed or transferred by the Exchange
The net valuation price of the corresponding varieties on the current day provided by the valuation agency for valuation;
3) The third party shall be selected to evaluate the fixed income varieties with rights listed or transferred by the Exchange on the valuation date
The only estimated net price or the recommended estimated net price of the corresponding variety provided by the value agency on the current day;
4) The full valuation price of convertible bonds listed and traded on the Exchange shall be the daily closing price;
5) The fair value of the securities listed on the Exchange without an active market shall be determined by valuation techniques.
The fair value of asset-backed securities listed and transferred in the exchange market shall be determined by valuation techniques;
6) For unlisted or unlisted bonds issued in the exchange market, and for the existence of an active market
In this case, the unadjusted quotation in the active market shall be taken as the fair value on the valuation date; For active market reports
If the price fails to represent the fair value on the valuation date, the market quotation shall be adjusted to confirm the fair value on the valuation date
Allowable value; In the case of no or few market activities, valuation techniques should be used to determine
Fair value.
(2) The securities in the unlisted period shall be handled according to the following circumstances:
1) The new shares issued by the company on the valuation date are listed on the stock exchange
Valuation method of the same stock; If there is no transaction on that day, the market price (closing price) of the latest day shall be used for valuation;
2) For the initial public offering of unlisted stocks and bonds, the fair value is determined by valuation techniques, and is under valuation
If it is difficult to reliably measure the fair value by value technology, it shall be valued at cost;
3) The shares with a certain period of restricted sale shall be specified at the time of issuance, including but not limited to non-public issuance of shares
During the initial public offering of shares, the company's shareholders offered shares to the public, and obtained shares with limited sales period through block trading
Notes, excluding tradable restricted stocks such as suspended trading, newly issued unlisted, pledged bonds in repurchase transactions, etc
The fair value is determined according to the relevant regulations of the governing body or industry association.
(3) For the fixed income varieties without rights in the national inter-bank market, it shall be withdrawn according to the third-party valuation agency
The estimated net price of the corresponding varieties provided on the current day. For the types of fixed income with rights in the inter-bank market
The only or recommended net valuation price of the corresponding variety provided by the third-party valuation agency on the current day. about
Fixed income varieties including the investor's right to sell back have not exercised the right to sell back after the deadline of the registration period (including the date)
The valuation is based on the price corresponding to the long outstanding period. Unlisted in inter-bank market and third-party valuation machine
For bonds that have not provided valuation prices, there is no significant difference between the issuance interest rate and the secondary market interest rate, and they are not listed
If there is no significant change in the market interest rate during the period, it shall be valued at cost. twenty-six
(4) The fund invests in futures contracts, and is valued at the settlement price on the valuation day. There is no settlement price on the valuation day
If there is no significant change in the economic environment after the latest trading day, the settlement price of the latest trading day shall be used for valuation.
(5) The fund invests in inter-bank deposit receipts, which are valued at the net valuation price provided by a third-party valuation agency on the valuation date;
If the selected third-party valuation agency does not provide a valuation price, it shall be valued at cost.
(6) If the same security is traded in two or more markets at the same time, it shall be separately based on the market in which the security is located
Valuation.
(7) If the exchange rate between Hong Kong dollar and RMB is involved in the valuation calculation, it will be based on the following information provided by the provider
The exchange rate provided is the benchmark: the middle of RMB and Hong Kong dollar published by the People's Bank of China or its authorized institution on that day
Price.
(8) The investment options of the Fund are valued in accordance with relevant laws and regulations and the provisions of the regulatory authorities.
(9) The valuation of the Fund's investment depositary receipts shall be calculated in accordance with the stocks listed and traded in China.
(10) Credit derivatives are valued at the net valuation price provided by the third party on the valuation date; Selected Third Parties
If the valuation agency does not provide the valuation price: if there is an active market
The adjusted quotation is taken as the fair value on the measurement date; The quotation in the active market fails to represent the fair value on the measurement date
Under the circumstances, the market quotation shall be adjusted to recognize the fair value on the measurement date; Undermining in inactive market
The fair value is determined by valuation techniques.
(11) If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value,
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
Value.
(12) In case of large purchase or redemption, the fund manager can adopt the swing pricing mechanism,
To ensure the fairness of fund valuation.
(13) If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Undertake. The fund manager is the fund accounting responsible party of the Fund. Therefore, the accounting responsibility of the Fund is
If no agreement can be reached after full discussion on the basis of equality between relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
3. Handling of special cases
The error caused by the Fund Manager and the Fund Custodian when conducting valuation according to paragraph (11) of Article 2 is not
It shall be treated as a fund asset valuation error.
Due to force majeure or data errors sent by securities and futures exchanges and their registration and clearing companies,
Or due to other force majeure reasons, although the Fund Manager and the Fund Custodian have taken necessary, appropriate
If reasonable measures are taken to check, but no error is found, the resulting valuation error of the fund property
The manager and the fund custodian may be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively adopt
Take necessary measures to eliminate or mitigate the impact.
4. Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the main pocket account assets shall be valued and
Disclose the net fund value information of the main pocket account, and suspend the disclosure of the net share value of the side pocket account.
（3） Treatment of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When the net value of any type of fund unit is within 4 decimal places (including the 4th decimal place)
If the value is wrong, it shall be deemed that the net value of such fund units is wrong.
The parties to this Custody Agreement shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
It states the "principle of handling valuation errors" to make compensation and bear the liability for compensation.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors; twenty-eight
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
If the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall bear the corresponding liability for compensation
Ren. The party responsible for the valuation error shall confirm the correction to the relevant parties to ensure that the valuation error has been obtained
To correct.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner,
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the valuation error liability
Either party shall compensate the loss of the injured party, and within the scope of the compensation amount paid by it
The parties have the right to demand the delivery of unjust enrichment; If the party who has obtained unjust enrichment has excluded this part
When the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has already received to the amount of improper
The difference between the total return of profits and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the fund manager shall immediately correct it and notify
The Fund Custodian shall take reasonable measures to prevent further expansion of losses. twenty-nine
(2) The calculation error deviation of the net value of fund units of various fund units reaches the net value of such fund units
At 0.25%, the Fund Manager shall notify the Fund Custodian and report to the CSRC for filing; Error deviation reaches
When the net value of such fund units is 0.5%, the fund manager shall make an announcement and report to the CSRC for filing.
(3) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions.
（4） Suspension of valuation and announcement of net value of fund units
1. The securities and futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date, after consultation with the fund custodian
After confirmation, the Fund Manager shall suspend the valuation of the Fund;
4. Other circumstances as stipulated by laws and regulations, the CSRC and the fund contract.
（5） Fund accounting system
The accounting system stipulated by relevant national departments shall be followed.
（6） Establishment of fund account book
The Fund Manager shall conduct fund accounting and prepare fund financial accounting reports. Fund manager, fund
The Custodian shall independently set up, record and keep the full set of account books of the Fund. If the Fund Manager and the Fund Trust
If the administrator disagrees with the accounting treatment method, the treatment method of the fund manager shall prevail. If not checked on the same day
If the reason for the wrong account cannot be found temporarily, which affects the calculation and announcement of the net fund value information
The administrator's account book shall prevail.
（7） Preparation and review of fund financial statements and reports
1. Preparation of financial statements
The Fund Manager shall timely prepare and provide a true and complete financial and accounting report of the Fund. monthly
The Fund Manager shall complete the preparation of the statements within 5 working days after the end of each month; The quarterly report shall be
The quarterly report shall be prepared and announced within 15 working days from the end of the year; The interim report should be submitted in the first half of the year
The preparation shall be completed and announced within two months from the date of completion; The annual report shall be submitted three times from the end of each year
The preparation shall be completed and announced within months. The financial accounting report of the annual report of the Fund shall be audited. Fund combination
If the same has taken effect for less than 2 months, the fund manager may not prepare the current quarterly report, interim report or annual report
presentation. thirty
2. Report review
On the day when the monthly statements are completed, the Fund Manager shall seal the statements and provide them to the Fund Custodian for review; base
The custodian shall review within 3 working days after receipt. When the fund manager completes the quarterly report
The relevant report shall be submitted to the Fund Custodian for review within 7 working days after receipt
Or review. The Fund Manager shall provide the relevant report to the Fund Custodian for review on the day when the interim report is completed,
The Fund Custodian shall complete the review within 30 days after receipt. On the day when the annual report is completed, the Fund Manager will
The relevant report shall be submitted to the Fund Custodian for review, and the Fund Custodian shall complete the review within 45 days after receiving it. fund
The above documents between the Manager and the Fund Custodian shall be sent by fax or other parties agreed by both parties
Type.
When the Fund Custodian finds discrepancies in the statements of both parties during the review process, the Fund Manager and the Fund
The custodian shall jointly find out the reasons and make adjustments, which shall be subject to the accounting treatment method agreed by both parties; If double
If Party A fails to reach an agreement, the accounting treatment of the fund manager shall prevail. After verification, the Fund Custodian shall report to the Fund
The fund manager shall confirm in writing or electronically. If the Fund Manager and the Fund Custodian fail to release
The Fund Manager has the right to publish the relevant statements in accordance with the statements prepared by the Fund Manager after reaching an agreement on the relevant statements before the date of announcement
The Fund Custodian has the right to report relevant information to the CSRC for filing.
（8） The Fund Manager shall submit the quarterly report, interim report or annual report to the Fund Trust
The administrator provides the basic data and compilation results of the fund performance benchmark.
9、 Fund income distribution
The distribution of fund income shall follow the following principles:
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or reinvestment of cash dividends automatically into corresponding types of fund units; If investors do not choose
Yes, the default income distribution method of the Fund is cash dividends; Fund share holders can
Select different dividend methods. If dividend reinvestment is chosen, the share of dividend reinvestment will be exempted
Subscription fee;
2. After the distribution of fund income, the net value of various fund units cannot be lower than the par value; That is, the benchmark of fund income distribution
The net value of any type of fund unit on the day minus the income distribution amount of each unit of such type of fund unit cannot be lower than
Value; thirty-one
3. Since Class A shares of the Fund do not charge sales service fees, Class C shares charge sales service fees
The distributable profits corresponding to the fund share category will be different. Each fund share in the same category of the Fund
Have equal distribution rights;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail. Without violating laws, regulations and funds
As agreed in the contract, the Fund Manager may
The distribution principle and payment method of fund income shall be adjusted without convening a general meeting of fund share holders.
5. If the Fund implements the side pocket mechanism, the side pocket account will not carry out income distribution, as detailed in the Prospectus
regulations.
10、 Fund information disclosure
（1） Confidentiality obligations
The Fund Custodian and the Fund Manager shall carry out information disclosure in accordance with laws and regulations and the relevant provisions of the Fund Agreement
Disclosure: The information to be publicly disclosed shall be kept confidential before public disclosure. Except according to the Fund Law and the Liquidity Risk
In addition to the information disclosure in the Insurance Management Regulations, the Information Disclosure Measures, the Fund Contract and other relevant regulations,
The Fund Manager and the Fund Custodian shall provide the information generated in the operation of the Fund and the business information obtained from the other party
It shall be kept confidential.
The Fund Manager and the Fund Custodian shall, in addition to legally performing the provisions of laws and regulations, the Fund Agreement and this Agreement
Shall not use or make use of the confidential information of the Fund known to it for other purposes except as necessary for its obligations under
And the confidential information shall be limited to the staff who need to know the confidential information in order to perform the above obligations
Inside. However, the following circumstances shall not be deemed as breach of confidentiality obligations by the Fund Manager or the Fund Custodian:
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 court judgment or ruling, arbitral award or
Information disclosure or disclosure made by the order and decision of the CSRC and other regulatory agencies.
（2） Contents of information disclosure
Information disclosure of funds mainly includes fund prospectus, fund contract, fund custody agreement and fund
Summary of product data, announcement of fund unit sale, announcement of fund contract effectiveness, fund net value information, fund shares
Amount subscription, redemption price, regular fund report (including annual report, interim report and quarterly report), temporary
Report, resolution of the general meeting of fund share holders, clarification announcement, liquidation report and 32
Other information. The Fund's annual report shall be subject to the accounting services in accordance with the Securities Law of the People's Republic of China
It can be disclosed only after being audited.
The Fund Custodian shall comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net value of fund assets, net value of fund units, purchase and redemption price of fund units
Fund periodic report, updated prospectus, summary of fund product information, fund liquidation report, etc
The disclosed relevant fund information shall be reviewed and verified, and confirmed in writing or electronically to the fund manager.
（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 protect the interests of the Fund Unitholders in the process of information disclosure
For the purpose, be honest and keep secrets strictly. The Fund Manager is responsible for handling the information disclosure related to the Fund,
The matters that shall be reviewed by the Fund Custodian as prescribed in Article (2) of this Chapter shall be reviewed by the Fund Custodian
The Fund Manager shall publish the error.
The fund manager shall, within the time limit prescribed by the CSRC, pass the fund information to be disclosed
China Securities Regulatory Commission stipulates media disclosure. Information that should be publicly disclosed by the Fund Custodian according to laws and regulations
The administrator will make public disclosure through the specified media.
The Fund Custodian shall issue a report on the custody of the Fund in accordance with the Fund Law and the relevant provisions of the CSRC.
The report of the Fund Custodian describes the performance of the Fund Agreement by the Fund Custodian and the Fund Manager in the interim/annual period
Status is an integral part of the Fund's interim report and annual report.
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
(1) Force majeure;
(2) The securities and futures trading market involved in the fund investment is temporarily on statutory holidays or for other reasons
When the business is closed;
(3) Suspension of valuation as agreed in the fund contract;
(4) Laws and regulations, the provisions of the CSRC or the fund contract.
2. Procedure 33
Information disclosure documents that are subject to review by the Fund Custodian according to relevant regulations shall be drafted by the Fund Manager and reviewed by
The Fund Manager shall make an announcement after the review by the Fund Custodian. In case of any event required to be disclosed in the fund contract,
Published 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 comply with the relevant laws and regulations
The regulations require that information be kept in their respective residences for public reference and reproduction.
11、 Fund expenses
（1） Accrual proportion and method of fund management fee
The fund management fee is accrued at the annual fee rate of 0.60% of the net asset value of the fund on the previous day. The calculation method is as follows:
H ＝ E × 0.60% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
Fund management fees are accrued daily and paid monthly. The Fund Custodian shall check the consistency with the Fund Manager according to
And automatically pay according to the specified account path within 5 working days at the beginning of the next month. Contingency method
The payment date shall be postponed if holidays and rest days are fixed. After automatic deduction of expenses, the Fund Manager shall check,
In case of any discrepancy in data, the Fund Custodian shall be contacted in a timely manner for settlement.
（2） Accrual proportion and method of fund custody fee
The fund custody fee is accrued at an annual fee rate of 0.16% of the net asset value of the fund on the previous day. The calculation method is as follows:
H ＝ E × 0.16% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. The Fund Custodian shall check the consistency with the Fund Manager according to
And automatically pay according to the specified account path within 5 working days at the beginning of the next month. Contingency method
The payment date shall be postponed if holidays and rest days are fixed. After automatic deduction of expenses, the Fund Manager shall check,
In case of any discrepancy in data, the Fund Custodian shall be contacted in a timely manner for settlement.
（3） Withdrawal proportion and method of sales service fee 34
There is no sales service fee for Class A shares of the Fund, and the sales service fee for Class C shares is the same as that for Class C shares of the previous day
The annual fee rate of 0.10% of the net asset value of the unit fund is accrued. The calculation method is as follows:
H ＝ E × 0.10% ÷ days of the year
H is the daily accrued sales service fee for Class C shares
E is the net asset value of the fund on the day before Class C shares
The fund sales service fee is accrued daily and paid monthly. The Fund Custodian shall check with the Fund Manager according to
Consistent financial data will be automatically paid according to the specified account path within 5 working days at the beginning of the next month. if
In case of legal holidays, rest days, etc., the payment date shall be postponed. After automatic deduction of expenses, the Fund Manager shall
In case of any discrepancy, the Fund Custodian shall be contacted in a timely manner for settlement.
（4） Before the first payment of fund management fee and sales service fee, the fund manager shall issue
The official letter specifies the collection account of fund management fee and sales service fee. If the fund manager needs to change this account
A written notice of change of the collection account shall be issued to the custodian 5 working days in advance.
（5） Fund related information disclosure fees and fund share holders after the fund contract takes effect
Membership fees, accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect
The fund manager and
The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and corresponding agreements, include or amortize the current fund expenses.
（6） Items not included in fund expenses
Expenses or funds incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations
The loss of gold property and the expenses incurred in handling matters unrelated to the operation of the fund are not included in the fund expenses.
Lawyer fees, accountant fees and information disclosure fees before the Fund Contract comes into effect shall not be included in the Fund assets
Branch.
（7） Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
See the provisions of the Prospectus or relevant announcements for details of fees and other fees.
（8） Violation handling method
The Fund Custodian finds that the Fund Manager violates the Fund Law, the Fund Contract, the Operating Measures and
The Fund Custodian may request the Fund Manager to explain when the relevant provisions of the Fund Fund Fund Fund Manager stipulate the expenses to be disbursed from the Fund assets
The Fund Custodian may refuse to pay if the Fund Manager has no justified reason. thirty-five
12、 Registration and Custody of the Register of Fund Unitholders
The Fund Manager and the Fund Custodian of the Fund shall keep the register of Fund Unitholders respectively,
Including the effective date of the fund contract, the termination date of the fund contract, the registration date of the fund equity, and the general meeting of fund share holders
The register of fund unit holders on the equity registration date, June 30 and December 31 of each year. Fund share holdings
The contents of the register of persons shall at least include the names of the holders and the fund units they hold.
The register of fund unit holders shall be prepared by the registration authority, reviewed by the fund manager and submitted to the fund custodian
safekeeping. The Fund Custodian has the right to request the Fund Manager to provide a list of Fund Unitholders, and the Fund Manager shall
Timely provide without delay or refusal.
The Fund Manager shall submit the register of Fund Unitholders to the Fund Custodian in a timely manner. June 30 every year
And the register of fund unit holders on December 31 shall be submitted within the first ten working days of the next month; Fund contract student
The effective date, the termination date of the fund contract, the registration date of the fund's rights and interests, the registration date of the general meeting of fund unit holders, etc
And the list of fund unit holders as of the date of the important event of the Fund shall be submitted within ten working days after the date of occurrence.
The Fund Manager and the Fund Custodian shall properly keep the register of Fund Unitholders for a period of 20
If laws and regulations provide otherwise, such provisions shall prevail. The Fund Custodian shall not transfer funds held by the Fund Unitholders
The roster shall be used for purposes other than fund custody business and shall comply with confidentiality obligations. If the Fund Manager or the Fund Manager
If the fund custodian is unable to properly keep the register of fund unit holders due to its own reasons, it shall
Take corresponding responsibilities.
13、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager shall keep records, account books, statements and other relevant information on the business activities of fund property management
Materials. The fund custodian shall keep records, account books, statements and other relevant materials of the fund custody business activities.
Both the Fund Manager and the Fund Custodian shall keep them for the prescribed period. The storage period shall not be less than 20 years
If there are other provisions in the law, the provisions shall prevail.
（2） Establishment of contract archives 36
After the Fund Manager signs the major contract text related to the Fund on behalf of the Fund, it shall promptly encrypt it
Fax the major contract to the Fund Custodian and deliver the original of the contract to the Fund Custodian within ten working days
People.
（3） Change and assistance
If the Fund Manager/Fund Custodian is changed, the unchanged party is obliged to assist in the reception after the change
Personnel shall receive corresponding documents.
（4） The Fund Manager and the Fund Custodian shall keep the original vouchers, accounting vouchers
Fund account books, transaction records and important contracts, which shall be kept confidential for at least 20 years
If the regulations provide otherwise, the provisions shall prevail.
14、 Replacement of Fund Manager and Fund Custodian
（1） Replacement of Fund Manager
1. Conditions for replacement of the Fund Manager
Under any of the following circumstances, the duties of the fund manager shall be terminated:
(1) Having been disqualified from fund management according to law;
(2) Dismissed by the general meeting of fund unit holders;
(3) It is dissolved, canceled or declared bankrupt according to law;
(4) Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2. Replacement procedure of fund manager
The replacement of the Fund Manager must be carried out in accordance with the following procedures:
(1) Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
(2) Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
Of fund managers form a resolution, which is subject to the voting rights held by fund share holders attending the meeting
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of the date of voting;
(3) Temporary Fund Manager: The CSRC shall designate a temporary fund manager before the new fund manager is appointed
Fund manager; thirty-seven
(4) Filing: the resolution of the general meeting of fund share holders to change the fund manager must be reported to the CSRC for filing
Case;
(5) Announcement: After the replacement of the Fund Manager, the Fund Custodian shall replace the Fund Manager's shares of the Fund
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
(6) Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business
And timely handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager,
The temporary fund manager or the new fund manager shall take over in a timely manner. New fund manager or temporary fund management
The person shall check the total value and net value of the fund assets with the fund custodian;
(7) Audit: if the duties of the fund manager are terminated, the fund manager shall employ an accounting firm in accordance with laws and regulations
The financial office shall audit the fund assets, announce the audit results, and report to the CSRC for filing and review
The charge shall be borne by the fund property;
(8) Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Replacement of Fund Custodian
1. Conditions for replacement of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
(1) The fund custody qualification is canceled according to law;
(2) Dismissed by the general meeting of fund unit holders;
(3) It is dissolved, canceled or declared bankrupt according to law;
(4) Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2. Procedures for replacing the Fund Custodian
(1) Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund holders of fund shares;
(2) Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian shall form a resolution, which shall be subject to the voting rights held by the Fund Unitholders attending the meeting
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of the date of voting;
(3) Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Fund custodian; thirty-eight
(4) Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing
Case;
(5) Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund shares of the Fund Custodian
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
(6) Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody industry
To handle the transfer procedures of fund assets and fund custody business in a timely manner
The Fund Custodian shall take over in a timely manner. The new fund custodian or temporary fund custodian shall contact the fund manager
Check the total value and net value of fund assets;
(7) Audit: If the duties of the Fund Custodian are terminated, an accounting firm shall be employed in accordance with laws and regulations
The financial office shall audit the fund assets, announce the audit results and report to the CSRC for filing. Audit
The charge shall be borne by the fund property.
3. The Fund Manager and the Fund Custodian are replaced at the same time
(1) Nomination: if the Fund Manager and the Fund Custodian change at the same time
Fund share holders with more than 10% (including 10%) of total fund shares nominate new fund managers and fund custody
People;
(2) The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
(3) Announcement: The new Fund Manager and the new Fund Custodian shall change the Fund Manager and the Fund
The resolution of the general meeting of fund unit holders of the custodian shall be jointly announced on the specified media within 2 days after it takes effect.
（3） The new fund manager or temporary fund manager receives fund management business, or the new fund trust
Before the custodian or temporary fund custodian receives the fund property and fund custody business, the original fund manager or the original fund
The custodian shall continue to perform its relevant duties and ensure that it will not do anything that will harm the interests of fund share holders
Behavior. The original Fund Manager or the original Fund Custodian still has the right to continue to perform relevant duties in accordance with the Fund
The fund management fee or fund custody fee shall be charged according to the provisions of the contract.
（4） The provisions of this part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
The reference to laws and regulations or regulatory rules, such as the revision of laws and regulations or regulatory rules in the future
In case of cancellation or change, the Fund Manager and the Fund Custodian may directly
The corresponding contents shall be modified and adjusted without convening a general meeting of fund share holders for deliberation. thirty-nine
15、 Prohibited acts
The behaviors prohibited by the parties to the custody agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian confuse their own property or other people's property with the Fund property
Engaged in securities investment.
（2） The fund manager treats the different fund assets under its management unfairly, and the fund custodian is unfair
To treat different fund assets under its custody.
（3） The Fund Manager and the Fund Custodian hold the Fund units by taking advantage of the Fund assets or their positions
A third person other than a person seeks benefits.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders gains or bear losses in violation of regulations
Loss.
（5） The Fund Manager and the Fund Custodian disclose to others any failure to comply with the law during the operation of the Fund
Information disclosed publicly in the manner prescribed by laws and regulations.
（6） The Fund Manager issues investment instructions and redemption to the Fund Custodian without sufficient funds
Transfer instructions for the return and dividend funds, or send instructions to the fund custodian in violation of regulations.
（7） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior managers
Part time job with other employees.
（8） The Fund Custodian privately uses or disposes of the Fund assets, according to the legal instructions of the Fund Manager
Except for the disposal as stipulated in the fund contract or custody agreement.
（9） The fund assets shall be used for the following investments or activities:
1. Underwriting securities;
2. Loan or provide guarantee to others in violation of regulations;
3. Investment with unlimited liability;
4. Buying and selling other fund units, unless otherwise stipulated by the CSRC;
5. Make capital contributions to the Fund Manager and the Fund Custodian;
6. Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
7. Other activities prohibited by laws, administrative regulations and the provisions of the CSRC.
Laws, administrative regulations or regulatory authorities cancel the above prohibitive provisions, if applicable to the Fund
After the Manager has fulfilled the appropriate procedures, the Fund's investment will no longer be subject to relevant restrictions. forty
（10） Other acts prohibited by laws and regulations and the Fund Contract, as well as relevant acts in accordance with laws and administrative regulations
Provisions of the CSRC prohibit fund managers and fund custodians from engaging in other acts.
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 revised new agreement, which
The contents shall not conflict with the provisions of the Fund Agreement. Changes to the Fund Custody Agreement shall be reported to the CSRC for recordation
Case.
（2） Termination of Fund Custody Agreement
1. The Fund Contract is terminated;
2. The Fund Custodian is dissolved, revoked, bankrupt or other Fund Custodian takes over the Fund assets;
3. The Fund Manager is dissolved, revoked, bankrupt or taken over by another Fund Manager
Right;
4. The termination event specified by laws and regulations or fund contract occurs.
（3） Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants, lawyers who meet the provisions of the Securities Law of the People's Republic of China, and the CSRC
Designated personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Property Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report; forty-one
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid from the fund assets by the fund assets liquidation group in priority.
（5） Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the legal opinion shall be issued by the law firm and then submitted
The CSRC shall record and announce. The fund assets liquidation announcement shall be submitted to the CSRC in the fund assets liquidation report for filing
The Fund Assets Liquidation Group shall make a public announcement within 5 working days after the case, and the Fund Assets Liquidation Group shall liquidate
The report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper.
（7） Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for more than 20 years, unless otherwise required by laws and regulations
Provisions shall be complied with.
17、 Liability for breach of contract
（1） The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
Or as agreed in the Fund Agreement and this Custody Agreement, causing damage to the Fund assets or the Fund Unitholders,
They shall be liable for compensation for their respective acts according to law; Fund assets or fund shares due to joint action 42
If the holder causes damage, he shall bear joint and several liability for compensation, and compensation for losses shall be limited to direct losses.
However, the parties may be exempted from liability in any of the following circumstances:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall comply with the then effective laws and regulations or the regulations of the CSRC
Losses caused by acts or omissions;
3. Losses caused by the Fund Manager's investment or non investment in accordance with the investment principles specified in the Fund Contract
Etc.
（2） To protect fund share holders to the greatest extent in case of one or more parties' default
Under the premise of interests, if the trusteeship agreement can continue to be performed, it shall continue to be performed. Responsibilities of the non defaulting party
It is obliged to take necessary measures in a timely manner within the scope to prevent the expansion of losses. Damage caused by failure to take appropriate measures
If the loss is further expanded, no claim may be made for compensation for the expanded loss. Expenses incurred by the non defaulting party to prevent the loss from expanding
The reasonable expenses incurred by the defaulting party shall be borne by the defaulting party.
（3） Business errors due to factors beyond the control of the Fund Manager and the Fund Custodian
Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they have not
The Fund Manager and the Fund Custodian will be exempted from the loss of the Fund property or investors caused by the error that can be found
Liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate this
Impact.
18、 Dispute resolution
Disputes arising from or related to this Agreement shall be settled by both parties through consultation and mediation
If mediation fails, either party has the right to submit the dispute to China International Economic and Trade Arbitration Commission for arbitration
The arbitration shall be conducted in Beijing in accordance with the arbitration rules of the China International Economic and Trade Arbitration Commission in effect at that time
Disarmament. The arbitral award is final and binding on the parties. Unless otherwise specified in the arbitral award, the arbitration fee
The cost shall be borne by the losing party.
During the dispute settlement period, both parties shall abide by the responsibilities of the Fund Manager and the Fund Custodian and continue to
Faithfully, diligently and responsibly perform the obligations specified in the Fund Agreement and this Custodian Agreement, and maintain the holding of fund units
The legal rights and interests of people. forty-three
This Agreement is governed by the laws of the People's Republic of China (for the purpose of this Agreement, excluding Hong Kong Special Administrative Region
Laws of the Macao Special Administrative Region and Taiwan) and shall be interpreted accordingly.
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 fund raising registration
The case shall be sealed by both parties to the custody agreement and signed (sealed) by the legal representatives or authorized representatives of both parties
Both parties to the discussion shall revise the draft custody agreement according to the opinions of the CSRC. The custody agreement shall be signed by the CSRC
The registered text is the official text.
（2） The Custody Agreement shall come into force as of the effective date of the Fund Agreement. The term of validity of the Custody Agreement is from the date when it comes into effect
From to the date when the liquidation result of the fund assets is reported to the CSRC for filing and announced.
（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, one for each party and one for the relevant regulatory authority
They have the same legal effect.
20、 Other matters
Unless explicitly defined in this Agreement, the definitions of terms in this Agreement shall apply to the provisions of the Fund Contract. This agreement does not
All matters shall be handled through consultation by the parties in accordance with the fund contract, relevant laws and regulations, etc.
21、 Signing of Escrow Agreement
After this Custody Agreement is approved by the Fund Manager and the Fund Custodian, the two parties shall place the funds in custody
The agreement shall be sealed, signed or sealed by their respective legal representatives or authorized representatives, and the fund custody agreement shall be indicated