Huatai Baoxing Jiarui 3-month Holding Period Bond Sponsored Securities Investment Fund Unit Offering Announcement
Important tips
1. The raising of Huatai Baoxing Jiarui 3-month holding bond sponsored securities investment fund (hereinafter referred to as the "Fund") has been registered by the China Securities Regulatory Commission (hereinafter referred to as the "CSRC") in ZJXK [2023] No. 2150. The registration of the Fund raised by the CSRC does not mean that the CSRC makes substantive judgments, recommendations or guarantees on the risks and benefits of the Fund.
2. The Fund is a contractual open-ended and bond initiated securities investment fund.
3. The Manager of the Fund is Huatai Baoxing Fund Management Co., Ltd. (hereinafter referred to as "the Company"), the Custodian is Bank of Jiangsu Co., Ltd. (hereinafter referred to as "Bank of Jiangsu"), and the registration authority is Huatai Baoxing Fund Management Co., Ltd.
4. The Fund will be publicly offered through sales institutions from March 12, 2024 to June 11, 2024 (see the relevant business announcements of each sales institution or call the customer service telephone for specific business processing time). The raising period of the Fund shall not exceed 3 months, which shall be calculated from the date of the sale of the Fund units. The Company may also appropriately extend or shorten the time of fund sale within the raising period according to the fund sale situation, and make an announcement in a timely manner.
5. The raising objects of the Fund are individual investors, institutional investors, origination fund providers, qualified foreign investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds (hereinafter collectively referred to as "investors").
6. The amount subscribed by the Fund's launching fund shall not be less than 10 million yuan, and the holding period of the fund units subscribed by the launching fund shall not be less than 3 years from the effective date of the fund contract (except for the early termination of the fund contract less than 3 years after the effective date of the fund contract), unless otherwise stipulated by laws and regulations and the regulatory authority. See the announcement issued by the Fund Manager at that time for the subscription of the Fund's launching fund.
7. Investors may subscribe for the Fund through the direct selling institutions of the Fund Manager and other sales institutions (hereinafter or referred to as "other sales institutions") other than the Fund Manager. Unless otherwise specified in this announcement, sales organizations refer to direct sales organizations and other sales organizations. For the detailed list of sales agencies, see the "(III) Sales Agencies" section under "IX Parties or Intermediaries of the Offering" of this announcement.
During the fund raising period, the fund units are publicly sold to investors through various sales institutions. Unless otherwise stipulated by laws and regulations or the CSRC, any party concerned with the sale of fund units shall not reserve and sell fund units in advance.
8. The upper limit of the Fund's raising scale is 5 billion yuan (excluding the interest during the raising period, the same below). If the total raised scale of the Fund in the process of raising reaches or exceeds the upper limit of the raised scale, the Fund will end the raising in advance, and the Company will make an announcement on the specified media the next day.
If the accumulated effective subscription application amount (excluding the interest in the raising period, the same below) exceeds the upper limit of the raising scale after the raising deadline on any day (including the first day) of the raising period, the Company will adopt the method of confirming the proportion of the last day to achieve effective control of the scale.
When the last day proportion confirmation occurs, the Company will timely announce the proportion confirmation and results. The unconfirmed part of the subscription funds will be returned to the investors after the end of the raising period, and the resulting losses such as interest shall be borne by the investors themselves.
The calculation method of confirmation proportion of subscription application on the last day is as follows:
Confirmation proportion of subscription application on the last day=(5 billion yuan - total amount of effective subscription application for fund units before the last day)/total amount of effective subscription application for fund units on the last day
Confirmation amount of subscription application of investors on the last day=effective subscription application amount of fund units submitted on the last day × confirmation proportion of subscription application on the last day
In case of partial confirmation, the subscription rate of the end day investor shall be calculated according to the rate corresponding to the confirmed amount of a single subscription application, and the confirmed amount of the end day subscription application is not limited by the minimum subscription limit. The confirmed amount of the final subscription application shall be subject to the result calculated and confirmed by the fund registration authority.
9. Investors shall first open a fund account when subscribing to the Fund.
10. Subscription limit: If an investor handles the subscription business of the Fund in a single fund account, the minimum amount of the first subscription is 1 yuan, and the minimum amount of the additional subscription is 1 yuan. If the fund subscription business is handled through the fund manager's direct sales counter, the minimum amount of an initial subscription application is 100000 yuan, and the minimum amount of an additional subscription is 10000 yuan; Investors who have subscribed or subscribed to other funds managed by the Fund Manager on the direct sales counter are not subject to the minimum amount of initial subscription. The minimum amount of a single subscription by a direct selling institution of the Fund may be adjusted by the Fund Manager at its discretion. The minimum amount and business rules for other sales institutions to accept subscription applications shall be subject to the provisions of other sales institutions, but shall not be lower than the minimum amount specified by the fund manager.
11. The acceptance of the application by the sales agency does not mean the successful confirmation of the application, but only means that the sales agency has actually received the subscription application. The successful confirmation of the application shall be subject to the confirmation and registration of the registration authority after the fund contract takes effect. Once the application for subscription is accepted by the sales agency, it is irrevocable. Investors shall timely inquire about the subscription application and the confirmation of subscription shares. The investor may print the subscription transaction confirmation voucher at the original subscription outlet after the fund contract takes effect. The Fund Manager will provide investors with electronic statements. Customers who need to subscribe or cancel can contact the Fund Manager's Customer Service Center (400-632-9090, toll free).
12. For details of the sales outlets and account opening subscription of the sales agencies, please consult the sales agencies.
13. Due to the system and business arrangement of each fund sales agency, the specific business handling time on working days may be different, and investors should refer to the specific provisions of each fund sales agency.
14. Investors in regions without sales outlets can call the company's customer service hotline 400-632-9090 (toll free) to inquire about fund subscription.
15. This announcement only explains the relevant matters and regulations on the sale of fund units of the Fund. Investors can read Huatai Baoxing Jiarui 3-month Holding Period Bond Sponsored Securities Investment Fund Fund Contract and Prospectus Advisory Announcement and this announcement published on the Shanghai Securities News.
16. If investors want to know the details of the Fund, please read it carefully and publish it on the fund electronic disclosure website of China Securities Regulatory Commission（ http://eid.csrc.gov.cn/fund ）And the Fund Contract of Huatai Baoxing Jiarui 3-month Holding Period Bond Sponsored Securities Investment Fund, Prospectus of Huatai Baoxing Jiarui 3-month Holding Period Bond Sponsored Securities Investment Fund, and Custody Agreement of Huatai Baoxing Jiarui 3-month Holding Period Bond Sponsored Securities Investment Fund on our website (www.ehuataifund.com) Huatai Baoxing Jiarui 3-month Holding Period Bond Sponsored Securities Investment Fund Product Information Summary and this announcement. Investors can also learn about the issues related to the sale of the Fund through the Company's website.
17. The Company may make appropriate adjustments to the raising arrangements based on various circumstances, extend or shorten the raising period of the Fund according to the fund sales, and make timely announcements.
18. Risk warning
The securities investment fund (hereinafter referred to as "the fund") is a long-term investment tool, whose main function is to diversify investment and reduce the individual risks brought by investing in a single security. Different from bank deposits and bonds and other financial instruments that can provide fixed income expectations, investors who buy funds may share the income generated by fund investment according to their shares, and may also bear the losses caused by fund investment.
There are different types of funds, such as stock funds, hybrid funds, bond funds, and money market funds. Investors who invest in different types of funds will obtain different income expectations and bear different degrees of risk. Generally speaking, the higher the expected return of a fund, the greater the risk that investors will bear.
The Fund is a bond fund, whose risk and expected return are lower than those of equity funds and hybrid funds, and higher than those of money market funds.
Investors should fully understand the difference between the regular and fixed investment of the fund and the fractional deposit and withdrawal. Fixed investment is a simple and easy way to guide investors to make long-term investment and average investment cost. However, regular and quota investment can not avoid the inherent risks of fund investment, nor can it guarantee that investors can obtain income, nor is it an equivalent financing method to replace savings.
The changes in the net value of fund units caused by such actions as splitting, sealing and opening, and dividend distribution will not change the risk return characteristics of the fund, reduce the investment risk of the fund, or increase the investment return of the fund. The fund raising with an initial face value of 1 yuan or the net value of fund units adjusted to or near the initial face value of 1 yuan due to splitting, sealing and opening, dividend distribution and other acts, under the influence of market fluctuations and other factors, the fund investment may still suffer losses or the net value of the fund may still be lower than the initial face value.
The Fund can invest in the securities market, and the net value of the Fund will fluctuate due to factors such as fluctuations in the securities market. Before investing in the Fund, investors need to fully understand the risk return characteristics and product characteristics of the Fund's products, fully consider their own risk tolerance, rationally judge the market, and make independent decisions on the willingness, timing, quantity and other investment behaviors of the Fund. The investor shall enjoy the income of the fund according to the shares held, but shall also bear the corresponding investment risks. The possible risks of investing in the Fund include: market risks caused by economic factors, political factors, investment psychology, trading systems and other factors; Fund management risks arising from the implementation of fund management by the fund manager; The liquidity risk arising from the fund investors' continuous large redemption of the fund; The credit risk arising from the deterioration of the credit status of the bond issuer invested or the default of the counterparty; Other risks unique to investment in the Fund.
When the Fund holds specific assets and there are or potential large redemption applications, the Fund Manager can start the side pocket mechanism after performing the corresponding procedures. See the relevant sections of the Fund Contract and Prospectus for details. During the implementation of the side pocket mechanism, the fund manager will carry out special identification for the fund abbreviation, and will not handle the subscription, redemption and conversion business of the side pocket account. Please read the relevant contents carefully and pay attention to the specific risks when the Fund uses the side pocket mechanism.
The Fund invests in asset-backed securities. Asset backed securities refer to credit asset-backed securities and enterprise asset-backed securities that are traded in the national inter-bank bond market or stock exchange and comply with relevant regulations. Asset backed securities are in the initial stage of development in the domestic market, which may be characterized by low liquidity and high profitability, and there are certain investment risks, including credit risk, interest rate risk, liquidity risk, prepayment risk, operational risk and legal risk.
Investors should carefully read the Fund Contract, Prospectus and other fund legal documents, understand the risk return characteristics of the Fund, and judge whether the Fund is suitable for the risk tolerance of investors according to their own investment purpose, investment period, investment experience, asset status, etc.
1、 Basic information of this offering
1. Fund name
Huatai Baoxing Jiarui 3-month holding period bond sponsored securities investment fund
2. Fund type
Bond Sponsored Securities Investment Fund
3. Operation mode
Contractual and open
Investors can apply for subscription on each open day; The Fund sets a three-month lock up holding period for each fund unit that is effectively subscribed, subscribed or transferred in. During the lock up holding period, fund unit holders cannot handle redemption or transfer out business. The open holding period begins after the end of the locked holding period, and the fund unit holders can handle the redemption or transfer out business from the first day of the open holding period for each fund unit. Except when the Fund Manager announces the suspension of subscription and redemption in accordance with laws and regulations, the requirements of the CSRC or the provisions of this Fund Contract.
4. Duration of the Fund
Irregular
5. Investment objectives
On the basis of strictly controlling risks and maintaining liquidity of funds, we will pursue long-term stable appreciation of fund assets and strive to obtain investment returns higher than the benchmark of performance.
6. Investment scope
The investment scope of the Fund includes financial instruments with good liquidity, including domestic bonds issued and listed according to law (including government bonds, financial bonds, central bank bills, corporate bonds, corporate bonds, medium-term bills, local government bonds, subordinated bonds, convertible bonds (including convertible bonds with separate transactions), exchangeable bonds, short-term financing bonds, ultra short-term financing bonds, bonds of government supported institutions Government backed bonds, etc.), bond repurchase, inter-bank certificates of deposit, bank deposits (including negotiated deposits, time deposits and other deposits), money market instruments, asset-backed securities, stocks (including the main board, GEM and other shares and depositary receipts approved or registered for listing by the CSRC) And other financial instruments permitted by laws and regulations or the CSRC to be invested by the Fund (subject to the relevant provisions of the CSRC).
If laws and regulations or regulators allow the Fund to invest in other varieties in the future, the Fund Manager may include them into the investment scope after performing appropriate procedures, and may adjust the investment scope in a timely and reasonable manner in accordance with the then effective laws and regulations.
The proportion of the Fund's investment in bond assets shall not be less than 80% of the Fund's assets, and the total proportion of the Fund's investment in stocks (including depositary receipts), convertible bonds (including convertible bonds with separate transactions), exchangeable bonds and other assets shall not exceed 20% of the Fund's assets. At the end of each trading day, the proportion of cash held by the Fund or government bonds with a maturity date of less than one year in the net asset value of the Fund shall not be less than 5%, of which cash does not include settlement provisions, deposits, subscription receivables, etc.
If laws and regulations or the CSRC change the investment proportion limit of investment varieties, the fund manager may adjust the investment proportion of the above investment varieties after performing appropriate procedures.
7. Selling face value of fund units
The selling face value of the Fund units is RMB 1.00.
8. Fund code and fund abbreviation
Fund code: Class A: 019793; Class C: 019794
Fund Abbreviation: Huatai Baoxing Jarui Initiated by Holding Bonds for Three Months
9. Target
Individual investors, institutional investors, origination fund providers, qualified foreign investors who can invest in securities investment funds in accordance with laws and regulations, and other investors who are permitted by laws and regulations or the CSRC to purchase securities investment funds.
10. Initiate capital subscription
The Fund is an initiating fund, with the amount subscribed by the initiating fund not less than 10 million yuan, and the holding period of the fund units subscribed by the initiating fund is not less than 3 years from the effective date of the fund contract (except for the early termination of the fund contract less than 3 years after the effective date), unless otherwise specified by laws, regulations and regulatory authorities. See the announcement issued by the Fund Manager at that time for the subscription of the Fund's launching fund.
11. Sales organization
(1) Direct selling mechanism
The direct selling institution of the Fund is the fund manager, specifically including the fund manager's direct selling counter, online direct selling platform and WeChat trading platform.
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Time of establishment: July 26, 2016
Contact: Wang Shanshan
Tel: (021) 80299058
Fax: (021) 60756969/(021) 60756966
Customer service hotline: 400-632-9090 (toll free), (021) 80210198
Online direct selling platform (website): www.ehuataifund.com
WeChat trading platform (WeChat official account): htbxjj99
(2) Other sales organizations
For the list of other sales agencies, please refer to the "(III) Sales Agencies" section under "IX Parties or Intermediaries of the Offering" of this announcement.
The Fund Manager may, in accordance with the requirements of relevant laws and regulations, select institutions that meet the requirements to sell the Fund and make timely announcements.
11. Raising schedule and effectiveness of fund contract
According to the provisions of relevant laws and regulations, the raising period of the Fund shall not exceed 3 months from the date of sale of the Fund units. The raising period of the Fund is from March 12, 2024 to June 11, 2024, which is open to individual investors, institutional investors, origination fund providers Qualified foreign investors and other investors who are allowed by laws and regulations or the CSRC to purchase securities investment funds are offered at the same time (see the relevant business announcements of each sales institution or call the customer service telephone for specific business handling time). The Fund Manager may appropriately extend or shorten the time of fund sale within the raising period according to the situation of fund sale, and make an announcement in a timely manner.
If the Fund meets the filing conditions of the Fund contract during the offering period, the Fund Manager shall employ a statutory capital verification institution to verify the capital within 10 days from the date of the end of the Fund offering, and submit a capital verification report to the CSRC within 10 days from the date of receiving the capital verification report to handle the fund filing procedures. The Fund Contract shall come into force upon the completion of the Fund filing procedures as of the date of the written confirmation of the CSRC.
If the raising period expires and the effective conditions for the raising are not met, the fund manager will bear the debts and expenses arising from the raising with its own property, return the subscription funds paid by the investors within 30 days after the expiration of the fund raising period, and add the interest of the current deposit of the bank for the same period.
12. Total amount and amount of minimum raised shares of the Fund
The Fund is an initiating fund, and there is no minimum limit on the total amount and amount of units to be raised. However, the total amount of the fund subscribed by the initiating fund provider is not less than 10 million yuan, and the holding period of the fund units subscribed by the initiating fund is not less than 3 years from the effective date of the fund contract, unless otherwise specified by laws, regulations and regulatory authorities.
13. Treatment of interest during the raising period
Prior to the effectiveness of the Fund Agreement, the effective subscription funds of investors can only be deposited into a special account and can not be used by anyone. The interest generated from the effective subscription funds during the raising period will be converted into fund units and owned by the fund unit holders.
The fund units converted from the subscription interest shall be accurate to 2 decimal places, and the part after 2 decimal places shall be truncated. The gains or losses arising from this error shall be borne by the fund property. The interest of effective subscription funds and the fund units converted from the interest shall be subject to the records of the registration authority.
14. Subscription price, subscription rate and calculation formula of subscription units of fund units
(1) Subscription price: The subscription price of the Fund units is 1.00 yuan/share.
(2) Subscription rate
During the raising period, investors may subscribe to the Fund for many times, and the subscription fee shall be calculated separately for each subscription application. Fund investors will receive subscription fees when subscribing Class A fund units, that is, they will pay subscription fees when subscribing. Fund investors do not charge subscription fees for subscribing Class C fund units, but withdraw sales service fees from the fund assets of this class.
The subscription rate of Class A fund units of the Fund is as follows:
Subscription rate Subscription amount (including subscription fee) Subscription rate of Class A fund units
0.30% below 1 million yuan
0.10% from 1 million yuan (inclusive) to 5 million yuan
1000 yuan/transaction above 5 million yuan (inclusive)
The Fund implements different subscription rates for pension clients who subscribe Class A fund shares through the fund manager's direct sales counter and other investors. Pension clients refer to the supplementary pension funds formed by the funds raised from the basic pension funds and legally established pension plans and their investment and operation income, including the national social security funds, local social security funds that can invest in funds, enterprise annuity single plans and collective plans, specific client asset management plans entrusted by the enterprise annuity council Enterprise pension products, occupational pension plans, pension target funds, personal tax deferred commercial pension insurance and other products.
If a new type of pension fund approved by the pension fund supervision department appears in the future, the fund manager will also include it in the scope of pension customers and file it with the CSRC as required.
Pension customers who subscribe for Class A fund shares of the Fund through the fund manager's direct sales counter enjoy a zero discount discount on the subscription rate (including fixed subscription fees).
The subscription fees for Class A fund units of the Fund shall be borne by the investors who subscribe for Class A fund units. The subscription fees are not included in the fund property and are mainly used for various expenses incurred during the fund raising period, such as market promotion, sales and registration.
(3) Calculation of subscribed shares
1) Subscription of Class A Fund Units
Fund subscription shall be in the form of amount subscription. The subscription amount of the Fund includes the subscription fee and the net subscription amount. The calculation formula is:
Total subscription amount=total application amount;
Net subscription amount=total subscription amount/(1+subscription rate);
(Note: for subscription with fixed amount subscription fee, net subscription amount=total subscription amount - fixed subscription fee amount)
Subscription fee=total subscription amount - net subscription amount;
(Note: For subscription with fixed amount subscription fee, subscription fee=fixed amount of subscription fee)
Subscription unit=(net subscription amount+subscription interest)/initial face value of fund unit
The calculation result of subscription units shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off. The loss caused by the error shall be borne by the fund property, and the income generated shall be owned by the fund property.
Example 1: An investor (non pension client) subscribes 100000 yuan of Class A fund shares of the Fund, and the subscription application is fully confirmed, the corresponding subscription rate is 0.30%. It is assumed that the subscription amount will generate interest of 50.00 yuan. Then the subscribed shares are:
Total subscription amount=100000 yuan
Net subscription amount=100000/(1+0.30%)=99700.90 yuan
Subscription fee=100000-99700.90=299.10 yuan
Subscription units=(99700.90+50)/1.00=99750.90
If the investor (non pension client) chooses to subscribe for Class A fund shares and invests 100000 yuan of principal, assuming that the subscription amount generates interest of 50.00 yuan, 99750.90 Class A fund shares can be obtained.
Example 2: A pension client subscribes 100000 yuan of Class A fund shares of the Fund through the fund manager's direct sales counter, and the subscription application is fully confirmed, and the corresponding subscription rate is 0.00%. It is assumed that the subscription amount will generate interest of 50.00 yuan. Then the subscribed shares are:
Total subscription amount=100000 yuan
Net subscription amount=100000/(1 ＋ 0.00%)=100000 yuan
Subscription fee=100000 － 100000=0.00 yuan
Subscription shares=(100000+50)/1.00=100050.00
If the pension client invests 100000 yuan to subscribe Class A fund shares through the fund manager's direct sales counter, assuming that the subscription amount generates interest of 50.00 yuan, 100050.00 Class A fund shares can be obtained.
2) Subscription of Class C Fund Units
If investors choose to subscribe for Class C fund units of the Fund, the calculation method of subscribed units is as follows:
Total subscription amount=total application amount
Subscription unit=(total subscription amount+subscription interest)/initial face value of fund unit
The calculation of subscription units shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off. The loss caused by this error shall be borne by the Fund property, and the income generated shall be owned by the Fund property.
Example 3: An investor invests 100000 yuan to subscribe for Class C fund units of the Fund, and the subscription application is fully confirmed. Assuming that the interest generated during the subscription period is 50.00 yuan, the fund units that can be subscribed are:
Subscription shares=(100000+50.00)/1.00=100050.00
That is, the investor invests 100000 yuan to subscribe for Class C fund units of the Fund. Assuming that the subscription amount generates interest of 50.00 yuan, 100050.00 Class C fund units can be obtained.
2、 Offering method and relevant regulations
1. During the raising period, the Fund will be offered to individual investors and institutional investors through fund managers and sales institutions at the same time.
2. Fund units shall be subscribed in amount.
3. The investor subscribes the fund units in the form of full payment. When the investor subscribes, he/she shall prepare the amount of subscription in the manner specified by the sales agency.
4. Investors may subscribe for fund units several times during the offering period, and once the application for subscription is accepted by the registration authority, it shall not be revoked.
5. If an investor handles the fund subscription business in a single fund account, the minimum amount of the initial subscription is 1 yuan, and the minimum amount of the additional subscription is 1 yuan. If the fund subscription business is handled through the fund manager's direct sales counter, the minimum amount of an initial subscription application is 100000 yuan, and the minimum amount of an additional subscription is 10000 yuan; Investors who have subscribed or subscribed to other funds managed by the Fund Manager on the direct sales counter are not subject to the minimum amount of initial subscription. The minimum amount of a single subscription by a direct selling institution of the Fund may be adjusted by the Fund Manager at its discretion. The minimum amount and business rules for other sales institutions to accept subscription applications shall be subject to the provisions of other sales institutions, but shall not be lower than the minimum amount specified by the fund manager.
6. The upper limit of the Fund's raising scale is 5 billion yuan. During the fund raising period, if the cumulative number of fund units subscribed by a single investor of the Fund (except the Fund Manager, the Fund Manager's senior management or the Fund Manager and other personnel as the sponsor) reaches or exceeds 50% of the total fund units, the Fund Manager may restrict the subscription application of such investor by means of proportion confirmation. If the Fund Manager's acceptance of a certain subscription application or some subscription applications may lead to a single investor (except the Fund Manager, senior managers of the Fund Manager or the Fund Manager as the sponsor of funds) to evade the above 50% ratio requirement in a disguised way, the Fund Manager has the right to reject all or part of such subscription applications. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority after the fund contract takes effect.
3、 Account opening and subscription procedures for individual investors
（1） Direct selling mechanism
If the initial subscription amount of an individual investor is more than 100000 yuan (including 100000 yuan), he or she can choose to go to the direct marketing center of the company to subscribe.
(1) Business processing time: 9:00-17:00 every day during the fund raising period (not accepted on Saturdays, Sundays and statutory holidays).
(2) Individual investors can go to the direct sales outlets or send, fax and provide the following information to handle account opening and subscription applications:
1) Questionnaire on risk tolerance of individual investors;
2) Instructions to Investors of Securities Investment Funds;
3) The original of my valid ID card and the copies of the front and back;
4) The original and copy of the bank card/passbook with the same name (the copy of the bank card needs to be signed on the front and back, and the signature column on the back needs to be signed by myself);
5) Completed Account Business Application Form and Transaction Business Application Form;
6) Completed Fax Transaction Agreement (if necessary);
7) Individual Tax Resident Status Declaration Document;
8) If it is not handled in person, the original of the agent's identity certificate, the front and back copies and the power of attorney of the agent must also be provided;
9) Other materials required by the direct selling organization.
(3) Procedures for allocation of subscription funds:
1) After opening an account and before going through the subscription procedures, the individual investor shall remit the full amount of funds through the banking system to the following bank account designated by the Company, and ensure that the funds are received before 17:00 on the trading day:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 446872269177
Bank of deposit: Shanghai Pudong Branch of Bank of China
HVPS Bank No.: 104290003582
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 1001164829013354757
Bank of deposit: ICBC Shanghai ICBC Building Sub branch
HVPS Bank No.: 102290016484
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 216200100101469049
Bank of deposit: Industrial Bank Shanghai Branch Business Department
HVPS Bank No.: 309290000107
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 755932538410207
Opening bank: China Merchants Bank Shanghai Branch
HVPS Bank No.: 308290003020
2) When remitting, investors must pay attention to the following matters:
① The investor shall fill in the "remitter" column with the name registered when opening an account in Huatai Baoxing Direct Marketing System;
② When an investor makes a remittance, he/she should remind the bank counter staff to accurately and completely transmit the remittance information, including indicating in the purpose column "for subscription of Huatai Baoxing Jiarui bonds held for three months";
③ In order to ensure the timely and accurate entry of investors' funds, investors should fax the remittance receipt stamped with the bank business acceptance seal to Huatai Baoxing Direct Sales Center. Fax No.: (021) 60756969/(021) 60756966.
The relevant procedures for opening accounts and subscribing the Fund through the online trading platform and WeChat trading platform of the Company shall be subject to the Online Trading Service Agreement for Open ended Funds of Huatai Baoxing Fund Management Co., Ltd. and the Express Payment Service Agreement of Huatai Baoxing Fund Management Co., Ltd.
（2） Other sales organizations
The relevant procedures for account opening and subscription of other sales agencies shall be subject to the relevant provisions of the agency.
4、 Account opening and subscription procedures of institutional investors
（1） Direct sales center
If the subscription amount of institutional investors is more than 100000 yuan (including 100000 yuan), they can choose to go to the direct marketing center of the company.
1. Business processing time: 9:00-17:00 every day during the fund raising period (not accepted on Saturdays, Sundays and statutory holidays).
2. When an ordinary institutional investor applies for opening an account and subscribing, the designated agent shall go to the direct selling outlets or send, fax and provide the following information:
1) Questionnaire on institutional investors' risk tolerance;
2) Instructions to Investors of Securities Investment Funds;
3) Copy of the duplicate of the business license of the enterprise legal person affixed with the official seal of the institution; For public institutions, social organizations or other organizations, please provide a copy of the registration certificate with the official seal of the institution issued by the civil affairs department or the competent department (the latest annual inspection records are required);
4) Copy of enterprise organization code stamped with official seal (with the latest annual inspection record);
5) A copy of the enterprise tax registration certificate affixed with the official seal of the institution;
6) Power of attorney for fund business affixed with the official seal of the institution and the signature of the legal representative;
7) Copies of the front and back sides of the valid ID card of the business operator stamped with the official seal of the institution and copies of the front and back sides of the valid ID card of the legal representative;
8) The fund business seal card affixed with the official seal of the institution shall be in duplicate (one for the institution and one for the direct marketing center);
9) A copy of the Permit for Opening Bank Accounts or the Application Form for Opening Bank Accounts of the designated bank account (or the account opening certificate issued by the designated bank), clearly showing the bank of deposit, account name, account number and affixed with the official seal of the institution; It is also required to provide valid account vouchers to prove that the valid identity documents submitted are consistent with those registered when opening the designated bank account;
10) Completed Account Business Application Form and Transaction Business Application Form and affixed with the official seal of the institution;
11) Two copies of the completed Fax Transaction Agreement with the official seal of the institution affixed (if opening is required);
12) Declaration Document of Institutional Tax Resident Status (not required for financial institutions);
13) Declaration Document of Tax Resident Status of Controller (not required for financial institutions);
14) Account business application form (attached table of institutional products), which is only required for product account opening;
15) Other materials required by the direct selling organization.
Note: "Designated bank account" means that investors who subscribe for funds at this direct selling outlet need to designate a bank account as the settlement and remittance account for redemption, dividend and other funds of investors. This account can be the investor's deposit account in any commercial bank.
Please refer to Huatai Baoxing Fund Management Co., Ltd. Direct Selling Business Rules for other materials required by special institutions such as annuity accounts and trust accounts.
3. Procedures for allocation of subscription funds:
(1) After opening an account, institutional investors shall remit sufficient funds to the following bank accounts designated by the Company through the banking system before going through the subscription procedures, and ensure that the funds have been transferred out before 17:00 on the trading day:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 446872269177
Bank of deposit: Shanghai Pudong Branch of Bank of China
HVPS Bank No.: 104290003582
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 1001164829013354757
Bank of deposit: ICBC Shanghai ICBC Building Sub branch
HVPS Bank No.: 102290016484
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 216200100101469049
Bank of deposit: Industrial Bank Shanghai Branch Business Department
HVPS Bank No.: 309290000107
Or:
Account name: Huatai Baoxing Fund Management Co., Ltd
Account No.: 755932538410207
Opening bank: China Merchants Bank Shanghai Branch
HVPS Bank No.: 308290003020
(2) When remitting, investors must pay attention to the following matters:
① The investor shall fill in the "remitter" column with the name registered when opening an account in Huatai Baoxing Direct Marketing System;
② When an investor makes a remittance, he/she should remind the bank counter staff to accurately and completely transmit the remittance information, including indicating in the purpose column that "Huatai Baoxing Jiarui held bonds for three months to initiate";
③ In order to ensure the timely and accurate entry of investors' funds, investors should fax the remittance receipt stamped with the bank business acceptance seal to Huatai Baoxing Direct Sales Center. Fax No.: (021) 60756969/(021) 60756966.
（2） Other sales organizations
The relevant procedures for account opening and subscription of other sales agencies shall be subject to the relevant provisions of the agency.
5、 Clearing and settlement
1. Prior to the effectiveness of this Fund Agreement, the funds raised during the Fund raising period can only be deposited into a special account and may not be used by anyone. The interest generated from the effective subscription funds during the fund raising period will be converted into fund units after the Fund Contract comes into effect, and will belong to the fund unit holders. The specific amount of interest of effective subscription funds and interest transfer shares shall be subject to the records of the registration authority.
2. The Fund's equity registration shall be completed by the Fund's registration agency after the end of the offering period.
6、 Refund
1. If the subscription of individual and institutional investors fails (meaning that the subscription application of the investor has not been confirmed by the registration authority), their subscription funds will be transferred to the bank account designated by the investor within 5 working days from the effective date of the fund contract.
2. After the end of the raising period, if the Fund Agreement cannot take effect, the Fund Manager shall bear the debts and expenses arising from the raising with its own property, return the subscription funds paid by the investors within 30 days after the expiration of the fund raising period, and add the interest of current bank deposits for the same period.
7、 Capital verification and effectiveness of the Fund
The Fund Contract shall not come into force until the Fund raising period expires and the conditions specified in the Contract are met.
1. After the expiration of the raising period, according to the subscription data confirmed by the registration authority, the Fund Manager will transfer the effective subscription funds and subscription funds of the Fund into the deposit account of the Fund after deducting the subscription fees from the interest generated during the raising period. The registration institution shall issue the certificate of the number of subscription accounts. After the deposit bank of the fund deposit account issues the certificate of the fund deposit, the fund manager shall entrust an accounting firm that complies with the provisions of the Securities Law to verify the fund assets and issue a report.
2. If, within three months from the date of sale of the Fund units, the initiator fund provider uses the initiator fund to subscribe for the Fund in an amount not less than 10 million yuan, and the holding period of the Fund units committed to subscription is not less than three years from the effective date of the Fund Agreement, the Fund raising period expires or the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, A legal capital verification institution shall be employed to verify the capital within 10 days. The capital verification report shall specifically describe the holders of the initiating capital and their shares. The fund filing formalities shall be handled with the CSRC within 10 days from the date of receipt of the capital verification report.
If the fund raising meets the requirements for fund filing, the Fund Contract shall come into force as of the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the CSRC; Otherwise, the Fund Contract will not take effect.
3. The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
8、 Expense treatment before the fund contract takes effect
Expenses incurred in connection with fund raising activities before the effectiveness of this Fund Contract, including information disclosure fees, attorney fees, accountant fees and other expenses, shall not be disbursed from the Fund assets.
9、 Parties or intermediaries involved in this offering
（1） Fund manager
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Time of establishment: July 26, 2016
Approval authority and approval document number: CSRC, ZJXK [2016] No. 1309
Organizational form: limited liability company
Registered capital: RMB 240 million
Duration: continuous operation
Contact: Wang Shanshan
Tel: (021) 80299000
Fax: (021) 60756968
（2） Fund Custodian
Name: Bank of Jiangsu Co., Ltd. (hereinafter referred to as Bank of Jiangsu)
Domicile: No. 26, Zhonghua Road, Nanjing, Jiangsu Province, China
Office address: No. 26, Zhonghua Road, Nanjing, Jiangsu Province
Legal representative: Ge Renyu
Time of establishment: January 22, 2007
Organizational form: limited liability company
Registered capital: 11.544 billion yuan
Duration: continuous operation
Fund custody qualification approval document and document number: ZJXK [2014] No. 619
Tel.: 025 ‐ 58587832
（3） Sales organization
1. Direct selling mechanism
The direct selling institution of the Fund is the fund manager, specifically including the fund manager's direct selling counter, online direct selling platform and WeChat trading platform.
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Time of establishment: July 26, 2016
Contact: Wang Shanshan
Tel: (021) 80299058
Fax: (021) 60756969/(021) 60756966
Customer service hotline: 400-632-9090 (toll free), (021) 80210198
Online direct selling platform (website): www.ehuataifund.com
WeChat trading platform (WeChat official account): htbxjj99
2. Other sales organizations
(1) Beijing Duxiaoman Fund Sales Co., Ltd
Registered address: Room 103, Floor 1, Building 4, West District, Yard 10, Xibeiwang East Road, Haidian District, Beijing
Office address: 1/F, Building 4 (Duxiaoman Financial Headquarters), Xibeiwang East Road 10, Haidian District, Beijing
Legal representative: Sheng Chao
Customer service hotline: 95055-4
Website: www.duxiaomanfund.com
(2) Beijing Snowball Fund Sales Co., Ltd
Registered address: Room 1501, 15/F, Building 6, Yard 34, Chuangyuan Road, Chaoyang District, Beijing
Office address: Floor 17, Block C, Rongxin Science and Technology Center, Chaoyang District, Beijing
Legal representative: Li Nan
Customer service hotline: 400-159-9288
website: https://danjuanapp.com
(3) Oriental Fortune Securities Co., Ltd
Registered address: Building 10, International Headquarters City, Liuwu New District, Lhasa, Tibet Autonomous Region
Office address: Oriental Fortune Building, No. 88, Wanping South Road, Xuhui District, Shanghai
Legal representative: Dai Yan
Customer service hotline: 95357
Website: www.18.cn
(4) Pan China Puyi Fund Sales Co., Ltd
Registered address: Room 1101, Gaodi Center, No. 9 Jianshe Road, Chenghua District, Chengdu
Office address: Floor 12, Block B, Longhu Xichentian Street, Unit 1, Building 1, No. 399, Huazhaobi Xishun Street, Jinniu District, Chengdu
Legal representative: Yang Yuanfen
Customer service hotline: 400-080-3388
Website: www.puyifund.com
(5) JD Kentrui Fund Sales Co., Ltd
Registered address: 1-7-2, Floor 4, Building 1, No. 76 Zhichun Road, Haidian District, Beijing
Office address: Block A, Yard 18, Kechuang 11th Street, Yizhuang Economic Development Zone, Beijing
Legal representative: Zou Baowei
Customer service hotline: 400-098-8511 (personal business), 400-088-8816 (enterprise business)
Website: kenterrui.jd.com
(6) Ant (Hangzhou) Fund Sales Co., Ltd
Registered address: Room 599, Floor 5, Building 3, No. 969, Wenyi West Road, Wuchang Street, Yuhang District, Hangzhou, Zhejiang Province
Office address: Building 9, Ant A Space, No. 569, Xixi Road, Xihu District, Hangzhou, Zhejiang
Legal representative: Wang Jun
Customer service hotline: 95188-8
Website: www.fund123.cn
(7) Nanjing Suning Fund Sales Co., Ltd
Registered address: No. 1-5, Suning Avenue, Xuanwu District, Nanjing
Office address: No. 1-5, Suning Avenue, Xuanwu District, Nanjing
Legal representative: Qian Yanfei
Customer service hotline: 95177
Website: www.snjijin.com
(8) Noah Zhengxing Fund Sales Co., Ltd
Registered address: Floor 6, No. 9, Lane 360, Feihong Road, Hongkou District, Shanghai (centralized registration place)
Office address: Noah Fortune Center, 1226 Shenbin South Road, Minhang District, Shanghai
Legal representative: Wu Weiguo
Customer service hotline: 400-821-5399
website: http://www.noah-fund.com
(9) Shanghai Changliang Fund Sales Co., Ltd
Registered address: Room 220, Building 2, No. 526 Gaoxiang Road, Pudong New Area, Shanghai
Office address: Floor 11, Phase II, Lujiazui Financial Service Plaza, 1267 Dongfang Road, Pudong New Area, Shanghai
Legal representative: Zhang Yuewei
Customer service telephone: 4008202899
Website: www.erichfund.com
(10) Shanghai Haomai Fund Sales Co., Ltd
Registered address: Unit 6211, No. 501, Dongdaming Road, Hongkou District, Shanghai
Office address: 10/F, Business Building, China Resources Times Square, No. 500, Zhangyang Road, Pudong New Area, Shanghai
Legal representative: Tao Yi
Customer service hotline: 400-700-9665
Website: www.howbuy.com
(11) Shanghai Lide Fund Sales Co., Ltd
Registered address: Room 208-36, No. 1, Lane 70, Haiji 6th Road, Lingang New Area, China (Shanghai) Pilot Free Trade Zone
Office address: 53rd Floor, Pujiang International Finance Plaza, 1098 Dongdaming Road, Hongkou District, Shanghai
Legal representative: Li Xingchun
Customer service hotline: 400-032-5885
Website: www.leadfund.com.cn
(12) Shanghai Liantai Fund Sales Co., Ltd
Registered address: Room 526, No. 15, Lane 900, Lanxi Road, Putuo District, Shanghai
Office address: No.188 Lintong Road, North Bund, Hongkou District, Shanghai
Legal representative: Yin Binbin
Customer service telephone: 400-118-1188
Website: www.66liantai.com
(13) Shanghai Lufax Fund Sales Co., Ltd
Registered address: Floor 7, No. 1088 Yuanshen Road, China (Shanghai) Pilot Free Trade Zone (actual floor 6)
Office address: Floor 7, No. 1088 Yuanshen Road, China (Shanghai) Pilot Free Trade Zone (actual floor 6)
Legal representative: Chen Yibin
Customer service hotline: 400-821-9031
website: https://lupro.lufunds.com
(14) Shanghai Luxiang Fund Sales Co., Ltd
Registered address: Room 14032, Zone 1, Building 1, No. 888, Huanhu West Second Road, Lingang New Area, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 16, Block 2, Century Plaza, No. 1196, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Legal representative: Su Xu
Customer service telephone: 400-168-1235
Website: www.luxxfund.com
(15) Shanghai Tiantian Fund Sales Co., Ltd
Registered address: Floor 2, Building 2, No. 190, Longtian Road, Xuhui District, Shanghai
Office address: Oriental Fortune Building, No. 88, Wanping South Road, Xuhui District, Shanghai
Legal representative: actually
Customer service hotline: 95021
Website: www.1234567.com.cn
(16) Shanghai Wande Fund Sales Co., Ltd
Registered address: Building M, Floor 8, No. 1500, Puming Road, China (Shanghai) Pilot Free Trade Zone
Office address: Floor 11, Wande Building, No. 1500, Puming Road, Pudong New Area, Shanghai, China
Legal representative: Jian Mengwen
Customer service hotline: 400-799-1888
Website: www.520fund.com.cn
(17) Shanghai CEIBS Wealth Fund Sales Co., Ltd
Registered address: Room 1008-1, No. 479, Lujiazui Ring Road, China (Shanghai) Pilot Free Trade Zone
Office address: 6/F, Jiayu Building, Building 8, No. 18, Pingyuan Road, Hongkou District, Shanghai
Legal representative: Xu Xin
Customer service hotline: 400-100-2666
Website: www.zocaifu.com
(18) Shenwan Hongyuan Western Securities Co., Ltd
Registered address: Room 2005, 20th Floor, Dacheng International Building, No. 358, Beijing South Road, High tech Zone (New Urban Area), Urumqi, Xinjiang
Office address: Floor 45, Century Business Plaza, No. 989, Changle Road, Xuhui District, Shanghai
Legal representative: Wang Xianjun
Customer service hotline: 95523
Website: www.swhysc.com
(19) Shenwan Hongyuan Securities Co., Ltd
Registered address: Floor 45, No. 989, Changle Road, Xuhui District, Shanghai
Office address: Floor 45, Century Business Plaza, No. 989, Changle Road, Xuhui District, Shanghai
Legal representative: Yang Yucheng
Customer service hotline: 95523
Website: www.swhysc.com
(20) Shenzhen Zhonglu Fund Sales Co., Ltd
Registered address: Room 12-13, Floor 4, HALO Plaza Phase I, No. 8, Liyuan Road, Sunxi Community, Sungang Street, Luohu District, Shenzhen
Office address: Room 12-13, Floor 4, HALO Plaza Phase I, No. 8, Liyuan Road, Sunxi Community, Sungang Street, Luohu District, Shenzhen
Legal representative: Xue Feng
Customer service hotline: 4006-788-887
Website: www.jjmmw.com
(21) Teng'an Fund Sales (Shenzhen) Co., Ltd
Registered address: Room 201, Building A, No.1 Qianwan 1st Road, Qianhai Shenzhen Hong Kong Cooperation Zone, Shenzhen (settled in Shenzhen Qianhai Business Secretary Co., Ltd.)
Office address: 15/F, Tencent Binhai Building, No. 33, Haitian Second Road, Nanshan District, Shenzhen
Legal representative: Tan Guangfeng
Customer service telephone: 4000-890-555
Website: www.txfund.com
(22) Xuanyuan Insurance Agency Co., Ltd
Registered address: Room 506-2, No. 799, Yinxiang Road, Nanxiang Town, Jiading District, Shanghai
Office address: Room 1105, No. 707, Zhangyang Road, Pudong New Area, Shanghai
Legal representative: Ma Yongqing
Customer service hotline: 400-080-8208
Website: www.licaimofang.cn
(23) Zhejiang Tonghuashun Fund Sales Co., Ltd
Registered address: Room 903, No. 1, Wener West Road, Hangzhou, Zhejiang
Office address: Room 903, Yuanmao Building, No. 1, Wener West Road, Xihu District, Hangzhou
Legal representative: Wu Qiang
Customer service hotline: 952555
Website: www.5ifund.com
(24) Zhuhai Yingmi Fund Sales Co., Ltd
Registered address: Room 2719, No. 3000, Huandao East Road, Hengqin New District, Zhuhai
Office address: 33/F and 8/F, North Tower, Poly International Plaza, No. 688, Yuejiang Middle Road, Haizhu District, Guangzhou
Legal representative: Xiao Wen
Customer service telephone: 020-89629066
Website: www.yingmi.cn
(25) Shanghai Big Smart Fund Sales Co., Ltd
Registered address: Unit 1102, Building 1, No. 428, Yanggao South Road, China (Shanghai) Pilot Free Trade Zone
Office address: Unit 1102, Building 1, No. 428, Yanggao South Road, Pudong New Area, Shanghai
Legal representative: Zhang Jun
Customer service telephone: 021-20292031
Website: www.wg.com.cn
(26) Shanghai Huaxia Wealth Investment Management Co., Ltd
Registered address: Room 268, Floor 2, Building 1, No. 687, Dongdaming Road, Hongkou District, Shanghai
Office address: Floor 8, Block B, Tongtai Building, No. 33, Financial Street, Xicheng District, Beijing
Legal representative: Mao Huaiping
Customer service hotline: 400-817-5666
Website: www.amcfortune.com
(27) Bosera Wealth Fund Sales Co., Ltd
Registered address: 19/F, Fund Building, 5999 Yitian Road, Fuxin Community, Lianhua Street, Futian District, Shenzhen
Office address: 19/F, Fund Building, 5999 Yitian Road, Fuxin Community, Lianhua Street, Futian District, Shenzhen, Guangdong
Legal representative: Wang Deying
Customer service hotline: 400-610-5568
Website: www.boserawealth.com
(28) Dalian Wangjin Fund Sales Co., Ltd
Registered address: Room 202, Floor 2, Nord Building, 22 Titan Road, Shahekou District, Dalian, Liaoning
Office address: Room 202, Floor 2, Nord Building, 22 Titan Road, Shahekou District, Dalian, Liaoning
Legal representative: Fan Huaidong
Customer service hotline: 400-089-9100
Website: www.yibaijin.com
(29) Hegeng Inheritance Fund Sales Co., Ltd
Registered address: 503, Floor 5, Building 6, North East Kangning Street, Dongfeng South Road, Zhengzhou Area (Zhengdong), Henan Pilot Free Trade Zone
Office address: Room 503, Building 6, North East Kangning Street, Dongfeng South Road, Zhengzhou Area (Zhengdong), Henan Pilot Free Trade Zone
Legal representative: Wen Liyan
Customer service hotline: 400-055-5671
Website: www.hgccpb.com
(30) CITIC Securities Co., Ltd
Registered address: North Block, Excellence Times Square (Phase II), No. 8, Zhongxin Third Road, Futian District, Shenzhen, Guangdong Province
Office address: CITIC Securities Building, 48 Liangmaqiao Road, Chaoyang District, Beijing
Legal representative: Zhang Youjun
Customer service hotline: 95548
Website: www.cs.ecitic.com
(31) CITIC Securities (Shandong) Co., Ltd
Registered address: 2001, Building 1, No. 222, Shenzhen Road, Laoshan District, Qingdao
Office address: 5/F, East Building 1, Longxiang Plaza, 28 Donghai West Road, Shinan District, Qingdao
Legal representative: Xiao Haifeng
Customer service hotline: 95548
website: http://sd.citics.com/
(32) CITIC Securities South China Co., Ltd
Registered address: Room 901, No. 395, Linjiang Avenue, Tianhe District, Guangzhou (part: self compiled 01) Room 1001
Office address: 10th floor, T1 building, Heli Tiande Plaza, 395 Linjiang Avenue, Tianhe District, Guangzhou
Legal representative: Chen Keke
Customer service hotline: 95548
website: http://www.gzs.com.cn
(33) CITIC Futures Co., Ltd
Registered address: Room 1301-1305, 13/F, 14/F, North Block, Excellence Times Square (Phase II), No. 8, Central 3rd Road, Futian District, Shenzhen
Office address: 1301-1305, F14, North Block, Excellence Times Square (Phase II), No. 8, Zhongxin Third Road, Futian District, Shenzhen, Guangdong Province
Legal representative: Dou Changhong
Customer service hotline: 400-990-8826
website: http://www.citicsf.com/
(34) Haitong Securities Co., Ltd
Registered address: No. 689, Guangdong Road, Shanghai
Office address: Haitong Bund Financial Plaza, 888 Zhongshan South Road, Huangpu District, Shanghai
Legal representative: Zhou Jie
Customer service hotline: 95553
Website: www.htsec.com
(35) Tonghua Wealth (Shanghai) Fund Sales Co., Ltd
Registered address: Room 201, No. 107, Lane 667, Tongfeng Road, Hongkou District, Shanghai
Office address: Floor 10, Tonghua Science and Technology Building, No. 55, Jinhu Road, Pudong New Area, Shanghai
Legal representative: Shen Danyi
Customer service hotline: 400-101-9301
website: https://www.tonghuafund.com/
(36) Name: Beijing Chuangjin Qifu Fund Sales Co., Ltd
Registered address: Room 712, Economic Daily Complex Building, No. 2, Baizhifang East Street, Xicheng District, Beijing
Legal representative: Liang Rong
Customer service hotline: 010-66154828
Website: www.5irich.com
(37) Name: Shanghai Jiyu Fund Sales Co., Ltd
Registered address: Room 1503, No. 488, Yincheng Middle Road, Pudong New Area, Shanghai
Legal representative: Wang Xiang
Customer service hotline: 400-820-5369
Company website: https://www.jigoutong.com/
(38) Name: Guojin Securities Co., Ltd. (Guojin Securities Co., Ltd. Fundpass GTrade Platform)
Registered address: No. 95, Dongchenggen Upper Street, Qingyang District, Chengdu
Legal representative: Ran Yun
Customer service hotline: 95310
Website: www.jjt.com.cn
(39) Name: Ping An Bank Co., Ltd. E-link platform
Registered address: 5047 Shennan East Road, Luohu District, Shenzhen, Guangdong Province
Legal representative: Xie Yonglin
Customer service hotline: 95511
company website: https://bank.pingan.com/
(40) Name: Shanghai Panying Fund Sales Co., Ltd
Registered address: Room 306, No. 1207, Guangzhong West Road, Zhabei District, Shanghai
Legal representative: Zheng Xinlin
Customer service hotline: 021-68889082
Website: www.pytz.cn
(41) Name: Bank of Ningbo Co., Ltd. Interbank Bartender Platform
Registered address: No. 345, Ningdong Road, Yinzhou District, Ningbo, Zhejiang
Legal representative: Lu Huayu
Customer service hotline: 95574
Company website: www.nbcb.com.cn
(42) Name: Bank Platform of Industrial Bank Co., Ltd
Registered address: Industrial Bank Building, No. 398, Jiangbin Middle Avenue, Taijiang District, Fuzhou, Fujian
Legal representative: Lv Jiajin
Customer service hotline: 40018-95561
company website: http://www.yypt.com/home/
(43) Name: Beijing Huicheng Fund Sales Co., Ltd
Registered address: 401-2, Floor 4, No. A1, Xuanwumenwai Street, Xicheng District, Beijing
Legal representative: Wang Weigang
Customer service hotline: 400-619-9059
Website: www.hcfunds.com
(44) Name: Taixin Wealth Fund Sales Co., Ltd
Registered address: 1206, Floor 10, No. 118, Jianguo Road B, Chaoyang District, Beijing
Legal representative: Peng Hao
Customer service hotline: 400-004-8821
Company website: www.taixincf.com
(45) Name: Harvest Wealth Management Co., Ltd
Registered address: No. 710, Floor 7, Building 1, Fenghuang Island, Tianya District, Sanya, Hainan
Legal representative: Zhang Feng
Customer service telephone: 400-021-8850
Company website: www.havestwm.cn
(46) Name: Shanghai Zhongzheng Daguang Fund Sales Co., Ltd
Registered address: Room 1203, 1204, Building 1, No. 277, Longlan Road, Xuhui District, Shanghai
Legal representative: Huang Xin
Customer service hotline: 400-6767-523
Official website: http://www.zhongzhengmoney.co/
(47) Name: Qiandao Fund Sales Co., Ltd
Registered address: Room 601-7, Floor 6, Building 28, Ping'anli West Street, Xicheng District, Beijing
Legal representative: Dong Yunwei
Customer service hotline: 400-003-0358
Official website: http://www.qiandaojr.com/
(48) Name: Sunshine Youcai Platform of Sunshine Life Insurance Co., Ltd
Registered address: Floor 16, Sanya Sunshine Financial Plaza, No. 360-1, Yingbin Road, Sanya, Hainan
Office address: Floor 4, 5, 6 and 7, Sunshine Financial Center, Guanghua Road, Chaoyang District, Beijing
Legal representative: Li Ke
Customer service telephone: 95510
Official website: fund.sinosig.com
(49) Name: Bank of Jiangsu Co., Ltd
Registered address: No. 26, Zhonghua Road, Nanjing, Jiangsu Province
Office address: No. 26, Zhonghua Road, Nanjing, Jiangsu Province
Legal representative: Ge Renyu
Customer service hotline: 95319
Official website: www.jsbchina.cn
The Fund Manager may, in accordance with the requirements of relevant laws and regulations, select institutions that meet the requirements to sell the Fund and make timely announcements.
（4） Registration Authority
Name: Huatai Baoxing Fund Management Co., Ltd
Address: Room 3810, No. 88, Century Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 9/F, Huatai Financial Building, No. 1101, Bocheng Road, Pudong New Area, Shanghai
Postal code: 200126
Legal representative: Yang Ping
Contact: Chen Jijie
Tel: (021) 80299000
Fax: (021) 60756960
（5） Law firm and handling lawyer
Name: Beijing Haotian Law Firm
Domicile: 12th Floor, Fortune Financial Center, No. 5, Middle East Third Ring Road, Chaoyang District, Beijing
Office address: 12/F, Fortune Financial Center, No. 5, Middle East Third Ring Road, Chaoyang District, Beijing
Person in charge: Liu Hong
Tel.: (010) 65028888
Fax: (010) 65028866
Contact: Tang Kun
Handling lawyers: Tang Kun, Yun Dahui
（6） Accounting firm and handling certified public accountant
Name: Suya Jincheng Certified Public Accountants (Special General Partnership)
Domicile: 22-23/F, Central International Plaza, No. 105-6, Zhongshan North Road, Nanjing
Office address: 22-23/F, Central International Plaza, No. 105-6, Zhongshan North Road, Nanjing
Executive partner: Zhan Congcai
Tel.: (025) 83235002
Fax: (025) 83235046
Contact: Zhou Jiawen
Handling CPA: Zhou Jiawen
Huatai Baoxing Fund Management Co., Ltd
March 8, 2014