Dongfang Hong Quantitative Stock Selection Hybrid Sponsored Securities Investment Fund
Fund Unit Offering Announcement
Fund Manager: Shanghai Orient Securities Asset Management Co., Ltd
Fund Custodian: Guosen Securities Co., Ltd
March 22, 2014
Important tips
1. The application for the raising of Dongfang Hong Quantitative Stock Selection Hybrid Sponsored Securities Investment Fund (hereinafter referred to as the "Fund") was approved by the China Securities Regulatory Commission (hereinafter referred to as the "CSRC") in ZJXK [2024] No. 195 on January 29, 2024. The registration of the Fund by the CSRC does not mean that the CSRC makes substantive judgments, recommendations or guarantees on the risks and returns of the Fund.
2. The Fund is a contractual open-ended, initiating and hybrid securities investment fund.
3. The fund code of Class A fund units of the Fund is 020803, and the fund code of Class C fund units is 020804.
4. The fund manager and fund registration authority of the Fund are Shanghai Orient Securities Asset Management Co., Ltd. (hereinafter referred to as "the Company", "Fund Manager" or "Orient Red Asset Management"), and the fund custodian is Guosen Securities Co., Ltd.
5. The raising period of the Fund is from April 10, 2024 (inclusive) to April 30, 2024 (inclusive). The Fund Manager has the right to extend or shorten the raising period according to the actual situation of the fund raising in accordance with relevant procedures, and such changes are applicable to all sales agencies. If the fund raising period is extended, the maximum period shall not exceed 3 months.
6. The selling institutions of the Fund include the direct selling institutions of the Fund Manager and the selling institutions on a commission basis. Direct selling institutions include the fund manager's direct selling center and online trading system. Please refer to the list of fund sales institutions disclosed on the website of the fund manager for the specific list of selling institutions on a commission basis.
7. The offering 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.
8. Investors shall use the open-ended fund account of the Company to purchase the Fund. If an investor has opened an open-ended fund account of the Company, it is not necessary to open another fund account, and the application for subscription can be handled directly with this fund account. An investor who has not opened a fund account may go through the procedures for opening a fund account through the direct selling institution of the fund and the selling institution on a commission basis.
9. The interest generated by the investor's effective subscription funds during the fund raising period shall belong to the investor. If the fund contract takes effect, it shall be converted into fund units and recorded in the investor's account. The interest and specific interest converted units shall be subject to the records of the registration authority.
10. The Fund divides the Fund units into different categories according to the different collection methods of subscription fees, subscription fees and sales service fees.
Class A fund units: subscription fees and subscription fees will be charged when investors subscribe and subscribe to the fund, and redemption fees will be charged according to the holding period when redeeming, instead of withdrawing sales service fees from the fund property of this class;
Class C fund units: investors do not charge subscription fees and subscription fees when subscribing or subscribing funds, but withdraw sales service fees from the fund property of this category, and charge redemption fees according to the holding period when redeeming.
Codes are set for Class A fund units and Class C fund units of the Fund, and the net value of fund units is calculated separately. When subscribing for fund units, investors can choose the type of fund units by themselves.
11. During the raising period, if the fund subscription business is handled through the fund manager's direct marketing center and online trading system, the minimum subscription amount of various fund units of the fund is 10 yuan (including subscription fees) for a single transaction, and if the fund subscription business is handled through other sales agencies, The minimum subscription limits and trading levels of various fund units shall be subject to the specific provisions of each sales agency.
In the event that an individual investor (except the fund manager or its senior managers, fund managers and other personnel as the origination fund provider) accumulatively subscribes 50% or more of the total fund shares, or evades 50% concentration in a disguised way, the fund manager has the right to partially confirm such subscription application or refuse to accept such subscription application. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority.
12. The minimum total number of units raised by the Fund is 10 million (excluding units converted by interest), and the minimum amount raised is 10 million yuan (excluding interest).
The Fund may set the upper limit of the raising scale. If so, please refer to the announcement at that time for the specific upper limit of the raising scale and the plan for controlling the raising scale. If the Fund sets a ceiling on the scale of raising, it will not be subject to this scale after the Fund Contract takes effect.
13. The acceptance of the subscription application by the sales agency does not mean that the application is necessarily successful, but only that the sales agency has actually received the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For the subscription application and the confirmation of subscription shares, the investors shall timely inquire and properly exercise their legal rights, otherwise, any losses incurred by the investors shall be borne by the investors themselves.
14. For details of sales outlets, account opening, subscription and other matters of each sales agency, please consult with each sales agency. Investors in places without sales outlets can call the company's customer service hotline 400-920-0808 to inquire about subscription matters.
15. During the offering period, the Fund Manager may change, increase or decrease the sales agencies of the Fund in accordance with the requirements of relevant laws and regulations. For details, please refer to the directory of sales agencies and relevant information of the relevant shares of the Fund disclosed on the Fund Manager's website.
16. The Fund Manager may make appropriate adjustments to the raising arrangements of the Fund in light of various circumstances.
17. This announcement only explains the relevant matters and regulations on the sale of the Fund units. Investors who want to know the details of the Fund, please read the information published on the Company's website (www.dfham. com) and the CSRC's fund electronic disclosure website（ http://eid.csrc.gov.cn/fund ）Fund contract, custody agreement, prospectus and summary of fund product information on.
18. Risk warning:
The Fund is a hybrid fund, whose expected risk and expected return are higher than those of bond funds and money market funds, and lower than those of equity funds.
The Fund invests in the securities market, and the net value of the Fund will fluctuate due to factors such as fluctuations in the securities market. The investment is risky. When subscribing (or subscribing) the fund, investors should carefully read the prospectus, fund product information summary, fund contract and other information disclosure documents, independently judge the investment value of the fund, fully understand the risk return characteristics and product characteristics of the fund product, 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, and bear the investment risks by itself. While obtaining the investment income of the Fund, investors also bear various risks arising from the investment of the Fund, which may include: the unique risks of the Fund, market risks, management risks, liquidity risks, credit risks, technical risks, operational risks, risks of investing in specific varieties, risks of automatic termination of the Sponsored Fund Risks and other risks that may be inconsistent between the risk return characteristics of the Fund's legal documents and the fund risk assessment of the sales agency. The Fund Manager reminds investors of the principle of "the seller is responsible and the buyer is responsible" for fund investment. After investors make investment decisions, the investors are responsible for the investment risks caused by changes in the operation status of the fund and the net value of the fund.
In addition to investing in A-shares, the Fund can also buy and sell stocks listed on the Stock Exchange of Hong Kong within the specified scope through the mainland and Hong Kong stock market trading interconnection mechanism (hereinafter referred to as "Hong Kong Stock Connect mechanism"). In addition to undertaking general investment risks such as market fluctuation risks similar to domestic securities investment funds, the Fund will also face unique risks arising from differences in investment environment, investment objects, market systems and trading rules under the Hong Kong Stock Connect mechanism, Including the risk of large fluctuations in the stock price of the Hong Kong stock market (the Hong Kong stock market implements T+0 reverse trading, and there is no limit on the rise and fall of individual stocks, and the Hong Kong stock price may show more drastic fluctuations than the A-share price), exchange rate risk (exchange rate fluctuations may cause losses to the investment income of the Fund) The risks that may be brought about by the discontinuity of trading days under the Hong Kong Stock Connect mechanism (in the case of the opening of the mainland market and the closing of the Hong Kong market, the Hong Kong Stock Connect cannot be traded normally, and Hong Kong shares cannot be sold in time, which may bring some liquidity risks). The Fund may choose to invest some of its fund assets in Hong Kong stocks or not to invest its fund assets in Hong Kong stocks according to the needs of its investment strategy or the changes in the market environment of different allocation places. Fund assets are not necessarily invested in Hong Kong stocks.
The Fund can invest in science and technology innovation board stocks and will face unique risks due to differences in investment targets, market systems and trading rules, including but not limited to stock price fluctuation risk, delisting risk, liquidity risk, investment concentration risk, etc. The Fund may choose to invest some of its fund assets in the Science and Technology Innovation Board or not to invest its fund assets in the Science and Technology Innovation Board according to the needs of its investment strategy or changes in the market environment. Fund assets are not necessarily invested in the Science and Technology Innovation Board.
The Fund may invest in depositary receipts issued and listed domestically in accordance with the law. The net value of the Fund may be affected by the price fluctuation of overseas underlying securities of depositary receipts. Risks related to overseas underlying securities of depositary receipts, issuers of overseas underlying securities, and domestic and overseas trading mechanisms may directly or indirectly become risks of the Fund. The Fund may choose to invest part of the Fund's assets in depositary receipts or not to invest the Fund's assets in depositary receipts according to the needs of its investment strategy or changes in the market environment. Fund assets are not necessarily invested in depositary receipts.
The Fund can invest in shares of Beijing Stock Exchange (hereinafter referred to as "Beijing Stock Exchange"), which mainly serves innovative SMEs, and has different rules from other trading venues in terms of issuance, listing, trading, delisting, etc. The Fund's investment in the shares of the Beijing Stock Exchange will face unique risks arising from differences in the investment environment, investment targets, market systems and trading rules, including but not limited to listed companies' operational risks, stock price fluctuation risks, liquidity risks, delisting risks, investment concentration risks, board transfer risks, regulatory rules change risks, etc. The Fund may choose to invest some of its fund assets in the shares of Beijing Stock Exchange or not to invest the fund assets in the shares of Beijing Stock Exchange according to the needs of its investment strategy or changes in the market environment. The fund assets are not necessarily invested in the shares of Beijing Stock Exchange.
The Fund may invest in asset-backed securities and may face risks related to the underlying assets, such as credit risk, cash flow prediction risk and original equity holder risk, as well as risks related to asset-backed securities, such as market interest rate risk, liquidity risk, rating risk, prepayment and moratorium risk.
The Fund can invest in stock index futures, treasury bond futures, stock options and other financial derivatives. Financial derivatives have leverage effect and price fluctuations are violent, which will amplify gains or losses, and in some cases even lead to investment losses higher than the initial investment amount. The Fund may choose to invest some of its assets in financial derivatives or not to invest its assets in financial derivatives according to the needs of its investment strategy or changes in the market environment. Fund assets are not necessarily invested in financial derivatives.
To hedge credit risk, the Fund may invest in credit derivatives, which may face liquidity risk, repayment risk and price fluctuation risk.
Please refer to the "Risk Disclosure" section of the Prospectus for the specific risks of the Fund.
The number of fund units held by a single investor of the Fund (except the Fund Manager or its senior managers, fund managers and other personnel as the originator of funds) shall not reach or exceed 50% of the total number of fund units, except that the number of fund units passively reaches or exceeds 50% due to the redemption of fund units and other circumstances beyond the control of the Fund Manager during the operation of the Fund. If laws and regulations or regulatory agencies have other provisions, such provisions shall prevail.
When the Fund holds specific assets and there are or potential large redemption applications, the Fund Manager can activate the side pocket mechanism after performing the corresponding procedures. For details, please refer to the relevant sections of the Fund Contract and Prospectus, such as the "side pocket mechanism". 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 and redemption 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.
19. The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, good faith, prudence and diligence, but does not guarantee a certain profit from investment in the Fund or a minimum return. The past performance of the Fund does not predict its future performance. The performance of other funds managed by the fund manager does not constitute a guarantee for the performance of the fund.
catalog
1、 Basic Information of the Offering 6
2、 Offering method and relevant regulations 7
3、 Account opening and subscription procedures for individual investors 9
4、 Account opening and subscription procedures for institutional investors 11
5、 Clearing and Closing 13
6、 Capital Verification of the Fund and Effectiveness of the Fund Contract 13
7、 Parties and intermediaries involved in this offering 14
1、 Basic information of this offering
（1） Fund name, abbreviation and code
Fund name: Dongfang Hong Quantitative Stock Selection Hybrid Sponsored Securities Investment Fund
Fund Abbreviation: Dongfang Red Quantitative Stock Selection Co sponsored
Abbreviation of Class A fund shares: Dongfang Hongquanxi Stock Selection Hybrid Initiation A, fund code: 020803
Abbreviation of Class C fund shares: Dongfang Red Quantitative Stock Selection Hybrid Initiator C, fund code: 020804
（2） Fund type and operation mode
The Fund is a contractual open-ended, initiating and hybrid securities investment fund.
（3） Duration of the Fund
Irregular.
（4） Fund unit par value
The selling face value is RMB 1.00.
（5） Investment objectives of the Fund
Under the premise of strict risk control, the Fund will optimize individual stocks through quantitative methods to build a portfolio and strive to achieve long-term stable appreciation of the Fund's assets.
（6） 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.
（7） Raising scale
The minimum total number of units raised by the Fund is 10 million (excluding units converted by interest), and the minimum amount raised is 10 million yuan (excluding interest).
The Fund may set the upper limit of the raising scale. If so, please refer to the announcement at that time for the specific upper limit of the raising scale and the plan for controlling the raising scale. If the Fund sets a raising ceiling, the fund contract will not be subject to this scale after it takes effect.
（8） Sales organization
1. The direct selling institutions of the Fund include the direct selling center and online trading system. The online trading system includes the fund manager's website (www.dfham. com), Dongfang Red Asset Management APP, the fund manager's WeChat service number and the electronic trading platform designated and authorized by the fund manager.
2. See the list of fund sales institutions disclosed by the fund manager for the specific list of sales institutions. The Fund Manager may, in accordance with the requirements of relevant laws and regulations, select institutions that meet the requirements to sell the Fund as agents, and disclose the directory of sales institutions and relevant information of relevant units of the Fund on the Fund Manager's website.
（9） Fund raising period
The raising period of the Fund shall not exceed 3 months from the date of sale of the Fund units.
The Fund will be publicly offered to investors from April 10, 2024 (inclusive) to April 30, 2024 (inclusive). The Fund Manager has the right to extend or shorten the raising period according to the actual situation of the fund raising in accordance with relevant procedures, and such changes are applicable to all sales agencies. If the fund raising period is extended, the maximum period shall not exceed the aforesaid raising period.
2、 Offering method and relevant regulations
1. The Fund is publicly offered to investors during the offering period.
2. The selling face value of the Fund units is RMB 1.00, and the subscription price of the Fund is RMB 1.00 per share.
3. The Fund is subscribed by amount.
4. The investor subscribes the fund units in the form of full payment. When investors subscribe, they shall pay in full in the way specified by the sales agency.
5. Investors may subscribe for fund units for many times during the raising period, and shall be charged separately according to the corresponding rate grade for each subscription. The accepted subscription application shall not be revoked.
6. Limitation on Subscription Amount
During the offering period, if the fund subscription business is handled through the fund manager's direct marketing center and online trading system, the minimum subscription amount of various fund units of the Fund is 10 yuan (including subscription fees) for a single transaction. If the fund subscription business is handled through other sales agencies, the minimum subscription limit and transaction level difference of various fund units shall be subject to the specific provisions of each sales agency.
7. If a single investor (except the fund manager or its senior managers, fund managers and other personnel as the originator of the fund) accumulatively subscribes 50% or more of the total fund shares, or evades 50% concentration in a disguised way, the fund manager has the right to partially confirm such subscription application or refuse to accept such subscription application. The number of fund units subscribed by investors shall be subject to the confirmation of the registration authority.
8. Investors shall use the open-ended fund account of the Company to purchase the Fund. If an investor has opened an open-ended fund account of the Company, it is not necessary to open another fund account, and the application for subscription can be handled directly with this fund account. An investor who has not opened a fund account may go through the procedures for opening a fund account through the direct selling institution of the fund and the selling institution on a commission basis.
9. Subscription fees for fund units and calculation formula for subscription units
(1) Subscription rate
1) Subscription rate of Class A fund units
The Fund implements different subscription rates for pension clients who subscribe Class A fund shares through the Fund Manager Direct Marketing Center 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 fund, local social security funds that can invest in funds, single plan and collective plan of enterprise annuity, specific client asset management plan entrusted by the enterprise annuity council Enterprise annuity pension products, personal tax deferred commercial pension insurance products, pension target funds and occupational pension plans. If a new type of pension fund approved by the pension fund supervision department appears in the future, the fund manager can include it in the scope of pension customers when updating the prospectus or issuing a temporary announcement. Non pension customers refer to other investors except pension customers.
The subscription rate of pension customers who subscribe Class A fund shares through the fund manager direct marketing center is as follows:
Subscription amount (M) rate
M ＜ 1 million yuan 0.24%
1 million yuan ≤ M ＜ 5 million yuan 0.16%
M ≥ 5 million yuan 1000 yuan/transaction
The subscription rate for other investors to subscribe Class A fund units is as follows:
Subscription amount (M) rate
M ＜ 1 million yuan 1.2%
1 million yuan ≤ M ＜ 5 million yuan 0.8%
M ≥ 5 million yuan 1000 yuan/transaction
The subscription fees for Class A fund units shall be borne by the investors who subscribe for Class A fund units, not included in the fund property, but mainly used for various expenses incurred during the fund raising period such as market promotion, sales and registration.
2) Subscription rate of Class C fund units
Class C fund units do not charge subscription fees, but sales service fees.
(2) Calculation of subscribed shares
1) Calculation of Subscription Units of Class A Fund Units
The subscription amount of Class A fund units includes subscription fees and net subscription amount.
When the subscription fee is applicable to the proportional rate, the calculation formula is:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=subscription amount - net subscription amount
Subscription units=(net subscription amount+subscription interest)/selling face value of fund units
When the subscription fee is a fixed amount, the calculation formula is:
Subscription fee=fixed amount
Net subscription amount=subscription amount - subscription fee
Subscription units=(net subscription amount+subscription interest)/selling face value of fund units
The calculation of subscription units shall be reserved to two decimal places, and the part after the two decimal places shall be rounded off. The gains or losses arising from this error shall be enjoyed or borne by the fund property.
For example, an investor (non pension client) invests 10000 yuan to subscribe for Class A fund shares of the Fund, and the subscription rate is 1.2%. Assuming that the interest generated during the raising period is 5.50 yuan, the Class A fund shares that can be subscribed are:
Subscription amount=10000 yuan
Net subscription amount=10000/(1 ＋ 1.2%)=9881.42 yuan
Subscription fee=10000-9881.42=118.58 yuan
Subscribed shares=(9881.42+5.50)/1.00=9886.92
That is, the investor (non pension client) invests 10000 yuan to subscribe for Class A fund shares. Assuming that the interest generated during the raising period is 5.50 yuan, 9886.92 Class A fund shares can be obtained.
2) Calculation of subscription units of Class C fund units
Subscription unit=(subscription amount+subscription interest)/selling face value of fund unit
The calculation of subscription units shall be reserved to two decimal places, and the part after the two decimal places shall be rounded off. The gains or losses arising from this error shall be enjoyed or borne by the fund property.
For example: an investor invests 10000 yuan to subscribe for Class C fund units of the Fund. Assuming that the interest generated during the raising period is 5.50 yuan, the Class C fund units that can be subscribed are:
Subscription shares=(10000+5.50)/1.00=10005.50
That is, the investor invests 10000 yuan to subscribe for Class C fund units of the Fund. Assuming that the interest generated during the raising period is 5.50 yuan, 10005.50 Class C fund units can be obtained.
3、 Account opening and subscription procedures for individual investors
（1） Precautions
Individual investors may subscribe for funds at the fund manager and its designated sales institution.
（2） Opening and subscription procedures of selling institutions
1. Procedures for opening an account and subscribing for individual investors through the direct marketing center
(1) Business processing time: 9:30-17:00 on the trading day during the fund unit raising period (closed on Saturdays, Sundays and statutory holidays).
(2) When an individual customer applies for opening an account, he/she should go to the direct sales outlet in person and provide the following information:
1) The original and photocopy of the customer's valid ID card (ID card, etc.);
2) The original and copy of the certificate of the designated bank account;
3) Completed Questionnaire on Investors' Risk Tolerance (Individual), Application Form for Account Business (Individual), Notice on Rights and Interests, and Notification Letter of Investors' Information Update;
4) Other materials required by the fund manager.
Note: "Designated bank account" means that customers who subscribe funds in the Company's direct marketing center need to designate a bank account as the customer's account for redemption, dividend and other capital settlement and remittance. This account can be the customer's deposit account in any commercial bank, and the account name must be strictly consistent with the customer's name. Account certificates refer to bank passbooks, debit cards, etc.
(3) Procedures for allocation of subscription funds:
1) After opening an account and before going through the subscription procedures, the individual client shall remit the full amount of funds through the banking system to the bank account designated by the fund manager. The following accounts can be selected for remittance:
Direct account 1:
[Account name] Shanghai Orient Securities Asset Management Co., Ltd
[Account No.] 216200100102864844
[Bank of Deposit] Business Department of Shanghai Branch of Industrial Bank Co., Ltd
[Large amount payment No.] 309290000107
Direct account II:
[Account name] Shanghai Orient Securities Asset Management Co., Ltd
[Account No.] 3100150250050069677
[Bank of Deposit] Shanghai No.2 Branch of China Construction Bank
[Large amount payment No.] 105290063006
Direct account 3:
[Account name] Shanghai Orient Securities Asset Management Co., Ltd
[Account No.] 03492300040015591
[Bank of Deposit] Agricultural Bank of China Limited Shanghai Luwan Branch
[Large amount payment No.] 103290028025
2) When remitting, the customer must fill in the full name of the customer who has opened an account in the fund manager's direct marketing system in the "remitter" column, and the remitting account must be consistent with the bank account reserved when opening an account.
(4) Individual clients shall provide the following information when applying for subscription:
1) Original and photocopy of valid ID card, original and photocopy of bank card;
2) Completed Application for Trading Business;
3) Other materials required by the fund manager.
2. Procedures for opening and subscribing for individual investors through the online trading system of the Company
Individual investors can log on the Company's website (www.dfham. com), Dongfang Red Asset Management APP, the fund manager's WeChat service number and the electronic trading platform designated and authorized by the fund manager. After reaching an agreement on online trading with the fund manager, accepting the relevant service terms of the fund manager, and understanding the specific business rules on online trading of funds, Open an account, subscribe and other businesses through the online trading system of the fund manager.
The online trading system will not accept subscription applications after 15:00 on the last subscription day of the Fund.
3. The account opening and subscription procedures of other sales agencies shall be subject to the regulations of each sales agency.
4. Investor tips
(1) Individual investors who are interested in subscribing to the Fund should request an application form for opening an account and subscription from the outlets of direct selling institutions or selling institutions on a commission basis as soon as possible. Individual investors can also download relevant forms of direct sales business from the company's website www.dfham.com, but they must ensure that the submitted materials are consistent with the format required in the downloaded documents when handling business.
(2) The business application forms of direct selling institutions and outlets of selling institutions on a commission basis are different, and individual investors should not mix them.
4、 Account opening and subscription procedures of institutional investors
（1） Precautions
1. Institutional investors shall open a fund account with the registration institution before subscribing to the Fund.
2. Investors cannot subscribe in cash.
Institutional investors who open accounts in the direct marketing center must designate a bank account as the only settlement account for investment funds. In the future, investors can only settle their redemption, dividends, and refunds of invalid subscription (purchase) funds through this account. The institutional investor subscribing at the consignment outlet shall designate the corresponding settlement account of the consignment bank or the capital account opened at the securities firm as the only settlement account of the investment fund.
（2） Opening and subscription procedures of selling institutions
1. Procedures for opening and subscribing institutional investors through the direct marketing center
(1) Business processing time: 9:30-17:00 on the trading day during the fund unit raising period (closed on Saturdays, Sundays and statutory holidays).
(2) When an institutional client applies for opening an account, the designated agent shall provide the following information:
1) Copies of enterprise business license or registration certificate, organization code certificate and tax registration certificate, license to operate securities, funds, futures business, license to operate other financial business, foundation legal person registration certificate, registration materials of private fund managers and other identity certification materials;
2) Power of Attorney for Business affixed with the official seal of the company;
3) Copy of the valid ID card of the legal representative affixed with the official seal of the unit;
4) The original and photocopy of the valid ID card of the business operator stamped with the official seal of the unit;
5) Institutional Customer Seal Card;
6) The original and photocopy 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), stamped with the official seal of the unit;
7) Account Business Application (Institution) or Account Business Application (Product) filled in according to different account opening entities;
8) Completed Questionnaire on Investors' Risk Tolerance (Institutional Version);
9) Other materials required by the fund manager.
Note: a. "Designated bank account" means that customers who subscribe funds in the direct marketing center of the company need to designate a bank account as the customer's account for redemption, dividend and other capital settlement and remittance. This account can be the customer's deposit account in any commercial bank.
b、 The entity that has used the new version of "three in one" business license to open an account needs to provide a copy of the new version of the business license, while the organization code certificate and tax registration certificate need not be provided.
(3) Procedures for allocation of subscription funds:
1) After opening an account, institutional clients shall remit sufficient funds to the bank account designated by the fund manager through the banking system before going through the subscription procedures. The following accounts can be selected for remittance:
Direct account 1:
[Account name] Shanghai Orient Securities Asset Management Co., Ltd
[Account No.] 216200100102864844
[Bank of Deposit] Business Department of Shanghai Branch of Industrial Bank Co., Ltd
[Large amount payment No.] 309290000107
Direct account II:
[Account name] Shanghai Orient Securities Asset Management Co., Ltd
[Account No.] 3100150250050069677
[Bank of Deposit] Shanghai No.2 Branch of China Construction Bank
[Large amount payment No.] 105290063006
Direct account 3:
[Account name] Shanghai Orient Securities Asset Management Co., Ltd
[Account No.] 03492300040015591
[Bank of Deposit] Agricultural Bank of China Limited Shanghai Luwan Sub branch
[Large amount payment No.] 103290028025
2) When remitting, the customer must fill in the full name of the customer who has opened an account in the fund manager's direct marketing system in the "remitter" column, and the remitting account must be consistent with the bank account reserved when opening an account.
(4) Institutional clients shall provide the following information when applying for subscription:
1) Valid ID card of business operator;
2) The completed Transaction Business Application Form shall be stamped with the reserved seal;
3) Other materials required by the fund manager.
2. The account opening and subscription procedures of other sales agencies shall be subject to the regulations of each sales agency.
3. Investor tips
(1) Institutional investors are requested to request the application form for account opening and subscription from the counter of the direct sales center or the sales outlets on a commission basis as soon as possible. Investors can also download the application form for direct selling business from the company's website www.dfham.com, but they must ensure that the submitted materials are consistent with the format required in the downloaded documents when handling business.
(2) The business application forms of the outlets of direct selling institutions and consignment selling institutions are different, so institutional investors should not mix them.
5、 Clearing and settlement
1. All the funds raised during the fund raising are frozen in the special fund raising account, and no one may use them before the end of the fund raising. The interest generated from the effective subscription funds of investors during the fund raising period shall belong to the investors. If the fund contract comes into effect, it shall be converted into fund shares and recorded in the investors' accounts. The specific shares shall be subject to the records of the registration authority.
2. The registration of the rights and interests of the Fund shall be completed by the registration agency after the end of the offering period.
6、 Capital Verification of the Fund and Effectiveness of the Fund Contract
1. Within three months from the date of the sale of the Fund units, the Fund may terminate the sale of the Fund upon the expiration of the Fund raising period or the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and employ a legal capital verification agency to verify the capital within 10 days, provided that the amount of the Fund subscribed by the initiator fund provider is not less than 10 million yuan and the initiator fund provider undertakes to hold the Fund for a period of not less than three years, The capital verification report shall specify the sponsor and its shares. Within 10 days from the date of receiving the capital verification report, go through the fund filing procedures with the CSRC.
2. If the fund raising meets the conditions for fund filing, the fund contract shall come into force from the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the CSRC; Otherwise, the fund contract will not take effect. The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC. The Fund Manager shall deposit the funds raised during the fund raising into a special account, and no one may use them before the end of the fund raising.
When the fund contract comes into effect, the interest generated from the effective subscription amount during the raising period will be converted into fund shares and owned by investors.
3. Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
(1) Bear the debts and expenses arising from the raising with its inherent property;
(2) Return the funds paid by the investors within 30 days after the expiration of the fund raising period, plus the interest of the current deposit of the bank for the same period;
(3) If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration. All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party.
7、 Parties and intermediaries involved in this offering
（1） Fund manager
Name: Shanghai Orient Securities Asset Management Co., Ltd
Domicile: Floor 7-11, No. 109, Zhongshan South Road, Huangpu District, Shanghai
Office address: 7/F - 11/F, Supply and Marketing Building, 108 Waima Road, Huangpu District, Shanghai
Legal representative: Yang Bin
Tel: 021-53952888
Contact: Peng Yijun
Website: www.dfham.com
（2） Fund Custodian
Name: Guosen Securities Co., Ltd
Domicile: 16-26/F, Guosen Securities Building, No. 1012, Hongling Middle Road, Luohu District, Shenzhen
Legal representative: Zhang Nasha
Time of establishment: June 30, 1994
（3） Sales organization
1. Direct selling mechanism
(1) Direct sales center
Name: Shanghai Orient Securities Asset Management Co., Ltd
Domicile: Floor 7-11, No. 109, Zhongshan South Road, Huangpu District, Shanghai
Office address: 8/F, Supply and Marketing Building, 108 Waima Road, Huangpu District, Shanghai
Legal representative: Yang Bin
Fax: 021-63326381
Contact: Wu Bi
Customer service hotline: 4009200808
Website: www.dfham.com
(2) Online trading system
The online trading system includes the fund manager's website (www.dfham. com), Dongfang Red Asset Management APP, the fund manager's WeChat service number and the electronic trading platform designated and authorized by the fund manager. Individual investors can log in to the above online trading system, and after reaching relevant agreements with the fund manager on online trading, accepting relevant service terms of the fund manager, and understanding the specific business rules related to online trading of funds, they can handle business such as account opening and subscription through the online trading system of the fund manager.
2. Sales organization
For the specific list of other sales agencies, please refer to the list of fund sales agencies disclosed on the fund manager's website.
The Fund Manager may, in accordance with the requirements of relevant laws and regulations, change, increase or decrease the sales agencies of the Fund. For details, please refer to the directory of sales agencies of relevant units of the Fund and relevant information disclosed on the Fund Manager's website.
（4） Registration Authority
Name: Shanghai Orient Securities Asset Management Co., Ltd
Domicile: Floor 7-11, No. 109, Zhongshan South Road, Huangpu District, Shanghai
Office address: 7/F - 11/F, Supply and Marketing Building, 108 Waima Road, Huangpu District, Shanghai
Legal representative: Yang Bin
Tel.: 021-53952888
Fax: 021-63326970
Contact: Qian Qing
（5） Law firm issuing legal opinion
Name: Shanghai Tongli Law Firm
Address: 19/F, Times Financial Center, 68 Yincheng Middle Road, Pudong New Area, Shanghai
Office address: 19/F, Times Financial Center, 68 Yincheng Middle Road, Pudong New Area, Shanghai
Person in charge: Han Jiong
Tel.: 021-31358666
Fax: 021-31358600
Contact: Chen Yinghua
Handling lawyers: Liming, Chen Yinghua
（6） Accounting firm auditing fund assets
Name: Deloitte Touche Tohmatsu (special general partnership)
Registered address: 30/F, Bund Center, No. 222, Yan'an East Road, Shanghai
Office address: 30/F, Bund Center, 222 Yan'an East Road, Shanghai
Person in charge: Fu Jianchao
Tel.: 021-61418888
Fax: 021-63350177
Contact: Shi Man
Handling CPA: Shi Man, He Shuting
Shanghai Orient Securities Asset Management Co., Ltd
March 22, 2014