CCB Fund Management Co., Ltd
CCB Kaiyuan Jinxiang 6-month bond type initiative
Securities Investment Fund Custody Agreement
Fund manager: CCB Fund Management Co., Ltd
Fund Custodian: China Merchants Bank Co., Ltd
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1、 Parties to the Fund Custody Agreement four
2、 Basis, purpose and principle of fund custody agreement five
3、 Fund Custodian's Business Supervision and Verification of Fund Manager six
4、 The Fund Manager's business verification of the Fund Custodian seventeen
5、 Custody of Fund Property eighteen
6、 Sending, confirming and executing instructions twenty-one
7、 Transaction, clearing and settlement arrangements twenty-six
8、 Calculation, valuation and accounting of fund net asset value twenty-nine
9、 Fund income distribution thirty-one
10、 Fund information disclosure thirty-two
11、 Fund expenses thirty-four
12、 Custody of the Register of Fund Unitholders thirty-five
13、 Preservation of Fund related documents and archives thirty-six
14、 Replacement of Fund Manager and Fund Custodian thirty-seven
15、 Prohibited acts thirty-eight
16、 Change and termination of custody agreement and liquidation of fund assets thirty-nine
17、 Liability for breach of contract forty
18、 Dispute resolution forty-one
19、 Effectiveness of the Escrow Agreement forty-two
20、 Other matters forty-three
21、 Signing of Escrow Agreement forty-four
Annex: Provisions on Securities Fund Settlement of Custodian Bank forty-five
Whereas CCB Fund Management Co., Ltd. is a legally established and validly existing limited liability company in accordance with Chinese laws
The company has the qualification and ability to act as a fund manager in accordance with the provisions of relevant laws and regulations, and plans to raise and issue CCB Kaiyuan Jinxiang 6
Three month holding period bond sponsored securities investment fund;
Whereas China Merchants Bank Co., Ltd. is a bank legally established and validly existing in accordance with Chinese laws
Having the qualification and ability to act as the Fund Custodian as required by laws and regulations;
Whereas CCB Fund Management Co., Ltd. plans to serve as the bond type sponsored securities investment of CCB Kaiyuan Jinxiang with a six-month holding period
China Merchants Bank Co., Ltd., the fund manager of China Resources Fund, plans to act as the 6-month holding bond initiator of CCB Kaiyuan Jinxiang
The fund custodian of the securities investment fund;
To clarify the fund manager and fund custody of CCB Kaiyuan Jinxiang 6-month holding period bond sponsored securities investment fund
This Custody Agreement is hereby formulated for the rights and obligations between the two parties;
Unless otherwise agreed, the Contract for CCB Kaiyuan Fund to Enjoy 6-month Holding Period Bond Sponsored Securities Investment Fund (with
The terms defined in the "Fund Contract" shall have the same meaning when used in this Custody Agreement. In case of any conflict
The contract shall prevail.
If the Fund implements the side pocket mechanism, the relevant arrangements during the implementation of the side pocket mechanism shall be implemented in accordance with the provisions of the Fund Contract.
1、 Parties to the Fund Custody Agreement
（1） Fund manager
Name: CCB Fund Management Co., Ltd
Address: Floor 16, Yinglan International Financial Center, No. 7, Financial Street, Xicheng District, Beijing
Office address: Floor 16, Yinglan International Financial Center, No. 7, Financial Street, Xicheng District, Beijing
Postal code: 100033
Legal representative: Sheng Liurong
Time of establishment: September 19, 2005
Approved by: China Securities Regulatory Commission
Approval No. of establishment: CSRC Zhengjian Jiji Zi [2005] No. 158
Organizational form: limited liability company
Registered capital: RMB 200 million
Duration: continuous operation
Business scope: fund raising; Fund sales; Asset management and other businesses permitted by the CSRC. (According to law
The approved items shall be approved by the relevant departments before carrying out business activities according to the approved contents.)
（2） Fund Custodian
Name: China Merchants Bank Co., Ltd
Address: China Merchants Bank Building, No. 7088, Shennan Avenue, Shenzhen
Office address: China Merchants Bank Building, No. 7088, Shennan Avenue, Shenzhen
Postal code: 518040
Legal representative: Miao Jianmin
Time of establishment: April 8, 1987
Establishment approval authority and establishment approval document number: Yin Fu Zi (1986) No. 175 of the People's Bank of China, Yin Fu (1987) 86
No
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2002] No. 83
Organizational form: limited liability company
Registered capital: 25.22 billion yuan
Duration: continuous operation
2、 Basis, purpose and principle of fund custody agreement
（1） Basis for entering into custody agreement
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the "Fund Law"), the Public Offering Certificate
Management Measures for the Operation of Securities Investment Funds (hereinafter referred to as "Operation Measures")
Provisions on the Management of Sexual Risk (hereinafter referred to as "the Provisions on the Management of Liquidity Risk"), Information Disclosure of Publicly Offered Securities Investment Funds
Management Measures (hereinafter referred to as "Information Disclosure Measures") and other relevant laws and regulations, fund contracts and other relevant provisions are formulated.
（2） Purpose of entering into custody agreement
The purpose of entering into this Agreement is to clarify the custody, investment operation
Rights, obligations and responsibilities in matters related to net worth calculation, income distribution, information disclosure and mutual supervision to ensure fund assets
And protect the legitimate rights and interests of fund share holders.
（3） Principles for entering into custody agreement
The Fund Manager and the Fund Custodian shall fully protect the legitimate rights and interests of the Fund Unitholders on the basis of equality, voluntariness, honesty and credibility
This agreement is signed by consensus.
3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Investment proportion, investment restrictions, related party transactions, etc.
1. The investment scope of the Fund is:
The investment scope of the Fund includes domestic legally issued or listed stocks (including the main board, GEM and other securities issued by China Securities
Shares and depositary receipts approved or registered for listing by the Regulatory Commission), and trading allowed by the mainland and Hong Kong stock market trading interconnection mechanism
The shares listed on the Stock Exchange of Hong Kong (hereinafter referred to as "Hong Kong Stock Common Target Shares") within the prescribed scope have been approved by the CSRC
Public offering securities investment funds approved or registered by the Law of the People's Republic of China (only including stock ETFs of the whole market and the
Equity funds, hybrid funds included in equity assets, excluding QDII funds, Hong Kong mutual recognition funds, funds in funds
Other funds that can be invested, money market funds, funds not managed by the Fund Manager (stock ETFs in the whole market
Except), bonds (including government bonds, local government bonds, government backed agency bonds, government backed bonds, financial bonds, and enterprises
Bonds, corporate bonds, publicly issued subordinated bonds, convertible bonds (including the pure part of convertible bonds with separate transactions), exchangeable bonds
Central bank bills, medium-term bills, short-term financing bills, ultra short-term financing bills, etc.), asset-backed securities, bond repurchase, interbank deposit receipts
Bank deposits (including agreement deposits, time deposits and other bank deposits), money market instruments, treasury bond futures, credit derivatives
Raw products and other financial instruments permitted by the laws and regulations or the CSRC to be invested by the fund (subject to the relevant requirements of the CSRC
Regulations).
If laws and regulations or the CSRC later allow the Fund to invest in other varieties, the Fund Manager may, after performing appropriate procedures
To include it in the investment scope of the Fund.
2. The investment proportion and investment restrictions of various varieties of the Fund are:
The proportion of the Fund's investment portfolio is: the proportion of the Fund's investment in bonds is not less than 80% of the Fund's assets; Shares of the Fund
Notes, convertible bonds (excluding the pure debt of convertible bonds with separate transactions), exchangeable bonds, equity funds, hybrid funds
The total investment proportion of equity assets such as Hong Kong Stock Connect should not exceed 20% of the fund assets, of which the proportion of stock investment of Hong Kong Stock Connect should not exceed 100%
50% of the share capital; The market value of other funds held by the Fund shall not exceed 10% of the net asset value of the Fund; Every trading day
After deducting the trading margin required for treasury bond futures contracts, the cash or government bonds with maturity within one year shall not be less than
5% of the net asset value of the Fund, of which cash does not include provisions for settlement, deposits and subscription receivables.
Hybrid funds included in the above equity assets shall meet one of the following two conditions:
(1) A hybrid fund in which the investment ratio of stocks and depositary receipts as agreed in the fund contract is not less than 60% of the fund assets;
(2) According to the periodic report disclosed by the Fund, the share and depositary receipt assets accounted for the fund assets in any of the last four quarters
Hybrid funds with an asset ratio of no less than 60%.
The Fund's portfolio should be subject to the following restrictions:
(1) The Fund's investment proportion in bonds shall not be less than 80% of the Fund's assets; The Fund's investment in stocks and convertible bonds (not
Including pure debt part of convertible bonds with separate transactions), exchangeable bonds, equity funds, hybrid funds and other equity asset investments
The total proportion shall not exceed 20% of the fund assets, of which, the proportion of investment in Hong Kong stocks shall not exceed 50% of all stock assets;
Hybrid funds included in the above equity assets shall meet one of the following two conditions:
1) A hybrid fund in which the investment ratio of stocks and depositary receipts as agreed in the fund contract is not less than 60% of the fund assets;
2) According to the periodic report disclosed by the Fund, the share and depositary receipt assets accounted for the fund assets in any of the last four quarters
Hybrid funds with a proportion of no less than 60%.
(2) At the end of each trading day, after deducting the trading margin required to be paid for treasury bond futures contracts, the Fund shall maintain a minimum of
Cash of 5% of the net asset value or government bonds with a maturity of less than one year, of which cash does not include provisions for settlement and deposits
Deposits, subscription receivables, etc;
(3) The Fund holds securities issued by a company (excluding fund shares invested by the Fund, and the same company is in China
A+H shares listed at the same time in Hong Kong), whose market value does not exceed 10% of the net asset value of the fund;
(4) All funds managed by the Fund Manager hold securities issued by a company (excluding funds invested by the Fund
Shares of the same company listed in China and Hong Kong), not more than 10% of the securities;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed the net asset value of the Fund
10% of;
(6) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed that of the asset-backed certificate
10% of the coupon size;
(8) All funds managed by the Fund Manager shall invest in all kinds of asset-backed securities of the same original equity holder, and shall not exceed
Over 10% of the total size of its various asset-backed securities;
(9) Fund assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total assets of the Fund
The number of shares declared shall not exceed the total number of shares issued by the company to be issued this time;
(10) The maximum term for the Fund to enter the national inter-bank market for bond repurchase is one year, and the bond repurchase is due
No extension is allowed later;
(11) The Fund's participation in treasury bond futures trading is based on the following criteria to construct a portfolio:
1) At the end of any trading day, the value of treasury bond futures contracts held shall not exceed 15% of the net asset value of the fund;
2) At the end of any trading day, the value of the futures contracts for selling treasury bonds held by the Fund shall not exceed the total market value of the bonds held by the Fund
30%；
3) Market value of bonds held by the Fund (excluding government bonds with a maturity of less than one year) and maturity of bonds purchased and sold abroad
The total value of the bond contract (calculated by netting) shall comply with the relevant provisions of the fund contract on the proportion of bond investment;
4) The trading amount of treasury bond futures contracts traded by the Fund in any trading day (excluding closing positions) shall not exceed the previous one
30% of the net asset value of the Fund on the trading day;
(12) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(13) All open-ended funds managed by the Fund Manager (including open-ended funds and regular funds in the open period
Fund issuance) shall not hold more than 15% of the tradable shares issued by a listed company; Base
All the investment portfolios managed by the fund manager shall not hold more tradable shares issued by a listed company than that of the listed company
30% of the outstanding shares;
(14) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed 15% of the net asset value; Due to the securities market
Market fluctuations, stock suspension of listed companies, changes in fund size and other factors outside the fund manager cause the fund not to meet this ratio
If it is restricted, the fund manager shall not actively increase the investment of liquidity restricted assets;
(15) The Fund, private equity securities asset management products and other entities identified by the CSRC carry out reverse return for counterparties
In case of purchase transaction, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the fund contract;
(16) The proportion limit of the Fund's investment in depositary receipts shall be subject to the shares listed and traded in China
Shall be calculated on a consolidated basis;
(17) The Fund's participation in credit derivatives investment shall comply with the following investment proportion restrictions: The Fund shall not hold credit guarantee
Credit derivatives protecting the seller's attribute shall not hold contractual credit derivatives, and the nominal principal of the credit derivatives held shall not
Exceeding 100% of the face value of the Fund's corresponding protected bonds; The Fund invests in various credit derivatives of the same credit protection seller
The total nominal principal of the Fund shall not exceed 10% of the net asset value of the Fund; Due to fluctuation of securities/futures market, merger of securities issuers
If the fund investment proportion does not meet the above specified investment proportion due to factors other than the fund manager, such as fund size change, the fund shall
The manager shall make adjustment within 3 months;
(18) The Fund's investment proportion in publicly offered funds approved or registered by the CSRC according to law shall not exceed the fund capital
10% of net worth;
(19) All funds (except ETF feeder funds) managed by the Fund Manager shall not hold more than one fund invested
20% of the net assets of the fund, and the scale of the net assets of the invested fund shall be subject to the scale disclosed in the latest periodic report;
(20) When the Fund invests in other funds, the operation period of the invested fund shall not be less than one year, and the latest periodic report
The disclosed net assets of the fund shall not be less than 100 million yuan;
(21) The Fund shall not hold fund shares with complex and derivative nature, including graded funds and China Securities Regulatory Commission
Other fund units recognized;
(22) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
The fund investment does not meet the above requirements due to factors other than the fund manager, such as fluctuations in the securities/futures market and changes in fund size
The fund manager shall adjust the proportion agreed in Item (19) within 20 trading days
Except for special circumstances. Except for items (2), (14), (15), (17) and (19) above
The fund investment proportion does not meet the above requirements due to factors other than the fund manager, such as the merger of the securities issuer and the change of fund size
The fund manager shall adjust the capital ratio within 10 trading days, except for special circumstances stipulated by the CSRC.
The Fund Manager shall, within six months from the effective date of the Fund Agreement, make the proportion of the Fund's investment portfolio conform to the Fund Agreement
Relevant agreements. During this period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract. Fund Custodian vs
The supervision and inspection of the Fund's investment shall commence from the date when the Fund Contract comes into force.
If laws, regulations or regulatory authorities cancel or change the above restrictions, if applicable to the Fund, the Fund Manager shall
Thereafter, the investment of the Fund will no longer be subject to relevant restrictions or the changed provisions shall prevail.
3. The assets of the Fund shall not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Make capital contributions to the Fund Manager and the Fund Custodian;
(5) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(6) Other activities prohibited by laws, administrative regulations or the CSRC.
4. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, actual controllers or
Securities issued by companies with other major interests or securities underwritten during the underwriting period, or engaging in other major businesses
Related party transactions shall conform to the investment objectives and strategies of the Fund, follow the principle of giving priority to the interests of fund share holders, and prevent
To avoid conflicts of interest, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable prices in the market. Relevant transactions must
It must be approved by the Fund Custodian in advance and disclosed in accordance with laws and regulations. Major connected transactions shall be submitted to the director of the fund manager
The board of directors reviewed and approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall pay at least half a year
Easy to review.
5. If laws, regulations and regulatory policies restrict the investment prohibition and portfolio proportion agreed in the fund contract
In case of any change, the Fund may adjust the prohibitions and investment proportion restrictions accordingly, which need not be reviewed by the general meeting of fund share holders.
If the Fund Law and other relevant laws and regulations or the regulatory authorities cancel the above restrictions, the Fund will not be subject to the above restrictions after performing appropriate procedures
Describe the limitations.
（2） The Fund Custodian shall select the Fund Manager in accordance with the provisions of relevant laws and regulations and the Fund Contract
The deposit bank shall supervise. If the Fund invests in fixed deposits with banks, the Fund Manager shall, in accordance with the provisions of laws and regulations and the Fund
The list of all eligible deposit banks shall be determined and provided to the Fund Custodian in a timely manner
It shall be used to supervise whether the counterparties of fund investment bank deposits comply with relevant regulations. For unqualified silver
For bank deposits, the Fund Custodian may refuse to execute and notify the Fund Manager.
The investment bank deposits of the Fund shall comply with the following provisions:
1. The proportion of the Fund's investment in fixed term bank deposits shall not exceed 30% of the net asset value of the Fund, but the investment in
Deposit term, bank deposits that can be withdrawn in advance according to the agreement are not subject to the above proportion restrictions; Invest in the assets of the fund custodian
The total proportion of bank deposits and interbank deposit receipts of the same commercial bank in the net asset value of the fund shall not exceed 20%; invest in
The total proportion of bank deposits and interbank deposit receipts of the same commercial bank without the qualification of fund custodian in the net asset value of the fund is not
Must exceed 5%.
Relevant laws and regulations or regulatory authorities formulate or modify new fixed deposit investment policies, and the Fund Manager performs appropriate procedures
After that, the provisions on portfolio restrictions can be adjusted accordingly.
2. The Fund Manager is responsible for evaluating and studying the deposit banks of the Fund, establishing and improving the business process and post of bank deposits
Responsibilities, risk control measures and supervision and audit system to effectively prevent relevant risks. The Fund Custodian is responsible for the Bank of the Fund
Supervision and verification of time deposit business, review and review of relevant agreements, account information, investment instructions, deposit certificates, etc
Relevant documents, and earnestly perform the trusteeship responsibilities.
(1) The fund manager is responsible for controlling credit risk. The credit risk mainly includes the credit rating of the deposit bank and the deposit bank
The payment ability of the bank is related to the risk of deposit bank selection. In case of loss of fund property due to improper selection of deposit bank,
The Fund Manager shall bear the responsibility.
(2) The Fund Manager is responsible for controlling the liquidity risk and bearing the losses caused by ineffective control. Liquidity risk
It shall include all withdrawals in advance, partial withdrawals in advance or withdrawals at maturity required by the fund manager, but the deposit bank fails to pay in time
Risk, the risk that the fund investment bank deposit cannot meet the normal settlement business of the fund, and the withdrawal in advance in whole or in part
The interest loss involved will affect the valuation and other risks related to fund liquidity.
(3) The fund manager shall strengthen the construction of internal risk control system. If the fund manager's job behavior results in
In case of any loss of gold property, the fund manager shall bear the resulting loss.
(4) The Fund Manager and the Fund Custodian shall strictly abide by the Fund Law and the Operation Office when carrying out the fund deposit business
Law of the People's Republic of China and other relevant laws and regulations, as well as various national regulations on account management, interest rate management, payment and settlement.
（3） Signing of fund investment bank deposit agreement, account opening and management, investment instruction and fund transfer, account verification
Right, due payment, early withdrawal
1. Signing of the Fund Investment Bank Deposit Agreement
(1) The Fund Manager shall sign the Overall Contract for Fund Deposit Business with the head office of a qualified deposit bank or its authorized branch
Make an agreement (hereinafter referred to as the "Overall Cooperation Agreement") to determine the format model of the "Deposit Agreement". Overall Cooperation Agreement
The format of the Deposits Agreement and the Deposits Agreement shall be jointly agreed by the Fund Custodian and the Fund Manager.
(2) The Fund Custodian shall review the contents of the Overall Cooperation Agreement and the Deposit Agreement in accordance with relevant laws and regulations,
Review the qualification of deposit bank, etc.
(3) The Fund Manager shall specify in the Deposit Agreement the handling method of the deposit certificate or other valid deposit certificates
After the mailing address, contact person and telephone number, as well as the deposit certificate or other valid vouchers are lost in the mailing process
Confirmation and payment method of balance, etc.
(4) The deposit shall be sent or delivered by the branch designated by the deposit bank for deposit (hereinafter referred to as "deposit branch")
If the deposit certificate or other valid deposit certificates are delivered, the fund custodian may issue the balance of deposits to the superior bank of the deposit branch
The deposit branch and its superior bank shall cooperate with the confirmation letter.
(5) The Fund Manager shall stipulate in the Deposit Agreement that all funds due for deposit or cashed in advance shall be transferred
Transfer to the designated fund custody account, and specify the account name and account number in the Deposit Agreement. If it is not transferred to the designated account,
The deposit bank shall bear all responsibilities.
(6) The Fund Manager shall specify in the Deposit Agreement that during the deposit period, such as the Bank Account of the Fund and the reserved seal
In case of any change, the Fund Manager shall promptly notify the depository bank in writing, and the written notice shall be stamped with the seal reserved by the Fund Custodian. deposit
The branch shall timely issue a formal written confirmation to the fund manager and the fund custodian regarding the change. Delivery of change notice
The delivery method is the same as the account opening procedures. During the deposit period, the designated contact person of the deposit branch and the fund custodian shall be timely stamped
Inform the other party in writing with official seal.
(7) The Fund Manager shall stipulate in the Deposit Agreement that the certificates of deposit arising from time deposits shall not be pledged or held as
The mortgage shall not be used for transfer or endorsement.
2. Account opening and management when the fund invests in bank deposits
(1) When the Fund invests in bank deposits, the Fund Manager shall, in accordance with the General Agreement signed between the Fund Manager and the deposit bank
Cooperation Agreement, Deposit Agreement, etc., opened in the name of the fund at the head office of the deposit bank or the branch designated by the authorized branch
Establish a bank account.
(2) The reserved seal of the Fund when investing in bank deposits shall be kept and used by the Fund Custodian.
3. Transfer of deposit certificates, account verification and due cashing
(1) Transfer of deposit certificates such as deposit certificates
Deposit funds can only be deposited in the branch designated by the head office of the deposit bank or its authorized branch. The Fund Manager shall enter a deposit in the
It is stipulated in the Agreement of the Depository Bank that the branch office of the Depository Bank shall issue a deposit certificate or other valid deposit certificates (hereinafter referred to as
"Deposit certificate"), which is a valid certificate for fund deposit confirmation or withdrawal at maturity, and can only be opened for each deposit
With a unique deposit certificate. On the day when the funds arrive at the account, the accounting supervisor designated by the branch of the deposit bank shall fax a copy of the deposit voucher to reply
After the printed copy is confirmed by phone with the Fund Custodian, the original deposit certificate shall be sent by express or delivered to the Fund Custodian
Person designated contact person; If the branch of the deposit bank keeps the deposit voucher on its behalf, the branch of the deposit bank shall appoint the accountant
The custodian shall fax a copy of the deposit certificate and confirm the receipt by telephone with the fund custodian.
(2) Replacement of lost deposit certificates
If the deposit certificate is lost in the process of mailing, the Fund Manager shall apply to the deposit bank for reissue, and the Fund Manager shall
Urge the deposit bank to reissue the deposit certificate as soon as possible, and deliver it to the custodian by express delivery or door-to-door delivery in the way of (1) above. The original deposit certificate
The certificate is automatically voided.
(3) Reconciliation of accounts
On each working day, the Fund Manager shall check with the Fund Custodian the investment balance and accrued interest of each bank deposit.
The Fund Manager shall stipulate in the Deposit Agreement that the Fund Custodian shall
The depository bank shall initiate inquiry and reply to the depository bank quarterly, and the depository bank shall reply in a timely manner according to the relevant time limit requirements of the PBC for inquiry and reply.
The Fund Manager has the responsibility to urge the deposit bank to reply to the inquiry in a timely manner. The funds are misappropriated due to the failure of the deposit bank to reply in time
The responsibility for use and theft shall be borne by the deposit bank.
The deposit bank shall cooperate with the fund custodian to inquire about the deposit certificate, and affix the official seal of the deposit bank on the letter of inquiry and send it to
The designated contact person of the Fund Custodian.
(4) Cash at maturity
The Fund Manager shall notify the Fund Custodian in advance to send the original of the deposit certificate to the bank designated by the branch of the deposit bank by express
Accounting supervisor. If the deposit bank has not received the original deposit certificate, it shall inquire with the fund custodian by telephone. Fund management before deposit maturity
The manager and the deposit bank shall confirm the receipt of the deposit certificate and pay the principal and interest of the deposit on the maturity date.
When the Fund Custodian fails to receive the principal and interest of the deposit on the maturity date of the deposit or the amount of the principal and interest of the deposit is inconsistent, it shall notify the Fund Manager to
The debtor bank shall negotiate the time of deposit arrival and the supplementary payment of interest. The Fund Manager shall inform the Fund Custodian of the contact results
The custodian shall notify the fund manager on the day when it receives the principal and interest of the deposit.
The Fund Manager shall stipulate in the Deposit Agreement that the deposit bank shall
That is, notify the Fund Custodian, and after the Fund Custodian affixes its official seal on the copy of the original deposit certificate and issues the relevant supporting documents
After the designated accounting supervisor of the deposit bank confirms by telephone, the deposit bank shall transfer the principal and interest of the deposit to the designated fund account on the maturity date
Household. If the due date of deposit is a legal holiday, the deposit bank shall postpone the payment to the first working day after the due date. The deposit bank shall
The deferred interest shall be paid according to the interest rate agreed in the original agreement and the actual days of delay.
4. Withdrawal in advance
If, during the deposit term, due to the reduction of fund size or the need for liquidity management,
The fund manager may withdraw all or part of the funds in advance.
The specific matters of withdrawal in advance shall be subject to the Deposit Agreement signed between the Fund Manager and the deposit bank.
5. Supervision of fund investment bank deposits
The Fund Custodian finds that the Fund Manager violates the provisions of relevant laws and regulations and the Fund Contract when making deposit investment
The Fund Manager shall be notified in writing in a timely manner to make corrections within 10 working days. Fund manager to fund
If the violation notified by the custodian fails to be corrected within 10 working days, the fund custodian shall report to the CSRC. Gikinto
If the custodian finds that the fund manager has major violations, it shall immediately report to the CSRC, and notify the fund manager to
Correct or refuse to settle within working days. If the Fund Manager refuses to execute the settlement, resulting in the loss of the Fund's property, the relevant loss shall be borne by the Fund
The Manager shall bear, and the Fund Custodian shall not bear any responsibility.
（4） The Fund Custodian participates in the Fund Manager in accordance with the provisions of relevant laws and regulations and the Fund Contract
The inter-bank bond market shall be supervised. The Fund Manager shall provide the Fund Custodian with information in compliance with laws and regulations before the investment and operation of the Fund
List of inter-bank bond market counterparties that are regulated and industry standard, carefully selected and applicable to the Fund, and agree on each transaction
The transaction settlement method applicable to the counterparty. The Fund Manager is responsible for ensuring that the updated list of counterparties is sent to the
The Fund Custodian, otherwise the losses caused thereby shall be borne by the Fund Manager. If the fund manager fails to
If the Fund Custodian is provided with a list of counterparties in the inter-bank bond market, it shall be deemed that the Fund Manager recognizes the counterparties in the whole market.
The Fund Manager shall select counterparties in the inter-bank bond market in strict accordance with the scope of the list of counterparties. Fund Custodian Supervision
Supervise whether the fund manager conducts transactions according to the list of counterparties in the inter-bank bond market provided in advance. During the duration of the fund
The Fund Manager may adjust the list of counterparties, but shall notify the Fund Custodian of the result of the adjustment in writing at least one working day in advance.
When the new list is determined, the transactions that have been carried out with the eliminated counterparties but have not yet been settled shall still be settled in accordance with the agreement,
However, no new transactions may occur. If the fund manager temporarily adjusts the list and settlement of inter-bank bond counterparties according to market needs
If the calculation method is adopted, the reason shall be explained to the fund custodian, and the fund shall be deposited with the fund within 3 trading days before the transaction with the counterparty
It shall be settled through negotiation.
The fund manager is responsible for controlling the credit standing of the counterparty, trading according to the trading rules of the inter-bank bond market, and
Responsible for resolving disputes and losses caused by the counterparty's failure to perform the contract. If the non performing counterparty is confirmed by the fund manager
If the Fund Manager fails to bear the liability for breach of contract and other relevant legal liabilities within the period of
And then claim compensation from relevant counterparties. The Fund Custodian's performance of the contract according to the inter-bank bond market transaction sheet
Supervise. If the Fund Custodian discovers that the Fund Manager has not conducted transactions in accordance with the previously agreed counterparties
The Fund Custodian shall timely remind the Fund Manager that the Fund Custodian will not bear any losses and liabilities arising therefrom.
（5） The Fund's investment in tradable restricted securities shall comply with the Circular on the Fund's Investment in Non public Issuance of Stocks and Other Restricted Securities
Notice on Issues Related to Securities and other relevant regulatory provisions.
1. Circulating restricted securities include non-public offering stocks and public offerings regulated by the Administrative Measures for Securities Issuance of Listed Companies
The tradable securities such as the offline placement of the bank's stocks that are clearly locked for a certain period of time at the time of issuance, excluding the issuance of major consumer goods
Securities temporarily suspended due to interest or other reasons, issued unlisted securities, pledged bonds in repurchase transactions and other restricted securities in circulation.
The Fund may invest in non-public securities approved by the China Securities Regulatory Commission, and is limited to China Securities Depository and Clearing Corporation Limited
The responsible company, the Central Government Securities Depository and Clearing Co., Ltd. or the Interbank Market Clearing House Co., Ltd. are responsible for registration and deposit
And can be traded in the stock exchange or the national inter-bank bond market.
The Fund shall not invest in non-public securities without the approval of the CSRC.
The Fund shall not invest in securities with an indefinite lock up period.
2. The Fund Manager shall provide the directors of the Fund Manager with
The investment decision-making process and risk control system for the Fund's investment in restricted negotiable securities approved by the Commission. Private offering of fund investment
For stocks, the Fund Manager shall also provide the liquidity risk disposal plan approved by the Board of Directors of the Fund Manager. The above information shall include
However, it is not limited to the investment quota and investment proportion control of the Fund's investment in restricted securities.
The Fund Manager shall send the above information to the Fund Custodian in writing at least two working days before the first execution of the investment order,
Ensure that the Fund Custodian has enough time to review. The Fund Custodian shall, within two working days after receiving the above information
Confirm receipt of the above materials in writing or in other ways agreed by both parties.
The Fund Manager shall be responsible for the liquidity risk of the Fund's investment in restricted securities, and ensure that relevant risks are actively
Effective measures to effectively solve the liquidity problem of fund operation within a reasonable time. In case of huge fund redemption or market occurrence
When the cash flow of the fund is difficult due to drastic changes and other reasons, the fund manager shall ensure that sufficient cash is provided to ensure the fund's expenditure
Pay the settlement and bear all losses. The Fund Custodian shall not
Assume any responsibility.
3. Before the Fund invests in the restricted securities in circulation, the Fund Manager shall provide the Fund Custodian with relevant information that meets the requirements of laws and regulations
Written information, including but not limited to the approval documents of the CSRC, the number of securities to be issued, the issue price
Lock up period, the amount, price, total cost, subscription amount to be paid, and time of fund transfer to be subscribed by the fund. fund management
I shall guarantee the authenticity and integrity of the above information, and shall submit the above information in writing at least two working days before the proposed implementation of the investment order
To the Fund Custodian to ensure that the Fund Custodian has sufficient time for review.
Due to the Fund Manager's failure to timely provide specific and necessary information on securities, the Custodian is unable to review the subscription index
The Fund Custodian shall be exempted from liability if the transfer of subscription funds is affected by the Order.
4. The Fund Custodian shall review the Fund Manager's investment and circulation restriction certificate in accordance with laws and regulations, the Fund Contract and the Custodian Agreement
The behavior of coupons. If the Fund Manager is found to have violated the Fund Contract, the Custody Agreement and other relevant laws and regulations
In accordance with the relevant regulations, the Fund Manager shall be notified in a timely manner and submitted to the CSRC, and reasonable measures shall be taken to protect the fund investors
Benefits. The Fund Custodian has the right to invest in the Fund Manager's violation of laws and regulations as well as the Fund Contract and Custody Agreement
The fund manager does not correct or has signed a contract on behalf of the fund
If it has to be implemented, the Fund Custodian shall report to the CSRC.
5. The fund manager shall, within two trading days after the fund invests in the non-public offering of shares
The name, quantity, total cost and book value of the non-public offering shares invested by the investors, as well as the total cost and book value in the fund assets
Information such as the proportion of net asset value and locking period.
（6） The fund manager shall study the investment in medium-term notes business and carefully evaluate the risk of medium-term notes investment business
The investment business of medium-term notes shall be carried out in the principle of prudence, diligence and responsibility, and shall comply with laws and regulations and the regulatory authority's
Relevant regulations.
（7） The Fund intends to invest in open-ended funds through a third-party fund sales agency, and the fund manager is responsible for selecting the sales machine
And ensure that the record collection account reserved in the sales agency is the custodian account of the Fund.
（8） The Fund Custodian shall calculate the net asset value of the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Calculation, calculation of net value of various fund units, receipt of funds receivable, determination of fund expenses and income, distribution of fund income
Supervise and verify the information disclosure and the fund performance data published in the fund promotion materials.
（9） The Fund Custodian finds that the above matters and investment orders or actual investment operations of the Fund Manager violate laws and regulations
The Fund Manager shall be informed of the provisions of the Fund Contract and this Custodian Agreement in a timely manner by telephone, email or written prompt
Correct within a time limit. The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision and verification. After the Fund Manager receives the notice
The Fund Custodian shall check and reply to the Fund Custodian in a timely manner. The Fund Manager shall give the received written notice to the Fund Custodian in writing
The person shall send a reply to explain or provide evidence on the Fund Custodian's doubts, and explain the reasons for the violation and the time limit for correction. In the above provisions
Within the time limit, the Fund Custodian has the right to review the notice at any time and urge the Fund Manager to make corrections. Fund manager to base
If the violations notified by the fund custodian fail to be corrected within the time limit, the fund custodian shall report to the CSRC.
（10） The Fund Manager has the obligation to cooperate and assist the Fund Custodian in accordance with laws and regulations, the Fund Contract and this Custodian Agreement
It is suggested to check the fund business. Including but not limited to: the Fund Manager shall, when specifying the prompt to the Fund Custodian
Make internal reply and correct, or explain or provide evidence on the doubts of the Fund Custodian; In accordance with laws and regulations
The Fund Manager shall actively cooperate with the CSRC in matters requiring the submission of fund supervision reports to the CSRC as required by the gold contract and this Custody Agreement
Cooperate to provide relevant data and systems.
（11） If the Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate laws and administrative laws
Where a fund manager violates the provisions of the fund contract, it shall immediately notify the fund manager to make corrections in a timely manner
The Fund Manager shall bear the losses incurred, and the Fund Custodian shall be exempted from liability after performing its obligation of notification.
（12） If the Fund Custodian finds that the Fund Manager has major violations, it shall report to the CSRC in a timely manner and notify
Inform the fund manager to correct within a time limit.
4、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of custody duties by the Fund Custodian, including the Fund Custodian
Safely keep fund assets, open fund accounts, securities accounts and other accounts required for investment of fund assets, and review fund managers
Calculated net asset value of the fund and net value of various fund units, clearing and settlement according to the instructions of the fund manager, and relevant information disclosure
Disclose and supervise fund investment and operation.
（2） The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization, fails to manage the Fund assets separately
The execution or unreasonably delayed execution of the fund manager's fund transfer instructions, disclosure of fund investment information and other violations of the Fund Law and the Fund Agreement
In case of the same, custody agreement and other relevant provisions, the Fund Custodian shall be notified in writing in a timely manner to make corrections within a time limit. Fund Custodian
After receiving the written notice, it shall check in time before the next working day and send a written reply to the fund manager to explain the violation
Cause and correction period, and ensure timely correction within the specified period. The Fund Manager has the right to
Review the notice and urge the Fund Custodian to make corrections.
（3） The Fund Custodian has the obligation to cooperate and assist the Fund Manager in accordance with laws and regulations, the Fund Agreement and this Custodian Agreement
Check the fund business, including but not limited to: the Fund Custodian shall provide a written reminder to the Fund Manager
Reply and correct within the time limit, or explain or provide evidence on the doubts of the fund manager; The Fund Custodian shall actively cooperate in providing
The relevant materials shall be used by the fund manager to verify the integrity and authenticity of the custody property.
（4） If the Fund Manager finds that the Fund Custodian has major violations, it shall report to the CSRC in a timely manner and notify
The Fund Custodian shall make corrections within a time limit and report the results of the corrections to the CSRC.
5、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
2. The Fund Custodian shall keep the Fund assets in safe custody.
3. The Fund Custodian shall open relevant accounts required for the investment of the Fund assets in accordance with the provisions.
4. The fund custodian shall set up separate accounts for different fund assets under its custody to ensure the integrity and independence of the fund assets.
5. The Fund Custodian shall, in accordance with the instructions of the Fund Manager, keep the Fund assets in accordance with the Fund Contract and this Agreement. not
No asset of the Fund may be used, disposed of or distributed by the Fund Manager on its own with the proper instructions of the Fund Manager. Not belonging to the fund custodian
The Fund Custodian will not accept any damage or loss of assets and physical securities under effective control during the custody of the Fund Custodian
Take the responsibility arising therefrom.
6. For the assets receivable arising from the fund investment, the fund manager shall be responsible for determining the date of receipt with the relevant parties
The Fund Custodian shall also notify the Fund Custodian that if the Fund assets fail to reach the Fund's capital account on the account day, the Fund Custodian shall notify the Fund in a timely manner
The Manager shall take measures to collect funds, and the Fund Manager shall be responsible for recovering the losses of the Fund property from the relevant parties.
7. Fund funds deposited or deposited by the Fund Custodian in institutions other than the Fund Custodian due to the investment of the Fund Manager
Or the fund assets (including but not limited to the futures margin account) delivered to the futures company or securities company for clearing and settlement
The funds, futures contracts, etc.) and their income due to the fact that such institutions or their member units and other third parties other than the parties to this Agreement
The Fund shall not be liable for the losses caused to the Fund assets due to fraud, negligence, negligence or bankruptcy.
8. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust a third person to custody the Fund assets.
（2） Fund raising period and capital verification of raised funds
1. A "special account for fund raising" shall be opened for the funds raised during the fund raising period. The account shall be opened and managed by the fund manager.
2. When the fund raising period expires or the fund is stopped, the total amount of fund units raised, the amount of fund raised, and the holding of fund units
After the number of personnel meets the relevant provisions of the Fund Law, the Operating Measures and other relevant provisions, the Fund Manager shall transfer all the assets belonging to the Fund
The fund shall be transferred to the fund account opened by the fund custodian for the fund, and the fund manager shall apply for
The accounting firm specified in the Securities Law of the People's Republic of China shall carry out capital verification, issue a capital verification report, and
The financial provider and its shares shall be specified. The capital verification report issued by 2 or more persons participating in the capital verification
Only the signature of the CPA is valid.
3. If the fund raising period expires and the conditions for the effectiveness of the fund contract are not met, the fund manager shall handle a refund as required
And other matters.
（3） Opening and management of fund account
1. The Fund Custodian shall open a fund account (also referred to as "custody account") in its business institution in the name of the Fund,
To keep the bank deposits of the Fund and handle the receipt and payment of funds according to the instructions of the Fund Manager. The name of the escrow account should be "CCB Kai"
Yuan Jinxiang 6-month holding period bond sponsored securities investment fund ", and the reserved seal is the seal of the fund custodian.
2. The opening and use of the Fund's capital account shall be limited to meet the needs of conducting the Fund's business. Fund Custodian and Fund Management
The Manager shall not open any other bank account in the name of the Fund; Nor use any account of the Fund for this Fund
Non business activities.
3. The opening and management of the fund account shall comply with laws and regulations and the relevant provisions of the banking regulatory authority.
（4） Opening and management of fund securities account and settlement provision account
1. The Fund Custodian shall open the Fund Funds in the Shanghai Branch and Shenzhen Branch of China Securities Depository and Clearing Corporation Limited
A securities account jointly signed by the fund custodian and the fund.
2. The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Fund Custodian and Fund
The Manager shall not lend or transfer any securities account of the Fund without the consent of the other party, nor use any account of the Fund
Conduct activities other than the business of the Fund.
3. The fund custodian shall be responsible for the opening of the fund securities account and the safekeeping of the securities account card, and the management and application of the account assets
The Fund Manager shall be responsible for it.
4. The Fund Custodian shall open a clearing provision account in the name of the Fund Custodian in China Securities Depository and Clearing Co., Ltd
And complete the liquidation with the first level legal person of China Securities Depository and Clearing Co., Ltd. on behalf of the funds under its custody
The manager shall provide active assistance. The collection of settlement provisions, settlement deposits, etc. shall be subject to China Securities Depository and Clearing Corporation Limited
Implementation of the Company's regulations.
5. If the CSRC or other regulatory authorities allow the Fund to engage in other investment varieties after the date of this Custody Agreement
Investment business involving the opening and use of relevant accounts shall be opened, used and managed in accordance with relevant regulations; In the absence of relevant regulations,
The Fund Custodian shall follow the above provisions on account opening and use.
（5） Opening and management of bond custody account
After the Fund Contract comes into force, the Fund Custodian shall, in accordance with the provisions of the People's Bank of China, the Central Government Securities Depository and Clearing Co., Ltd. and the Bank of China
Relevant regulations of the inter-bank market clearing house Co., Ltd., which issues bonds in the name of the fund in the inter-bank market registration and clearing institution
The securities depository account and the settlement of bonds in the inter-bank market on behalf of the Fund.
（6） Opening and management of other accounts
1. The fund manager shall open a futures margin account and futures trading code according to the investment needs and regulations, and the fund shall be placed in custody
People shall open futures settlement accounts and other accounts required for investment in accordance with regulations. After the above account is opened, the Fund Manager shall
The initial capital password of the futures margin account provided by the futures company and the login user name and password of the market monitoring center
Inform the Fund Custodian. The fund manager shall reset the fund password and the login password of the Market Monitoring Center. After the reset, it is necessary to
Inform the custodian when.
The Fund Custodian and the Fund Manager shall cooperate with each other in the process of opening accounts and provide the necessary information. Fund manager PICC
The authenticity and validity of the account opening materials provided by SSE, and the changed materials shall be provided to
Fund Custodian.
2. Other accounts opened for business development may be managed by the Fund in accordance with laws and regulations and the provisions of the Fund Agreement
The Manager shall assist the Fund Custodian to open the Fund after consultation in accordance with relevant laws and regulations and this Agreement. The new account shall be used according to relevant regulations
And management.
3. If laws and regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail.
（7） Custody of relevant valuable certificates of fund property investment
Valuable certificates such as physical securities invested by the Fund assets shall be deposited by the Fund Custodian in the custody of the Fund Custodian as agreed
Treasury, or deposited in the Central Government Securities Depository and Clearing Co., Ltd., Inter bank Market Clearing House Co., Ltd., China Securities Depository
It shall be recorded in the escrow of the clearing limited liability company or the bill business center, and the physical custody certificate shall be held by the fund custodian. Physical evidence
The purchase and transfer of securities and other valuable vouchers shall be handled by the Fund Custodian in accordance with the instructions of the Fund Manager. Fund Custodian
The depository institution and institutions other than the Fund Custodian shall not be responsible for the custody of valuable vouchers that are actually and effectively controlled.
（8） Custody of major contracts related to fund assets
The originals of the major contracts signed by the Fund Manager on behalf of the Fund and related to the Fund assets shall be respectively signed by the Fund Manager
Custody of the Fund Custodian. Unless otherwise specified in this Agreement, the Fund Manager shall sign on behalf of the Fund any material agreement relating to the assets of the Fund
The contract shall ensure that the Fund Manager and the Fund Custodian each hold at least one original. The Fund Manager shall
After signing, the major contract shall be faxed to the Fund Custodian in a timely manner, and the original shall be delivered to the Fund Custodian within 30 working days.
For the consequences caused by the inconsistency between the fax of the contract sent by the fund manager and the original contract delivered afterwards, the fund manager shall
be responsible for. The term of custody of major contracts shall not be less than 20 years after the termination of the fund contract.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with a fax of the contract with the official seal affixed
The original contract shall not be transferred without mutual agreement. The fax of the contract provided by the Fund Manager to the Fund Custodian and
If the original documents retained by the fund manager are inconsistent, the fax shall prevail.
6、 Sending, confirmation and execution of instructions
When the Fund Manager uses the Fund assets, it sends the Fund Custodian instructions for fund transfer and other payments
The custodian shall implement the instructions of the fund manager and handle the fund transactions under the name of the fund.
The instructions sent by the fund manager include electronic instructions and paper instructions.
Electronic instructions include electronic instructions sent by the fund manager (electronic instructions sent by electronic message
Management+electronic instructions entered on the integrated service platform), automatically generated electronic instructions (online custodian bank custodian end based on the fund
The electronic instructions automatically generated by the business rules set by the manager). Paper instructions include those transmitted from the fund manager to the fund custodian
True order or original order.
（1） Written authorization of the Fund Manager to the personnel who send instructions
The Fund Manager shall provide the Fund Custodian with a written notice of authorization (hereinafter referred to as "the notice of authorization") in advance
The authorized person of the order and the authorized seal, and the content of the authorization notice includes the list of authorized persons, signature/seal samples
Seal, authorized fax number, email address, telephone number, etc. are limited and reserved. The notice of authorization shall be stamped with the fund manager company
The official seal of the company and the signature/seal of the legal representative (or authorized person), if signed by the authorized representative, the authorization of the legal representative shall also be attached
The letter of authorization shall specify the effective time. If the effective time is not specified, the signing date of the fund contract or the signing date of the notice of authorization shall be taken as
Effective time. The Fund Manager shall send a letter of authorization to the Fund Custodian by fax or other means agreed with the Fund Custodian
And notify the Fund Custodian by telephone at the same time. The notice of authorization is sent to the Fund Manager and the Fund Custodian by telephone or
After confirmation in a manner approved by other fund managers and fund custodians, the authorization will come into force or be authorized at the effective time specified in the authorization notice
The signing time of the notice takes effect. The Fund Manager shall deliver the original of the Notice of Authorization to the Fund Custody within three working days thereafter
People. If the contents of the original letter of authorization are inconsistent with the fax received by the Fund Custodian, the fax received by the Fund Custodian shall prevail.
The Fund Manager and the Fund Custodian shall be obliged to keep confidential the Notice of Authorization, and its contents shall not be disclosed to the authorizer and the authorized person
And any person other than the relevant operators, unless otherwise required by laws and regulations or the competent authority.
（2） Content of instructions
Investment instructions refer to the trading orders, trading instructions and
Fund transfer instructions (hereinafter referred to as "instructions"). The instruction shall be stamped with the reserved seal and sealed/signed by the authorized person. Fund management
The fund transfer instructions issued by the Manager to the Fund Custodian shall specify the reason, time, amount, account information of withdrawal and receipt
Etc.
（3） Time and procedure for sending, confirming and executing instructions
1. Instruction sending mode
The Fund Manager selects the following (2) (3) methods to send instructions to the Fund Custodian:
(1) The fund manager sends an electronic transfer to the fund custodian through the China Merchants Bank custody+integrated service platform entry mode
(b) an order or investment order.
China Merchants Bank custody+integrated service platform refers to the fund custodian's Internet based
Customer service software, realizing instruction processing, data transmission, business query and data transmission between the fund manager and the fund custodian
Direct processing such as delivery and information services.
The Fund Manager and the Fund Custodian separately signed the "Custody+" Integrated Service Platform Service Agreement of China Merchants Bank
The matters shall be subject to the agreement in the "Trusteeship+" Integrated Service Platform Service Agreement of China Merchants Bank.
(2) The Fund Manager sends the electronic transfer instruction or investment to the Fund Custodian through SZTE's electronic direct connection connection
Instruction.
If the fund manager sends an electronic order through SZTE electronic direct connection, the fund manager shall at least
The Fund Custodian shall be informed of the asset code of this product through the reserved mailbox or the letter with the reserved seal one day before the establishment date.
The Fund Manager shall not deny the effectiveness of the instructions sent by the Fund Manager through the above (1) and (2) methods.
If the Fund Manager sends instructions through the above methods (1) and (2), in case of emergency, the Fund Manager may
Fax transfer instructions. The specific operation mode shall be executed according to the sending mode of instructions in paragraph (3) below.
(3) The Fund Manager chooses to send instructions by fax
The Fund Manager shall not deny the effectiveness of the instructions issued by the Fund Manager through the reserved fax number.
Under special circumstances, when the fund manager is unable to use the reserved fax number to send instructions, it can use the non reserved fax number to
In case of urgent fax instructions, the Fund Manager shall notify the Fund Custodian to receive the fax instructions through the authorized telephone number. Ru Inge
The Fund Custodian shall not be liable for any loss caused by the Fund Manager's failure to notify the Fund Custodian to receive the facsimile instruction. The above special circumstances
After the situation is resolved, the Fund Manager shall issue a notice of updating the reserved fax number to the Fund Custodian, and affix it to the notice
Reserved seal in the notice of entitlement.
2. Transmission mode of directive annex
When the fund manager sends instructions to the fund custodian, it will reserve faxes through the custody+integrated service platform of China Merchants Bank
The number or reserved instruction attachment shall be sent to the email address to provide relevant contracts, transaction vouchers or other supporting materials. Fund manager's right to
Be responsible for the authenticity, validity, integrity and legality of such materials.
For the attachment of instructions sent through China Merchants Bank's custody+integrated service platform, reserved fax number or reserved email address,
The Fund Manager shall not deny its effectiveness.
3. Command sending time
For offline public offering business such as subscription of new shares and new bonds, the fund manager shall pay for the offline subscription before 10:00 a.m
Send instructions to the Fund Custodian.
For the futures deposit and withdrawal business, the fund manager shall transfer the futures deposit and withdrawal 2 hours before the deadline of the deposit and withdrawal on the trading date
The gold instruction is sent to the fund custodian. Under normal circumstances, the Fund Custodian shall, in accordance with the withdrawal and withdrawal instructions issued by the Fund Manager
The deposit and withdrawal operation is carried out through the bank futures transfer system of the futures settlement bank. When the bank futures transfer system of the settlement bank fails
In case of emergency, the fund manager can use non bank period transfer to withdraw and withdraw funds manually.
Manual deposit and withdrawal of non bank term transfer, the deposit shall be paid by the fund custodian through the settlement bank according to the transfer instruction provided by the fund manager
After the bank's online banking system is transferred to the designated account of the futures company, the fund manager shall notify the futures company to conduct the deposit operation, and the withdrawal shall be
After the Fund Manager notifies the futures company of the withdrawal of funds, it will send instructions to the Fund Custodian, who will, according to the Fund Manager
The transfer instructions provided are transferred to the fund custody account through the online banking system of the settlement bank.
After executing the operation of futures cash out or cash in, the fund manager shall query the cash out transfer through its trading system or terminal system
Outgoing and incoming cash.
For OTC business, the Fund Manager shall confirm with the Fund Custodian that the trading unit and
The shareholder code can only be set.
For inter-bank business, the Fund Manager shall send the inter-bank transaction sheet and relevant transfer instructions before 15:00 on the trading day
To the Fund Custodian. The Fund Manager shall confirm with the Fund Custodian that the Fund Custodian has completed the certificate and authority setting before entering
Inter bank transactions of the Fund. Where an inter-bank transaction order authorization letter is issued to the Fund Custodian, the Fund Manager shall
In the first inter-bank transaction, the Fund Custodian is notified through the reserved telephone. If the Fund Manager fails to notify the Fund Custodian
The Fund Custodian shall not be liable for the failure or failure to execute the instruction.
The Fund Manager shall send the trading instructions to the Fund Custodian 2 hours in advance for the withdrawal at a specified time; yes
The Fund Custodian does not guarantee the withdrawal on the same day as the instructions sent by the Fund Manager to the Fund Custodian after 15:00, such as withdrawal
In case of failure, the Fund Custodian will not assume responsibility.
4. Confirmation of instructions
The Fund Manager is obliged to confirm by telephone with the Fund Custodian after sending the instructions
The Fund Custodian shall not be liable for any loss caused by the Fund Custodian's receipt of fax instructions. For the
The fund manager shall not deny its effectiveness.
5. Execution of instructions
When sending instructions, the Fund Manager shall ensure that the withdrawal account has sufficient fund balance, complete documents, and
The Fund Custodian has set aside the time necessary for the execution of the order, and the Fund Custodian has failed to give a reasonably necessary time
If the operation is unsuccessful, the Fund Custodian shall not be liable.
After the Fund Custodian confirms receipt of the instructions sent by the Fund Manager, it shall conduct a formal review of the instructions and verify the requirements of the instructions
Whether the elements (amount, collection account number, name and purpose of the collection account) are complete, and whether the seal and seal/signature are also checked for fax instructions
It is consistent with the surface consistency of the reserved seal and the signature sample, and there is no significant difference in the form of the seal affixed to the fax instruction and the reserved seal
The difference shall be deemed as passing the surface consistency review. For the deformation and distortion of seal and signature caused by fax or scanning
The custodian does not undertake the obligation of review. The Fund Custodian only makes a superficial statement on the instructions submitted by the Fund Manager in accordance with this Agreement
The consistency review is not responsible for reviewing the legality, authenticity and completeness of other documents and materials submitted at the same time when the fund manager sends instructions
Integrity and effectiveness. The Fund Manager shall ensure that the above documents are legal, authentic, complete and effective. If the fund manager
The above documents provided are illegal, untrue, incomplete or invalid, which affects the review of the Fund Custodian or affects any third party
The fund manager shall bear the responsibility for the losses caused by the fund manager.
The Fund Custodian shall implement the instructions in a timely manner within the specified time limit after reviewing them.
6. Cancellation of instructions
On the premise that the order has not been executed, if the fund manager cancels the order, the fund manager shall indicate "invalid"
"Abolished", "Cancelled" and other words shall be faxed to the Fund Custodian after being stamped with the reserved seal and the seal/signature of the authorized person, and the telephone number shall be
Notify the Fund Custodian. If the electronic order is revoked, the fund manager shall revoke it through the relevant system, and the system function does not support revocation
The electronic instruction shall be revoked by referring to the revocation of fax instruction.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
1. The circumstances under which the fund manager sends wrong instructions include that the instruction sender has no right or exceeds the authority to send instructions, and the instructions do not
It can be identified or the elements are incomplete, which leads to the failure of implementation.
2. When the Fund Custodian believes that the received instruction is an error instruction, it shall confirm with the Fund Manager by telephone in a timely manner, and
The execution of the suspension order shall be revoked by the fund manager or re sent after revocation.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
The Fund Custodian finds that the instructions sent by the Fund Manager may violate the Fund Law, the Operation Measures, the Fund Contract
In case of provisions of this Agreement or other relevant laws and regulations, the execution of the order shall be suspended, and the Fund Manager and the Fund Management shall be notified in a timely manner
After receiving the notice, the staff shall check and correct it in a timely manner; If the relevant transaction has taken effect, the Fund Manager shall be notified within the time limit specified by the regulations
Correct in time. For transactions that are difficult to supervise before the fund custodian, the fund custodian performed the fund management afterwards
After the manager's notification obligation, it is deemed that he has fully performed his investment supervision duties. For fund managers who violate the Fund Law
In case of any loss of fund property caused by the provisions of the Measures, the Fund Contract, this Agreement or other relevant laws and regulations, the fund shall be managed by the fund
The Fund Custodian shall be exempted from all liabilities.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
For the effective instructions and notices of the fund manager, unless it violates laws and regulations, the fund contract, the custody agreement or has
（4） The Fund Custodian shall not unreasonably refuse or delay the implementation of the errors mentioned in subparagraph (1). Unless the Fund
In addition to being liable for compensation due to the damage to the interests of the Fund Manager, the Fund Custodian shall implement the legal instructions of the Fund Manager
No compensation liability shall be borne for the losses caused by financial assets.
（7） Procedures for replacing authorized personnel
The Fund Manager replaces the authorized personnel, changes the authority of the authorized personnel, changes or adds the number to receive fax instructions
Reservation of telephone number and mailbox must be made at least one trading day in advance by fax or by other fund managers and fund managers
The Fund Custodian shall re issue the notice of authorization stamped with the official seal of the Fund Manager to the Fund Custodian in a manner approved by the Fund Custodian, and at the same time
Inform the Fund Custodian. After the Fund Manager and the Fund Custodian communicate by telephone or other Fund Managers and Fund Custodians
After the approval is confirmed, it will take effect at the effective time specified in the notice of authorization, and the original notice of authorization will become invalid. fund management
The person shall send the original of the notice of change of the authorized person to the Fund Custodian within three working days thereafter. The content of the original notice of authorization and
If the fax received by the Fund Custodian is inconsistent, the fax received by the Fund Custodian shall prevail. Replacement of Fund Custodian to Receive Funds
The personnel instructed by the Manager shall notify the Fund Manager in advance.
（8） Custody of instructions
If the instruction is sent by fax, the original shall be kept by the Fund Manager, and the Fund Custodian shall keep the fax of the instruction. When two
In case of any discrepancy, the fax of the instruction received by the Fund Custodian shall prevail.
（9） Relevant responsibilities
The instruction given to the Fund Custodian by the Fund Manager without sufficient funds has resulted in the failure to liquidate funds in a timely manner
The losses caused shall be borne by the fund manager. The transmission is not timely or sufficient execution is not reserved due to the fund manager
Losses caused by failure to timely clear funds or transaction failure due to bank time, failure to timely confirm instructions with the fund custodian
The loss shall be borne by the fund manager. The Fund Custodian correctly executes the effective instructions sent by the Fund Manager, and the Fund property suffers losses
The Fund Custodian shall not assume any form of responsibility. Within the time limit specified in the normal business acceptance channel and instructions
If the Fund property is damaged due to the failure of the Custodian to timely or correctly implement the legal and compliant instructions, the Fund Custodian shall
Bear corresponding responsibilities, except in case of force majeure.
The Fund Custodian shall, in accordance with the relevant provisions of this Agreement, perform the duty of examining the apparent consistency of seals and signatures. If the Fund
The administrator's instructions are in fact unauthorized, fraudulent, forged or failed to provide the notice of authorization in a timely manner
The Custodian shall not be liable for bringing funds to the Fund Manager or the Fund assets or any third party due to the execution of the relevant instructions or refusal to execute the relevant instructions
The Fund Manager shall bear all the responsibility for the losses incurred, but the Fund Custodian fails to perform the formal audit obligations as agreed in this Agreement
Except for the loss caused by the order.
7、 Transaction, clearing and settlement arrangements
（1） Select securities and futures operating institutions that act as agents for securities and futures trading
1. The Fund Manager shall design the standards and procedures for selecting securities operating institutions to act as agents for securities trading, and shall, in accordance with relevant contracts
And stipulate the obligations that should be undertaken to exercise the investment rights of the Fund assets, including but not limited to the selection of brokers and investment objects. base
The Fund Manager is responsible for selecting the securities operating institutions that act as agents for the purchase and sale of the Fund's securities and using their trading units as the Fund's trading orders
Yuan. The Fund Manager shall notify the Fund Manager in advance of the signing of the transaction unit lease agreement with the selected securities operating institution
The Fund Custodian shall timely deliver the transaction unit rental agreement and relevant documents to the Fund Custodian to ensure that the Fund Custodian applies for acceptance
Receive settlement data. The Fund Manager shall, in accordance with relevant regulations, list the selected securities operations in the interim report and annual report of the Fund
Relevant information of the institution, the trading volume of securities purchased and sold by the fund through the securities operating institution, the trading volume of repurchase and the commissions paid, etc
Disclose such information and basic information such as fund transaction unit number, commission rate and changes in a timely manner in writing
Notify the Fund Custodian in writing.
2. The Fund Manager is responsible for selecting the futures brokerage institutions that act as agents for the futures trading of the Fund and signing futures brokerage contracts with them,
Other matters shall be carried out in accordance with the relevant provisions of laws and regulations and the Fund Contract. If there are no clear provisions, you can refer to the relevant securities purchase
The rules selected by the selling and securities brokerage institutions shall be implemented.
(1) The futures company selected by the fund manager shall be responsible for the clearing and delivery of the futures trading of entrusted assets.
(2) The Fund Manager shall instruct the futures company selected by it to send to the Fund Custodian and the Fund Manager through SZSE
Transaction settlement report in the format of the Market Monitoring Center showing the transaction results of this product and the display made with reference to the format of the Market Monitoring Center
Transaction settlement report on the equity status of the futures margin account of this product. With the consent of the Fund Custodian, it can be transmitted by email
The delivery method is used to transmit the transaction settlement data of the day as an emergency backup method.
Under normal circumstances, the transaction settlement report of the day should be sent before 17:00 on the trading day. Due to the exchange
In case of delay in sending data, the Fund Manager shall notify the Fund Custodian in time and notify the futures company immediately after recovery
Send it to the fund custodian and confirm the data reception status by telephone. If the futures data sent by the futures company is incorrect, re send the
If the fund manager or the fund custodian sends the new futures data, the fund manager shall instruct the futures company to notify immediately after sending the new futures data
The Fund Custodian shall confirm the status of data reception by telephone.
(3) The fund manager shall oblige the futures company it selects to be responsible for the accuracy, integrity and authenticity of the data sent.
Due to the inconsistency between the items recorded in the transaction settlement report and the actual transaction results and equity, the valuation calculation of this product is wrong
The Fund Manager shall be responsible for recovering from the data sender, and the Fund Custodian shall not be liable.
（2） Settlement arrangements after the fund invests in securities
The responsibilities of the Fund Manager and the Fund Custodian in terms of clearing and settlement of fund assets on the market and related risk control shall be in accordance with the Appendix
Implementation of the Provisions on Securities Fund Settlement of Custodian Banks.
（3） Basic Provisions on Fund Purchase, Redemption and Conversion
1. The Fund Manager or its entrusted registration institution shall be responsible for the confirmation and liquidation of subscription, redemption and conversion of fund units.
2. The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day to the Fund Custodian.
The Fund Manager shall be responsible for the authenticity and accuracy of the data transmitted for subscription, redemption and conversion of open-ended funds. Fund Custody
People shall timely check the receipt of subscription and transferred funds and timely transfer the redemption and transferred funds according to the instructions of the fund manager.
3. The Fund Manager shall ensure that the registration authority of the Fund (or entrusted by the Fund Manager) will work at 15:00 every working day
Send the aforesaid relevant data of the previous opening day to the Fund Custodian in advance, and ensure the accuracy and completeness of the relevant data.
4. The registration authority shall send relevant data through the system established with the fund manager, and the fund manager shall send the data to the fund trust
The administrator sends relevant data. If the system cannot send the data normally due to various reasons, both parties can solve the problem through negotiation. fund
The data sent by the Manager to the Fund Custodian shall be kept by both parties in accordance with relevant regulations.
5. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall ensure that the above related matters are carried out on time
that 's ok. Otherwise, the fund manager shall bear corresponding responsibilities.
6. Establishment and management of special clearing account
In order to meet the needs of subscription, redemption, conversion and dividend capital remittance, the fund manager shall open a special account for capital clearing
Account, which is managed by the registration authority.
7. The fund manager shall be responsible for determining the accounts receivable generated in the process of fund purchase and conversion with relevant parties
The Fund Custodian shall notify the Fund Custodian of the account date. If the receivables do not reach the Fund's capital account on the account date, the Fund Custodian shall notify the Fund Custodian in a timely manner
If the Fund Manager takes measures to collect funds, which causes losses to the Fund, the Fund Manager shall be responsible for claiming compensation from the relevant parties
Fund losses.
8. Redemption and conversion fund transfer regulations
When transferring the redemption money and the transfer out money, if the fund fund account has sufficient funds, the fund custodian shall transfer them on time;
The Fund Custodian will not be responsible for the failure of the Fund Custodian to transfer funds on time due to insufficient funds in the Fund's capital account,
If it is caused by the Fund Manager, the responsibility shall be borne by the Fund Manager, and the Fund Custodian shall not assume the obligation of advance.
9. Capital Instruction
In addition to the payment, redemption and distribution related to investment, the subscription amount shall reach the fund account and be reconciled by both parties according to the agreed method
When transferring bonus funds, the Fund Manager shall issue instructions to the Fund Custodian.
The format, content, sending, receiving and confirmation methods of capital orders are the same as those of investment orders.
（4） Net fund settlement
The fund settlement between the fund account and the "fund clearing account" follows the principle of "full settlement and net settlement",
The net receivable amount or net payable amount of the fund account shall be determined according to the difference between the receivable fund and the payable fund of the fund account every day, so as to
The Fund Custodian shall provide the Fund Manager with appropriate means to facilitate the Fund Manager to inquire and account for the fixed amount of capital delivery
Business management. When there is a net receivable amount in the fund account, the fund manager shall clear the account from the fund before 15:00 on the settlement date
Transfer to the fund account, and the fund manager will query the results through the method provided by the fund custodian; When there is a capital account net receivable
When paying the amount, the Fund Custodian shall timely transfer the net payable amount of the escrow account to the Fund on the settlement date in accordance with the transfer instructions of the Fund Manager
For the clearing account, the Fund Manager shall inquire the results through the method provided by the Fund Custodian.
When there is a net payable amount in the fund account, if the fund bank account has sufficient funds, the fund custodian shall transfer them on time;
The Fund Custodian shall notify the Fund in a timely manner if the Fund Custodian cannot transfer funds on time due to insufficient funds in the Fund's capital account
The Fund Manager and the Fund Custodian shall not be liable; If it is caused by the fund manager, the responsibility shall be borne by the fund manager,
The Fund Custodian shall not assume the obligation of advance.
（5） Fund cash dividends
1. The Fund Manager shall notify the Fund Custodian of the dividend plan, which shall be approved by both parties in accordance with the relevant provisions of the Information Disclosure Measures
It is required to publish on the media specified by the CSRC.
2. After the fund custodian and the fund manager conduct accounting treatment and check on the fund dividend, the fund manager shall place the fund in custody
The Fund Custodian shall promptly transfer the dividend to the fund clearing account in accordance with the transfer instructions of cash dividends sent by the Fund Custodian.
3. When giving instructions, the Fund Manager shall allow the Fund Custodian the necessary time to transfer funds.
8、 Calculation, valuation and accounting of the net asset value of the Fund
（1） Time and procedure for calculation, review and completion of net asset value of the Fund
1. Net value of fund assets
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
The net value of various fund units is calculated by dividing the net value of such fund assets by such fund units on that day after the market is closed on each working day
The balance is calculated to the nearest 0.0001 yuan, and the fifth decimal place is rounded off. The resulting error is included in the fund
Production. The Fund Manager may establish an emergency adjustment mechanism for the accuracy of net worth in the case of large redemption. Laws and regulations, regulatory agencies
If the fund contract provides otherwise, such provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund and the net value of various fund units on each working day, which shall be reviewed by the Fund Custodian,
Announce as required.
2. Review procedure
The Fund Manager shall send the net value of the Fund's assets and the net value of various fund units after valuing the Fund's assets every working day
The Fund Custodian shall be announced by the Fund Manager after the Fund Custodian has checked and found no error.
3. According to relevant laws and regulations, the Fund Manager shall be responsible for the calculation of the net asset value of the Fund and the accounting of the Fund. book
The fund manager is the main responsible party of the fund accounting, and the fund custodian is responsible for the review
If no agreement can be reached on relevant accounting issues after full discussion on the basis of equality among relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund as agreed.
（2） Valuation of Fund Assets
The Fund Manager and the Fund Custodian shall conduct valuation in accordance with the provisions of the Fund Contract.
Whereas the Fund is allowed to invest in open-ended funds managed by the Fund Manager, the Fund Manager and the Fund Custodian shall
The disclosed share net value information shall be evaluated. If the net value of shares disclosed by the fund manager is wrong or cannot be paid at the agreed time
The manager shall be responsible for the valuation error caused by the net exposure value.
（3） Treatment method for net value error of fund units
The Fund Manager and the Fund Custodian shall handle the error of unit net value in accordance with the provisions of the Fund Contract.
（4） Fund accounting system
The accounting system stipulated by relevant national departments shall be followed.
（5） Establishment of fund account book
After the fund contract comes into effect, the fund manager and the fund custodian shall follow the same bookkeeping method and accounting department agreed by both parties
Principle of management, independently set up, record and keep the full set of account books of the Fund, and regularly conduct
Check and supervise each other to ensure the safety of fund assets.
（6） Preparation and review of fund financial statements and reports
1. Preparation of financial statements
The financial statements of the Fund shall be prepared by the Fund Manager and reviewed by the Fund Custodian.
2. Report review
After receiving the financial statements of the Fund prepared by the Fund Manager, the Fund Custodian shall independently review them. In case of discrepancy,
The Fund Manager shall be notified in a timely manner to jointly find out the reasons and make adjustments until the data of both parties are completely consistent.
3. Preparation and review schedule of financial statements
The Fund Manager and the Fund Custodian shall complete the preparation and review of the monthly statements within 5 working days after the end of each month;
Complete the preparation and review of the quarterly report of the Fund within 15 working days from the end of each quarter; From the end of the first half of the year
Complete the preparation and review of the Fund's interim report within 2 months; Completing the annual report of the Fund within three months from the end of each year
Preparation and review. When the Fund Custodian finds discrepancies in the statements of both parties during the review process, the Fund Manager and the Fund Custodian
The administrator shall jointly find out the cause and make adjustment, which shall be subject to relevant national regulations. Financial accounting report of the Fund's annual report
It shall be audited by an accounting firm in accordance with the Securities Law of the People's Republic of China. Less than two fund contracts come into force
The fund manager may not prepare the quarterly report, interim report or annual report of the current period.
（7） When necessary, the Fund Manager shall provide the Fund Custodian with the base number of the Fund performance benchmark quarterly
Prepare the results according to and.
9、 Fund income distribution
The Fund Manager and the Fund Custodian shall handle the distribution of fund income in accordance with the Fund Contract.
10、 Fund information disclosure
（1） Confidentiality obligations
The Fund Custodian and the Fund Manager shall disclose information in accordance with laws and regulations and the relevant provisions of the Fund Agreement, and plan to publicly disclose
The disclosed information shall be kept confidential before public disclosure. In addition to the Fund Law, the Fund Contract, the Information Disclosure Measures and other
In addition to the information disclosure required by the relevant regulations, the Fund Manager and the Fund Custodian shall provide the information generated in the operation of the Fund and the information obtained from the other party
The business information of shall be kept confidential. However, the following circumstances shall not be deemed as breach of confidentiality obligations by the Fund Manager or the Fund Custodian:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the judgment or ruling of the court, the arbitral award or the supervision of the CSRC
Information disclosure or disclosure made by the order or decision of the regulatory authority.
（2） Contents of information disclosure
The information disclosure of the fund mainly includes the fund prospectus, fund contract, custody agreement, and fund product information
Main points, announcement on the sale of fund units, announcement on the effectiveness of the fund contract, information on the net value of the fund, subscription of fund units, redemption price
Regular reports (including annual reports, interim reports and quarterly reports of the Fund), interim reports, clarification announcements
Resolutions of the general meeting of gold share holders, liquidation reports, information disclosure on participation in treasury bond futures trading, and fund investment in asset-backed securities
Information disclosure, information disclosure during the implementation of the side pocket mechanism, and other information specified by the CSRC. The annual report of the Fund shall
It can be disclosed only after being audited by an accounting firm conforming to the Securities Law of the People's Republic of China.
Where the Fund participates in treasury bond futures trading, the Fund Manager shall regularly report quarterly reports, interim reports, annual reports, etc
Report and prospectus (update) and other documents disclose the trading of treasury bond futures, including trading policies, positions, profits and losses
Situation, risk indicators, etc., and fully reveal the impact of treasury bond futures trading on the overall risk of the fund and whether it conforms to the established delivery
Easy policies and transaction objectives.
The Fund Manager shall disclose the total amount of asset-backed securities and asset-backed securities held by it in the Fund's annual report and interim report
The proportion of the market value of securities in the net assets of the Fund and the details of all asset-backed securities during the reporting period. The Fund Manager shall
The report discloses the total amount of asset-backed securities held, the proportion of the market value of asset-backed securities in the net assets of the fund and the reporting period
Details of the top 10 asset-backed securities ranked by the proportion of market value in the net assets of the fund.
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports as well as the Prospectus (update)
The documents disclose the situation of the Fund's investment in Hong Kong stocks. Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail
Definitely.
The information disclosure of the Fund's investment in depositary receipts shall be subject to the domestic listed stocks.
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports, as well as the Prospectus (update) and other documents
Disclose the following relevant information of the fund held in the document and disclose relevant risks, including (1) investment policy, position, profit and loss
Status, net value disclosure time, etc. (2) Costs incurred from trading and holding funds, including subscription fees, redemption fees, sales service fees
For management fees, trusteeship fees, etc., the prospectus shall list the calculation method and give examples. (3) Funds held by the Fund
Major impact events, such as conversion of operation mode, merger with other funds, termination of fund contracts and holding of fund unit holdings
There is a general meeting. (4) The Fund's investment in funds managed by the Fund Manager and its related parties.
（3） Responsibilities and information disclosure procedures of the Fund Custodian and the Fund Manager in information disclosure
1. Responsibilities
The Fund Custodian and the Fund Manager shall be honest in the process of information disclosure with the purpose of protecting the interests of fund share holders
Keep your promises and keep your secrets. The Fund Manager is responsible for handling information disclosure matters related to the Fund
And the information disclosure documents that need to be reviewed by the Fund Custodian as stipulated in the Fund Agreement shall be reviewed by the Fund Custodian
The Fund Manager shall make the announcement.
The Fund Manager and the Fund Custodian shall actively cooperate with each other and supervise each other to ensure that their performance is disclosed in a statutory manner and within a time limit
Obligations.
The fund manager shall, within the time limit prescribed by the CSRC, pass the fund information to be disclosed through the CSRC's regulations
National newspapers and internet websites. Information that should be publicly disclosed by the Fund Custodian according to laws and regulations, based on
The gold custodian shall make public disclosure in the specified media.
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related information when:
(1) Force majeure;
(2) Valuation suspension occurs;
(3) Other circumstances stipulated by laws and regulations, recognized by the CSRC or the fund contract.
2. Procedure
Information disclosure documents that are subject to review by the Fund Custodian according to relevant regulations shall be drafted by the Fund Manager and reviewed by the Fund Custodian
After review, the Fund Manager shall make an announcement. In case of any event required to be disclosed in the fund contract, it shall be announced in accordance with the provisions of the fund contract.
3. Storage of information text
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall, in accordance with the relevant laws and regulations
The information shall be kept at their respective residences for public reference and reproduction. The Fund Manager and the Fund Custodian shall ensure that the content of the text is consistent with
The content of the announcement is completely consistent.
11、 Fund expenses
（1） The withdrawal method, withdrawal standard and payment method of fund custody fee are as follows:
The part of the Fund invested in the publicly offered securities investment fund under the custody of the Fund Custodian will not be charged with custody fees.
The custody fee of the Fund shall be deducted from the net value of the Fund assets of the previous day by other funds in the Fund assets under the custody of the Fund Custodian
The annual fee rate of 0.12% of the remaining part after the net asset value corresponding to the share (if it is negative, E is taken as 0) is accrued. trusteeship
The cost is calculated as follows:
H ＝ E × 0.12% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net value of the fund assets on the previous day less other funds held by the Fund in the Fund's assets under the custody of the Fund Custodian
The remaining part of the net asset value corresponding to the gold share; If it is a negative number, E is taken as 0
The fund custody fee is calculated daily, accumulated to the end of each month day by day, and paid monthly. It is entrusted by the fund manager and the fund
After verification, the Fund Custodian shall, within the first 5 working days of the next month
One time withdrawal from fund assets. In case of legal holidays, public holidays or force majeure, the payment date shall be postponed.
（2） Other fund expenses shall be withdrawn and paid in accordance with the Fund Contract.
12、 Custody of the Register of Fund Unitholders
The register of fund unit holders shall at least include the name, certificate number and fund units held by the fund unit holders.
The register of fund share holders shall be prepared and kept by the fund registration authority in accordance with the instructions of the fund manager, and the fund manager and the fund
The custodian shall keep the register of fund unit holders separately for a period not less than the minimum period prescribed by laws and regulations. If not
If it is well kept, it shall be liable according to relevant laws and regulations.
Before the Fund Custodian requests or prepares the interim report and annual report, the Fund Manager shall send the relevant information to the Fund Custodian
The manager shall not refuse or delay the provision without reason, and shall ensure its authenticity, accuracy and integrity. Fund Manager and Fund
The custodian shall not use the register of fund unit holders under its custody for other purposes than fund custody business, and shall comply with the requirements of
Confidentiality obligations.
13、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager shall keep the records, account books, statements and other relevant materials of the fund property management business activities. Gikinto
The custodian shall keep records, account books, statements and other relevant materials of the fund custody business activities. Fund Manager and Fund Custody
Everyone should keep it within the prescribed time limit. The storage period shall not be less than the minimum period specified by laws and regulations.
（2） Establishment of contract archives
1. After the Fund Manager signs a major contract, it shall promptly deliver the original of the contract to the Fund Custodian.
2. The Fund Manager shall promptly fax the contracts and agreements related to the Fund's accounting treatment and fund transfer to the Fund Custodian
Manage people.
（3） Change and assistance
If the Fund Manager/Fund Custodian changes, the unchanged party is obliged to assist the successor after the change to accept the corresponding
File.
（4） The Fund Manager and the Fund Custodian shall keep the original vouchers, accounting vouchers, fund account books
Transaction records and important contracts shall be kept confidential for no less than the minimum period specified by laws and regulations.
14、 Replacement of Fund Manager and Fund Custodian
（1） After the termination of the duties of the fund manager, it shall still properly keep the fund management business information and ensure that it will not make any
Any act that causes damage to the interests of fund holders, and timely handle fund management with the new fund manager or temporary fund manager
Business handover procedures. The Fund Custodian shall actively cooperate and check with the new Fund Manager or temporary Fund Manager
Total Fund Assets and Net Fund Assets.
（2） After the termination of the duties of the fund custodian, it shall still properly keep the fund assets and the fund custody business information and ensure that it will not
Commit any act that may cause damage to the interests of fund share holders, and handle it with the new fund custodian or temporary fund custodian in a timely manner
To handle the transfer procedures of fund assets and fund custody business. The Fund Manager shall actively cooperate with the new Fund Custodian
Or the temporary fund custodian checks the total value of the fund assets and the net value of the fund assets.
（3） For other matters, please refer to the relevant provisions of the fund contract.
15、 Prohibited acts
The behaviors prohibited by the parties to this agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian mix their own property or other people's property with the Fund property to engage in securities investment
Capital.
（2） The Fund Manager treats the different fund assets under its management unfairly, and the Fund Custodian treats its trust unfairly
Different fund assets under management.
（3） The Fund Manager and the Fund Custodian use the Fund assets to seek benefits for a third party other than the Fund Unitholders.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders gains or bear losses in violation of regulations.
（5） The Fund Manager and the Fund Custodian disclose to others any failure to comply with laws and regulations during the operation and management of the Fund
Information disclosed publicly in a prescribed manner.
（6） The Fund Manager issues investment instructions and payment instructions to the Fund Custodian without sufficient funds, or
Illegally issue instructions to the fund custodian.
（7） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior managers and other practitioners
Personnel take part-time jobs with each other.
（8） The Fund Custodian privately uses or disposes of the Fund assets, according to the legal instructions of the Fund Manager, the Fund Agreement or
Except for the disposition stipulated in the custody agreement.
（9） Other acts prohibited by laws, regulations and the Fund Contract, and in accordance with the relevant provisions of laws and administrative regulations
Other acts prohibited by the CSRC for fund managers and fund custodians.
16、 Change and Termination of Custody Agreement and Liquidation of Fund Assets
（1） Change procedure of custody agreement
The parties to this agreement may amend the agreement upon consensus. The contents of the revised new agreement shall not be consistent with
There is any conflict between the provisions of the Fund Agreement. Changes to the Fund Custody Agreement shall be reported to the CSRC for filing.
（2） Termination of Fund Custody Agreement
1. The Fund Contract is terminated;
2. The Fund Custodian is unable to continue to serve as the Fund Custodian due to dissolution, bankruptcy, cancellation and other reasons
There is no other appropriate custodian institution to undertake its original rights and obligations within the month;
3. The Fund Manager is unable to continue to serve as the Fund Manager due to dissolution, bankruptcy, cancellation and other reasons
No other appropriate fund management company has undertaken its original rights and obligations within the month;
4. Other termination events specified by laws and regulations or the Fund Contract occur.
（3） Liquidation of fund assets
The Fund Manager and the Fund Custodian shall handle the liquidation of the Fund assets in accordance with the provisions of the Fund Contract.
17、 Liability for breach of contract
（1） If the Fund Manager or the Fund Custodian fails to perform this Agreement or fails to perform this Agreement in accordance with the agreement, they shall be liable for the breach
Liability.
（2） The Fund Manager and the Fund Custodian violate the Fund Law and the Fund Contract in the process of performing their respective duties
As agreed in this Custody Agreement, if any damage is caused to the Fund property or the Fund Unitholders, they shall
To bear the liability for compensation; If joint acts cause damage to fund assets or fund unit holders, they shall
The degree of fault shall bear corresponding responsibilities for the direct losses caused thereby.
（3） If one party breaches the contract and causes losses to the other party or the fund property, it shall compensate for the direct losses
The other party has the right and obligation to claim compensation from the defaulting party on behalf of the fund. However, the parties may
Disclaimer:
1. The Fund Manager and the Fund Custodian shall act or refrain from acting in accordance with the then effective laws and regulations or the provisions of the CSRC
And losses caused by it;
2. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss, etc;
3. Computer system failure, network failure
Loss caused by communication failure, power failure, computer virus attack and other accidents.
4. Force majeure;
（4） If one party breaches the contract, the other party has the obligation to take necessary measures in a timely manner and try its best to
Prevent the expansion of losses.
（5） If the breach of contract has occurred, but this Custodian Agreement can continue to be performed, the fund shares shall be protected to the maximum extent
The Fund Manager and the Fund Custodian shall continue to perform this Agreement on the premise of the interests of the holders. If the fund manager or fund
If the custodian is sued for performing this Agreement, the other party shall provide reasonable and necessary support.
（6） The Fund Manager and the Fund Custodian make business errors due to factors beyond their control
Where the Fund Custodian has taken necessary, appropriate and reasonable measures to carry out inspection, but fails to find any error
The Fund Manager and the Fund Custodian shall be exempted from the compensation liability for the loss of the Fund property or investors. But fund managers and funds
The custodian shall actively take necessary measures to mitigate or eliminate the impact caused thereby.
18、 Dispute resolution
The parties agree that all disputes arising from or in connection with this Agreement, if not resolved through friendly negotiation
Either party has the right to submit the dispute to the China International Economic and Trade Arbitration Commission for arbitration in accordance with the Commission's then effective arbitration
Rules for arbitration. The place of arbitration shall be Beijing. The arbitral award is final and binding on all parties, unless
The arbitration fee shall be borne by the losing party as otherwise stipulated in the award.
During the dispute settlement period, both parties shall abide by the responsibilities of the Fund Manager and the Fund Custodian, and continue to be faithful, diligent
Fulfill the obligations specified in the Fund Agreement and this Custodian Agreement and safeguard the legitimate rights and interests of the Fund Unitholders.
This agreement is governed by the laws of the People's Republic of China (for the purpose of this agreement, excluding the laws of Taiwan, Hong Kong and Macao)
Jurisdiction and interpretation.
19、 Effect of Custody Agreement
Both parties agree on the effectiveness of the custody agreement as follows:
（1） The draft custody agreement submitted by the fund manager when applying to the CSRC for the sale of fund units shall be subject to custody
Both parties to the agreement shall affix official seal or special seal for contract, and the legal representatives or authorized representatives of both parties shall sign or seal
Both parties shall revise and formally sign the custody agreement according to the opinions of the CSRC. The custody agreement is registered with the CSRC
It is an official text.
（2） The Custodian Agreement shall be established as of the date of establishment of the Fund Contract and shall come into force as of the date of entry into force of the Fund Contract. Of the Escrow Agreement
The period of validity is from the effective date to the date when the liquidation results of the fund assets are reported to the CSRC for filing and announced.
（3） The trusteeship agreement shall have the same legal binding force on the parties to the trusteeship agreement as of the effective date.
（4） This agreement is made in triplicate, with each party holding one copy and the fund manager reporting one copy to the regulatory authority as required,
Each copy has the same legal effect.
20、 Other matters
If the competent judicial authority freezes the fund units of the fund unit holders according to law, the fund manager shall cooperate,
Undertake the obligation of judicial assistance.
Unless explicitly defined in this Agreement, the definitions of terms in this Agreement shall apply to the provisions of the Fund Contract. Matters not covered in this agreement shall be
The parties shall negotiate in accordance with the fund contract and relevant laws and regulations.
Annexes to this Agreement form an integral part of this Agreement.
21、 Signing of Escrow Agreement
Signature, seal, place and date of signing of legal representatives or authorized representatives of both parties
Appendix: Provisions on Securities Fund Settlement of Custodian Bank
The asset custodian and asset manager shall ensure the safe and efficient operation of the securities trading capital settlement business and effectively prevent settlement
Risk, standardize the settlement behavior, and further clarify the asset custodian and its agent settlement customers in the securities trading capital settlement business
According to the Securities Law of the People's Republic of China, the Securities Investment Fund Law of the People's Republic of China and the Securities Registration and Settlement
Administrative Measures for Settlement, Administrative Rules for Clearing Participants of China Securities Depository and Clearing Co., Ltd. and other relevant laws, regulations and departments
The asset manager and asset custodian will participate in the registration and settlement of China Securities Depository and Clearing Co., Ltd
(hereinafter referred to as "clearing companies")
Article 1 The asset custodian is approved by the CSRC, the CBRC and other relevant departments to be qualified for securities investment
Funds, insurance assets, enterprise annuity funds and other commercial banks with custody business qualifications related to settlement business of clearing companies
that 's ok; The asset manager is a securities company, fund management company, insurance company established with the approval of the CSRC and the CBRC
Companies, insurance asset management companies and other investment management institutions.
Article 2 The assets managed by the asset manager and entrusted by the asset custodian shall meet the multilateral requirements in the stock exchange market
Securities transactions required for net settlement, which adopt custodian bank settlement mode (including public funds, special account, enterprise annuity
Social security funds, etc.), the asset custodian and the clearing company shall handle the securities capital settlement business; The asset custodian is responsible for participating in the settlement
For the company's multilateral netting business, the asset manager shall perform the settlement obligations on time according to the liquidation results provided by the asset custodian
And bear the final settlement responsibility to the asset custodian.
Article 3 The asset manager and the asset custodian agree to abide by the business rules formulated by the clearing company.
Article 4 Under the multilateral netting method, securities and capital settlement shall follow the principle of hierarchical settlement. Asset Custodian Responsible Office
Manage the primary clearing and settlement of securities and funds with the clearing company; At the same time, it is responsible for handling securities and funds with the asset manager
Secondary clearing and settlement.
Article 5 The asset custodian shall, in accordance with the clearing results on the transaction clearing day (T day) and the clearing business rules, cooperate with the clearing company
Complete the final irrevocable settlement of securities and funds; At the same time, within the specified time limit, complete the irrevocable work with the asset manager
The settlement of securities and funds.
Article 6 The asset manager shall follow the principle that whoever is at fault shall compensate for the breach of asset delivery management.
（1） The actual loss due to the delivery default caused by the asset manager due to the error in the position estimation of the asset manager, etc
Undertaken by the Manager.
（2） The actual loss of settlement default caused by the asset custodian due to the asset custodian's operational errors and other reasons shall be managed by the asset custodian
People bear.
（3） The settlement default loss caused by the fault of the third party shall protect the asset manager to manage the assets under custody to the greatest extent
The principle of the legitimate rights and interests of the holders shall be settled by both parties through consultation, and both parties shall jointly assume the responsibility of recovering from the third party.
Except in accordance with relevant laws and regulations and this provision, the asset custodian shall not use the asset manager to manage the custody assets without authorization
To engage in securities trading. The asset custodian uses the securities and funds of the asset manager to manage the assets under custody without authorization
If losses are caused, it shall be liable for compensation for the assets managed by the asset manager and the actual losses suffered by the asset manager. assets
If the custodian obtains profits by using the securities and funds of the asset manager to manage the assets under custody without authorization, all the profits thus obtained
It belongs to the assets under custody, and the asset manager does not bear any related expenses.
If the asset manager is at fault and uses its own funds or uses risk reserves to advance funds for settlement in accordance with the provisions of the CSRC
In case of overdraft, the income arising therefrom shall be attributed to the assets under custody, and the actual loss arising therefrom shall be borne by the asset manager.
Article 7 The asset custodian shall, in accordance with the provisions of the clearing company, apply to the clearing company for the opening of the asset in its own name
Relevant settlement reserve accounts, securities settlement accounts and other settlement accounts that should be opened according to the relevant business regulations of the clearing company,
It is used to handle the securities trading of the assets under the custody of the asset custodian in the stock exchange market and the capital and securities trading not involved in the trading
Receive business.
Article 8 According to the business rules of the clearing company, the asset custodian collects, deposits and settles the assets managed by the asset manager according to law
The company's minimum settlement reserve, settlement margin, settlement margin and other guarantee funds, the amount of such funds collected and
The amount adjustment shall be carried out in accordance with the rules of the clearing company and other written agreements or agreements between the asset manager and the asset custodian.
If the end of day balance of the asset manager managed asset settlement reserve account is lower than its minimum settlement reserve limit, the asset manager
The manager shall make up the amount within the specified time.
Article 9 The asset custodian receives the settlement reserve (including the minimum
After the interest of funds such as reserves, settlement deposits, etc., it shall be paid to the asset manager on the day of interest collection.
Article 10 The asset custodian shall, on the transaction clearing day (T day), calculate the amount of the
Capital clearing data, securities clearing data and non trading clearing data are used to calculate the asset funds managed by the asset manager
And the net amount receivable or payable of securities, forming the trading clearing result of the asset manager on that day. The asset custodian shall be timely, efficient
Safely complete the clearing and settlement of the securities trading funds of the assets under custody, and the settlement company has returned the settlement funds of the assets under custody
It shall be recorded into the bank account of each entrusted asset in time.
Article 11 After completing the liquidation of the assets under custody, the asset custodian shall promptly contact with
Communication with asset manager.
The asset custodian conducts transactions on the T day of the asset manager calculated according to the data of the exchange or the clearing company on the settlement date (T+1 day)
The liquidation results shall complete the delivery and receipt of the asset funds and securities managed by the asset manager.
Article 12 If the asset manager has any objection to the liquidation data provided by the asset custodian, it shall timely communicate with the asset custodian
However, the asset manager shall not refuse to perform or delay the performance of the delivery obligation on that day. It is verified by both parties that it is an asset trust
If the custodian makes liquidation errors, the asset custodian shall correct them and compensate for the actual losses of the assets under custody and the asset manager; If verified,
If it is a clearing error of the clearing company, the asset manager shall cooperate with the asset custodian to communicate with the clearing company. If the asset manager
Conducting transactions of non custodial assets on the custody transaction unit and other matters, resulting in incomplete and incorrect clearing data received by the asset custodian,
The asset manager shall be responsible for any liquidation error.
Article 13 In order to ensure the normal settlement between the asset custodian and the clearing company, all assets under custody of the asset custodian shall not be affected
Under normal circumstances, at the end of the trading day (T day), the asset manager shall ensure the fund account of each managed asset
The account has enough funds to complete the capital settlement with the clearing company on the settlement date (T+1).
Article 14 If the balance of the asset fund account managed by the asset manager on Day T cannot meet the delivery requirements on Day T+1
The administrator shall make up the amount according to the time point agreed in the Custody Agreement or the Operating Memorandum. If there is no agreement, the administrator shall make up the amount on T+1
12: Make up the amount before 00 to ensure that the asset custodian completes the clearing and settlement in a timely manner. For innovative products, the time point for making up the amount can
Agreed in the custody agreement or other documents.
Article 15 If the asset manager fails to make up the overdraft amount within the time limit agreed in Article 14 of these Provisions, his act constitutes asset management
In case of default in the capital delivery of the manager, the asset custodian shall deal with it in the following ways according to law, and the asset manager shall cooperate:
（1） The asset manager shall designate the trust in writing to the asset custodian no later than two hours before the time point specified by the clearing company
Securities in the asset management securities account equivalent to 120% of the value of the overdraft amount (calculated according to the closing price of the previous trading day) shall be taken as
Receive performance security. If the asset manager fails to designate on time, the asset custodian shall determine relevant securities as delivery performance by itself according to law
And notify the asset manager in writing in a timely manner. Where the asset manager fails to appoint the asset custodian in time or the appointment is wrong,
The relevant responsibilities shall be borne by the asset manager.
The asset custodian can apply to the clearing company, and the clearing company will help to freeze the relevant delivery performance collateral
The manager shall issue a written agreement to the asset custodian to allow the clearing company to assist the asset custodian to freeze the corresponding securities in its securities account
Documents (for the enterprise annuity fund and other assets under the custody of the asset custodian, asset manager, client or trustee
The written documents issued by the asset manager to the asset custodian shall be confirmed by the asset manager's client or trustee. Trustor or trustee
If there are relevant contents in the contract, operation memorandum and other legal documents signed by the person, the asset custodian and the asset manager, it shall be deemed that
Recognize).
（2） If the asset manager makes up the corresponding funds before the time specified by the clearing company on T+2 day, the asset custodian may settle with
The company applies to unfreeze the relevant securities; Otherwise, the asset manager shall cooperate with the asset custodian to deal with the frozen securities
If the asset manager does not cooperate, the asset custodian shall dispose of the frozen securities according to law, but must notify the asset manager in writing in a timely manner
Manage people.
（3） Funds generated from securities disposal, if the relevant transactions have not yet been settled, should be used to complete the settlement first
Some asset managers make up in time.
Article 16 The asset manager knows and confirms that the bonds used for financing repurchase in the assets managed by the asset manager will be used as
Pledged bonds of the relevant settlement reserve account of the asset custodian to repay the due purchase proceeds of financing repo, if the asset manager repurchases bonds
In case of breach of settlement, the clearing company shall dispose the pledged bonds according to law, but shall notify the asset manager in writing in a timely manner. The asset manager shall
The disposal of pledged bonds by the clearing company after the default of bond repo settlement and the liabilities of the asset manager's trustor or trustee
The entrusted bond investment risk shall be notified to the asset manager in writing in advance, and shall be
The trustor signs for confirmation. The contract, operation memorandum and other laws signed by the trustor or trustee with the asset custodian and asset manager
Relevant contents in the document shall be deemed as confirmation.
Article 17 Due to the reason of the asset manager, the assets under its management are oversold or the repurchased pledged bonds are sold
In case of any breach of securities delivery and receipt, the asset custodian shall not deliver the corresponding receivable funds temporarily, and shall, according to the law
The standard of liquidated damages shall be collected from the asset manager. The asset manager shall supplement relevant securities and
Equity. If the asset manager fails to make up, the asset custodian shall handle it according to the relevant business rules of the clearing company according to law, thus
The actual loss incurred shall be borne by the asset manager, and the income shall belong to the assets under custody.
Article 18 In case of default of capital delivery due to the asset manager, the asset custodian shall adopt the following risk management according to law
Measures, but the asset manager must be notified in writing in advance:
（1） Calculate and collect the interest and liquidated damages of the default fund according to the standards of the clearing company;
（2） Increase the minimum provision or settlement margin ratio of assets managed by the asset manager according to the standards of the clearing company;
（3） Report to regulatory authorities and clearing companies;
（4） Declare the suspension of the relevant settlement business of the asset manager to the clearing company in accordance with the business rules of the clearing company;
（5） Other measures required by regulatory authorities or clearing companies.
Article 19 If the asset custodian defaults against the clearing company due to the asset manager, the clearing company
The consequences arising from the implementation of relevant risk management measures shall be borne by the asset manager, which causes the asset manager to manage the assets and
The asset manager shall be responsible for compensating for the actual losses of the asset custodian.
If the receivable funds of the asset manager are not paid to the asset manager or entrusted in time due to the asset custodian
Where a securities registration and settlement institution transfers the securities receivable of the asset manager to the securities account of the asset manager, the asset custodian shall
The asset manager shall bear the liability for breach of contract; In case of breach of settlement to the clearing company due to the asset custodian, the corresponding consequences shall be borne by
Undertaken by the property custodian. The asset custodian shall be responsible for compensating for the actual losses of the assets under custody and the asset manager caused by the above.
Article 20 If any party fails to perform its obligations as agreed herein, it shall be deemed as a breach of contract, unless otherwise provided by law
Unless otherwise stipulated in the laws and regulations or the business rules of the clearing company, or otherwise stipulated in this provision, the defaulting party shall bear the responsibility for
Party A and the actual losses caused by the entrusted assets. If both parties have breached the contract, both parties shall bear their own responsibilities according to the actual situation
Liability for breach of contract.
Article 21 If one or both parties of the agreement cannot perform this provision due to force majeure
Affects partial or total exemption from liability. Force majeure means that the asset custodian or asset manager cannot foresee, avoid or
Objective conditions that can be overcome. If either party is unable to perform this provision due to force majeure, it shall notify the other party in time and within a reasonable period
It shall provide proof of being affected by force majeure, and take appropriate measures to prevent the expansion of losses.
Article 22 These Provisions are applicable to all businesses now and in the future managed by the asset manager and entrusted by the asset custodian
varieties.
Article 23 During the effective period of the Provisions, if the provisions are changed due to changes in laws and regulations and the business rules of the clearing company
In case of any inconsistency between the contents of the current effective laws, regulations and business rules, the current effective laws, regulations and business rules shall prevail
The provisions of the business rules and the above agreement shall prevail, and both parties shall comply with the latest laws and regulations, business rules and the above agreement
It is proposed to make corresponding amendments and supplements to these Provisions.
(This page is the signature page of the Custody Agreement of CCB Kaiyuan Jinxiang 6-month Holding Period Bond Sponsored Securities Investment Fund, without the original)
Text)
Fund manager: CCB Fund Management Co., Ltd. (seal)
Legal representative or authorized representative:
Fund Custodian: China Merchants Bank Co., Ltd. (seal)
Legal representative or authorized representative:
Signing date:
Signed at: