No.:
Taikang Semiconductor Quantitative Stock Selection Equity Sponsored Securities
Investment Fund Custody Agreement
(Broker settlement mode)
Fund Manager: Taikang Fund Management Co., Ltd
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
catalog
1、 Basis, purpose, principle and interpretation of the Fund Custody Agreement two
2、 Fund Custodian's Business Supervision and Verification of Fund Manager three
3、 The Fund Manager's business verification of the Fund Custodian eleven
4、 Custody of Fund Property twelve
（1） Principles for Custody of Fund Assets twelve
（2） Verification of raised funds twelve
（3） Opening and management of special fund asset custody account thirteen
（4） Opening and management of fund securities account and securities trading capital account thirteen
（5） Opening and management of special accounts for bond custody and fund settlement in the inter-bank market and market access filing fourteen
（6） Opening and management of other accounts fourteen
（7） Opening and management of fund investment bank deposit account fourteen
（8） Custody of valuable certificates such as physical securities and certificates of deposit of fixed bank deposits related to the investment of fund assets fifteen
（9） Custody of major contracts related to fund assets fifteen
5、 Sending, confirming and executing instructions fifteen
（1） Written authorization of the Fund Manager to the person who sends instructions sixteen
（2） Contents of the Directive sixteen
（3） Time and procedure for sending, confirming and executing instructions sixteen
（4） The circumstances and handling procedures for the Fund Manager to send wrong instructions eighteen
（6） Treatment method for the Fund Custodian's failure to comply with the Fund Manager's instructions eighteen
（7） Procedure for replacing the authorized person eighteen
（8） Other matters nineteen
6、 Transaction, clearing and settlement arrangements nineteen
（1） Standards and Procedures for Selecting Securities and Futures Trading Agencies nineteen
（2） Clearing and settlement arrangements after the fund invests in securities nineteen
（3） Confirmation of available fund balance twenty-one
（4） Reconciliation of transaction records, funds and securities accounts twenty-one
（5） Basic Regulations on Fund Purchase, Redemption and Conversion twenty-two
（6） Settlement of subscription and redemption funds twenty-three
（7） Fund conversion twenty-four
（8） Responsibility determination and handling procedures for overbought or oversold funds twenty-four
7、 Calculation and Accounting of Net Asset Value of the Fund twenty-four
（1） Time and Procedure for Calculation and Review of Net Asset Value of the Fund twenty-four
（2） Valuation of Fund Assets twenty-five
（3） Valuation of Fund Assets during the Implementation of Side Pocket Mechanism twenty-five
（4） Valuation error handling twenty-five
（5） Suspension of valuation and announcement of net value of fund units twenty-six
（6） Establishment of fund account book twenty-six
（7） Preparation and review of the periodic report of the Fund twenty-seven
8、 Fund income distribution twenty-eight
（1） Principles of Fund Income Distribution twenty-eight
（2） Formulation and Implementation Procedures of Fund Income Distribution Plan twenty-eight
（3） Income distribution during the implementation of side pocket mechanism twenty-eight
9、 Information disclosure twenty-eight
（1） Confidentiality obligation twenty-eight
（2） Contents of information disclosure twenty-eight
（3） Responsibilities and information disclosure procedures of the Fund Manager and Fund Custodian in information disclosure twenty-nine
10、 Fund expenses thirty
（1） Management fee of fund manager thirty
（2） Custody fee of the Fund Custodian thirty
（3） Sales service fee for Class C fund units thirty-one
（4） Fund expenses during the implementation of side pocket mechanism thirty-one
11、 Custody of the Register of Fund Unitholders thirty-one
12、 Preservation of Fund related documents and archives thirty-two
（1） Archive keeping thirty-two
（2） Establishment of Contract Files thirty-two
（3） Change and assistance thirty-two
13、 Replacement of Fund Manager and Fund Custodian thirty-two
（1） Replacement of Fund Manager thirty-two
（2） Replacement of Fund Custodian thirty-three
（3） Procedures for simultaneous replacement of the Fund Manager and the Fund Custodian thirty-four
14、 Prohibited acts thirty-four
15、 Change and termination of fund custody agreement and liquidation of fund assets thirty-five
（1） Change and Termination of Escrow Agreement thirty-six
（2） Liquidation of Fund Assets thirty-six
（3） Announcement of Fund Asset Liquidation thirty-seven
（4） Preservation of fund assets liquidation books and documents thirty-seven
16、 Liability for breach of contract thirty-seven
17、 Applicable Law and Dispute Resolution thirty-eight
18、 Effectiveness and Text of the Fund Custody Agreement thirty-eight
19、 Other matters thirty-nine
Custody Agreement for Publicly Offered Securities Investment Fund
Fund Manager: Taikang Fund Management Co., Ltd
Domicile: Room 302, 1-10, Floor 3, No. 156, Fuxingmennei Street, Xicheng District, Beijing
Legal representative: Jin Zhigang
Time of establishment: October 12, 2021
Approval authority and approval document number: CSRC ZJXK [2021] No. 2839
Organizational form: other limited liability companies
Registered capital: 120 million yuan
Operation period: October 12, 2021 to long-term
Contact: He Wei
Tel: 010-89620088
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
Domicile: No. 12, Zhongshan East 1st Road, Shanghai
Legal representative: Zheng Yang
Date of establishment: October 19, 1992
Fund custody business qualification approval authority: China Securities Regulatory Commission
Fund custody business qualification No.: Zheng Jian Ji Jin Zi [2003] No. 105
Organizational form: limited liability company (listed)
Registered capital: 29.352 billion yuan
Business term: permanent existence
Contact: Hu Bo
Tel: 021-61616787
Contact e-mail: hub5@spdb.com.cn
1、 Basis, purpose, principle and interpretation of the Fund Custody Agreement
（1） Basis
This agreement is based on the Civil Code of the People's Republic of China, the Securities Law of the People's Republic of China
Securities Investment Fund Law (hereinafter referred to as the Fund Law), Management Measures for the Operation of Publicly Offered Securities Investment Funds (hereinafter referred to as the Fund Law)
Referred to as "Operation Measures"), "Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies" (hereinafter referred to as "Sales Office")
Law of the People's Republic of China), Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds (hereinafter referred to as the Information Disclosure Measures), Securities Investment
Measures for the Administration of Fund Custody Business, Standards for the Contents and Forms of Information Disclosure of Securities Investment Funds No. 7<Custody Agreement
Content and Format "," Taikang Semiconductor Quantitative Stock Selection Stock Sponsored Securities Investment Fund Contract "(hereinafter referred to as" Taikang Semiconductor ")
Fund Contract) and other relevant laws and regulations.
（2） Purpose
The purpose of this Agreement is to clarify the custody, investment operation, net
Rights, obligations and responsibilities in matters related to value calculation, income distribution, information disclosure and mutual supervision, to ensure that the fund
The security of assets and the protection of the legitimate rights and interests of fund share holders.
（3） Principles
The Fund Manager and the Fund Custodian shall fully protect the legitimate rights of Fund Unitholders on the basis of equality, voluntariness, honesty and credibility
This agreement is signed by consensus on the principle of benefit.
（4） Interpretation
Unless otherwise agreed in this Agreement, all terms in this Agreement have the same meaning as the corresponding terms in the Fund Contract.
（5） If the Fund implements the side pocket mechanism, please refer to the fund contract and recruitment statement for relevant arrangements during the implementation of the side pocket mechanism
Provisions in the written form.
2、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian exercises supervision over the investment behavior of the Fund Manager
1. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the Fund Contract, invest in the following funds
Supervise the investment objects. If the Fund Contract clearly stipulates the selection criteria for the investment securities of the Fund, the Fund Manager shall
First or regularly provide the fund custodian with a pool of investment varieties, so that the fund custodian's actual investment in the fund can meet the requirements of the fund
The agreement of the contract on the securities selection standard shall be supervised.
The Fund will invest in the following financial instruments:
The investment scope of the Fund is mainly financial instruments with good liquidity, including domestic public offering and listing according to law
Stocks (including the main board, GEM and other stocks and depositary receipts allowed by the CSRC to be invested by funds), Hong Kong Stock Standard
Stocks, stock index futures, treasury bond futures, bond assets (including treasury bonds, local government bonds, financial bonds, corporate bonds
Corporate bonds, publicly issued subordinated bonds, convertible bonds, exchangeable bonds, pure bonds of separately traded convertible bonds, central bank
Notes, medium-term notes, short-term corporate bonds of securities companies, short-term financing bonds, ultra short-term financing bonds, etc.), asset support certificates
Bonds, bond repurchase, bank deposits, money market instruments, inter-bank deposit receipts, credit derivatives and laws and regulations or China Securities
Other financial instruments that the Regulatory Commission allows the Fund to invest in.
If the Fund's investment style or securities selection criteria have been clearly stipulated in the Fund Contract, the Fund Manager shall
Provide investment varieties in the format required by the custodian so that the fund custodian can use relevant technical systems to determine whether the actual investment of the fund is
Supervise the compliance with the provisions of the Fund Contract on the securities selection criteria, and check the matters with doubts.
The Fund shall not invest in investment instruments prohibited by relevant laws, regulations, departmental rules and the Fund Contract.
2. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract, invest and raise the following proportion of funds
Supervise:
(1) In accordance with the provisions of laws and regulations and the Fund Contract, the allocation ratio of the Fund's investment assets is:
The Fund's investment in stocks accounts for 80% - 95% of the Fund's assets, of which the proportion invested in Hong Kong stocks is not
More than 50% of stock assets, and the proportion of investment in semiconductor industry related stocks is not less than 80% of non cash fund assets; each
At the end of the trading day, after deducting the trading deposits required to be paid for stock index futures contracts and treasury bond futures contracts, the company shall maintain cash or
Government bonds with a maturity date of less than one year shall not be less than 5% of the net asset value of the fund, of which cash does not include settlement provisions
Deposits, subscription receivables, etc. If laws and regulations change the investment proportion limit of investment varieties, the fund manager shall
After performing appropriate procedures, the investment proportion of the above investment varieties may be adjusted.
If the investment portfolio does not comply with the above provisions due to factors such as fund size or market changes, the Fund Manager shall
The investment portfolio of the Fund shall be adjusted within the time limit to meet the above proportion limit. If laws and regulations provide otherwise, the provisions shall prevail.
If laws and regulations or regulatory authorities permit the Fund to invest in other varieties in the future, the Fund Manager shall not
After the appropriate procedures stipulated by the management department and agreed by the fund custodian, it can be included in the investment scope, and can be based on the
Effective laws and regulations should adjust the scope of investment in a timely and reasonable manner.
(2) In accordance with the provisions of laws and regulations and the provisions of the Fund Contract, the Fund's investment portfolio follows the following investment limits
Prepared by:
1) The proportion of the Fund's investment in stocks accounts for 80% - 95% of the Fund's assets, of which the proportion invested in Hong Kong stocks is the general target stocks
For example, it shall not exceed 50% of stock assets, and the proportion of investment in semiconductor industry related stocks shall not be less than 80% of non cash fund assets;
2) At the end of each trading day, after deducting the trading margin required to be paid for stock index futures contracts and treasury bond futures contracts
Cash not less than 5% of the net asset value of the fund or government bonds with a maturity of less than one year, of which cash does not include settlement
Provisions, deposits and subscription receivables;
3) The Fund holds the market value of securities issued by a company (if the same company is listed both in China and Hong Kong
A+H shares) shall not exceed 10% of the net asset value of the Fund;
4) All funds managed by the Fund Manager hold securities issued by one company (the same company is located in China and Hong Kong
A+H shares listed at the same time), 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) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB). Assets held by the fund
During the period of supporting securities, if its credit rating declines and no longer meets the investment standards, it shall be three times from the date of the rating report
Sell all of them within a month;
10) 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;
11) All open-ended funds managed by the Fund Manager shall hold tradable shares issued by a listed company, which shall not exceed
15% of the tradable shares of the listed company; All investment portfolios managed by the Fund Manager are issued by a listed company
The tradable shares of the listed company shall not exceed 30% of the tradable shares of the listed company;
12) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed 15% of the Fund's net asset value; because
Funds are inconsistent due to factors other than fund managers, such as fluctuations in the securities market, stock suspension of listed companies, and changes in fund size
If the proportion is limited, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
13) The Fund, private securities asset management products and other subjects identified by the CSRC carry out reverse repurchase for counterparties
For transactions, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the fund contract;
14) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
15) The Fund's investment in stock index futures and treasury bond futures shall comply with the following restrictions:
a) At the end of any trading day, the value of the stock index futures contract purchased held shall not exceed the net asset value of the fund
10%； 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;
b) At the end of any trading day, the value of stock index futures and treasury bond futures contracts purchased and the market value of securities
And shall not exceed 95% of the net asset value of the fund, of which, marketable securities refer to stocks and bonds (excluding those whose maturity date is less than
Government bonds), asset-backed securities, redemptory financial assets for sale (excluding pledge repurchase), etc;
c) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed the total market value of the stocks held by the Fund
20% of; At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund shall not exceed the total market of bonds held by the Fund
30% of the value;
d) The trading amount of stock index futures contracts traded (excluding closing positions) in any trading day shall not exceed that of the previous transaction
20% of the daily net asset value of the Fund; Transaction amount of treasury bond futures contracts traded (excluding closing positions) in any trading day
Shall not exceed 30% of the net asset value of the Fund on the previous trading day;
e) The market value of stocks held by the Fund and the total value of stock index futures contracts purchased and sold (netting calculation) shall be consistent
Relevant provisions on the proportion of stock investment in the mutual fund contract; Bonds held by the Fund (excluding those with maturity within one year)
The total (netting calculation) of the market value of government bonds and the value of futures contracts for buying and selling treasury bonds should conform to the fund contract
Relevant agreements on the proportion of bond investment;
16) The Fund does not hold credit derivatives with the attribute of credit protection seller, nor does it hold contractual credit derivatives;
17) The nominal principal of credit derivatives held by the Fund shall not exceed
100%；
18) The total principal of various credit derivatives invested by the Fund in the same credit protection seller shall not exceed the fund assets
10% of net worth;
19) The proportion limit of the Fund's investment in depositary receipts shall be subject to the domestic listed stocks
Consolidated calculation of shares;
20) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Due to market fluctuations such as securities and futures, mergers of securities issuers, changes in fund size and other factors other than fund managers
If the investment proportion of the Fund does not conform to the investment proportion specified in (17) and (18) above, the Fund Manager shall pay
Line adjustment.
In addition to the above 2), 9), 12), 13), 17), 18) situations, due to fluctuations in securities and futures markets, securities issuers
Factors other than the fund manager, such as merger and fund size change, result in the fund investment ratio not meeting the above specified investment ratio
The fund manager shall make adjustment within 10 trading days, except for special circumstances stipulated by the CSRC. law
If the regulations provide otherwise, the provisions shall prevail.
The Fund Custodian's obligation to supervise the above indicators is limited to the supervision that is managed by the Fund Manager and managed by the Fund Custodian
Whether all public funds under custody meet the above proportion limit. Fund Law and other relevant laws and regulations or regulatory authorities
If the above restrictions are lifted, the Fund Custodian shall, after fulfilling the appropriate procedures prescribed by laws and regulations or the regulatory authorities and obtaining the consent of the Fund Custodian
Jin is not subject to the above restrictions.
(3) Adjustment period of fund investment proportion allowed by laws and regulations
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 of. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract. base
The supervision and inspection of the Fund's investment by the Fund Custodian shall commence on the effective date of the Fund Agreement.
If laws, regulations or regulatory authorities make mandatory adjustments to the above investment restrictions and prohibitions, the Fund shall
Implement in accordance with laws and regulations or regulations of the regulatory authorities; If laws and regulations or regulatory authorities modify or adjust the above investment restrictions
The Fund Manager has the right to implement laws, regulations or supervision
The appropriate procedures specified by the competent authority shall be implemented in accordance with the laws and regulations or the regulations adjusted or modified by the regulatory authority, and the investment shall be
Party B shall perform the obligation of information disclosure. If the Fund increases its investment varieties, the investment restrictions shall be subject to laws and regulations and the provisions of the CSRC
Shall prevail.
The Fund Manager shall formally notify
The Fund Custodian sends a letter to explain the possible change scale of the Fund and the Company's response measures, so as to facilitate the Fund Custodian to implement transaction supervision
Du.
3. The Fund Custodian is prohibited from investing in the following funds in accordance with the provisions of relevant laws and regulations and the Fund Contract
To monitor:
In accordance with the provisions of laws and regulations and the Fund Contract, the Fund is prohibited from engaging in the following acts:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, except as otherwise stipulated by the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
If laws, administrative regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund
The manager may not be restricted by the above provisions after performing the appropriate procedures prescribed by laws and regulations or the regulatory authorities.
4. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract, restrict the investment of the Fund related parties
Executive supervision.
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 a company that has a major interest with it or securities underwritten during the underwriting period, or other major issues
Joint trading shall comply with 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. Related transactions
It must be approved by the Fund Custodian in advance and disclosed in accordance with laws and regulations. Major related party transactions shall be submitted to fund management
And approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related transactions.
The Fund Manager and the Fund Custodian shall first provide each other with a list of related parties and their relationships. The fund manager is responsible for ensuring
Ensure the authenticity, accuracy and integrity of the list of connected transactions, and be responsible for timely updating the list according to the requirements of the custodian bank
To the Fund Custodian. After the list is changed, the Fund Manager shall promptly send it to the Fund Custodian for confirmation
After that, the new list of connected transactions came into effect. The Fund Custodian is limited to the list of fund related parties provided by the Fund Manager,
Supervise.
5. The Fund Custodian participates in the Bank for the Fund Manager in accordance with the provisions of relevant laws and regulations and the Fund Contract
To supervise the bond market.
The Fund Manager shall, prior to the operation of the Fund's investment, provide the Fund Custodian with
The list of carefully selected inter-bank bond market counterparties applicable to the Fund, and the applicable payment of each counterparty
Easy settlement method. The Fund Custodian shall supervise according to the list of counterparties in the inter-bank bond market provided by the Fund Manager.
The fund manager can regularly update the list of counterparties in the inter-bank bond market and the settlement method
The unsettled transactions with the counterparties eliminated this time shall still be settled in accordance with the agreement.
The fund manager is responsible for controlling the credit risk of the counterparty,
The Fund Manager shall be responsible for claiming compensation from the relevant responsible persons. The Fund Custodian shall not bear any liability or loss arising therefrom.
6. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract, conduct bank deposit business for the Fund
Supervise.
The fund manager shall strengthen the assessment and research on the deposit risk of the fund investment bank, and strictly measure and control the investment bank
For the risk exposure of bank deposits, establish relevant investment restriction systems for different types of deposit banks. For banks invested by the fund
In case of losses due to credit risk events in the deposit bank, the fund manager shall be responsible for compensation first, and then
Have the right to claim compensation from the relevant responsible person. If the Fund Custodian complies with the provisions of relevant laws and regulations and
The supervision process agreed in the Fund Contract shall not be liable for the losses caused by the credit risk of the deposit bank
Ren.
7. Supervision of the Fund Custodian over the Fund's investment in restricted securities
The following "restricted negotiable securities" exist with the definition of "restricted liquidity assets" in this Agreement and the Fund Contract
Different. For the definition of restricted liquidity assets, please refer to the "Part II Definitions" of the Fund Contract.
The Fund Manager shall, in accordance with the relevant provisions of the CSRC, specify the investment and circulation of the Fund in advance
The proportion of restricted securities, formulate strict investment decision-making process and risk control system, and prevent liquidity risk and legal risk
And operational risks.
(1) The circulation restricted securities invested by the Fund shall be non-public shares and public offerings approved by the CSRC
The tradable securities, such as the offline placement of stocks, which are clearly locked for a certain period at the time of issuance, do not include those due to the release of major news
Securities temporarily suspended for trading or other reasons, issued unlisted securities, pledged bonds in repurchase transactions and other restricted circulation certificates
Coupon. The Fund does not invest in securities with an indefinite lock up period.
(2) A fund manager investing in non-public shares shall formulate a liquidity risk disposal plan and obtain approval from its board of directors
Accurate. The risk disposal plan shall include but not be limited to the fund investment proportion limit loss that needs to be solved due to the restricted investment in negotiable securities
Measures to deal with problems such as fund liquidity difficulties and related losses, as well as the handling of abnormal situations. base
The Fund Manager shall provide the Fund Custodian with relevant information about the Fund's investment in non-public offering of shares before the initial investment in restricted securities
Liquidity risk disposal plan.
The Fund Manager shall be responsible for the liquidity risk of the Fund's investment in restricted securities and ensure that it takes an active approach to relevant risks
Effective measures shall be taken to effectively solve the liquidity problem of fund operation within a reasonable time. In case of huge fund redemption or market
When the fund cash flow is difficult due to drastic changes and other reasons, the fund manager shall ensure that sufficient cash is provided
Payment and settlement of the guarantee fund. The Fund Custodian shall not bear the liquidity risk caused by the Fund's investment in restricted securities
Any liability. The Fund Custodian shall not be liable for any loss of the Fund caused by the Fund Manager.
(3) The fund manager shall, within two trading days after the fund invests in the non-public offering of shares
Disclose the name, quantity, total cost, book value, total cost and book value of the non-public offering shares invested
Information such as the proportion in the net asset value of the fund, lock up period, etc.
The restricted negotiable securities related to fund investment shall be guaranteed to be registered and deposited under the relevant fund name, and the fund manager shall be responsible for
Implementation and coordination of work, and ensure that the Fund Custodian can make normal inquiries. If the registration and depository of restricted securities cannot
To ensure that the Fund Custodian normally performs its asset custody responsibilities, and the Fund Manager shall assume the responsibility for the custody of such Fund assets
Dan.
If the Fund Manager fails to comply with the relevant system, liquidity risk disposal plan and investment quota and proportion restrictions,
If the Fund Custodian is liable for compensation due to the risk of the Fund, if the Fund Custodian has earnestly performed its supervision responsibilities before
The Fund Manager shall compensate the Fund Custodian for the losses incurred therefrom.
(4) The Fund Manager shall invest in non-public shares at least two working days before the execution of the investment order
Submit the relevant materials to the Fund Custodian in writing and ensure that the relevant materials provided to the Fund Custodian are true, accurate and complete
Whole. If there is any adjustment to the relevant information, the Fund Manager shall provide the adjusted information in a timely manner. The above written materials include but are not limited to
On:
1) The approval document of the CSRC approving the issuance of non-public shares.
2) Information on the number, price and lock up period of non-public shares.
3) The quantity, price, total cost and book value of the fund to be subscribed.
4) The investment quota and investment proportion control of the Fund's investment in restricted securities.
5) The Fund Custodian shall, in accordance with the Circular on Issues Concerning the Investment of Funds in Negotiable Restricted Securities such as Non Public Offerings
The Notice stipulates to supervise whether the fund manager complies with laws and regulations, and review the relevant written documents provided by the fund manager
Information. If the Fund Custodian believes that the above information may cause risks to the Fund, it has the right to require the Fund Manager to
Supplementary written explanation on the elimination or prevention measures of the risk before passing the restricted securities, and reserve the view of the fund manager's risk
The right of the management department to issue risk assessment reports and other materials on the restricted securities of the fund investment. If the fund manager does not mention
The Fund Custodian has the right to refuse to implement the following measures:
Off command. The Fund Custodian shall not be liable for any loss of the Fund property caused by its refusal to implement the instruction, and shall have the right to report
Inform the CSRC.
If the Fund Manager and the Fund Custodian cannot reach an agreement on the above issues, they shall report to the CSRC in time for solution
Decision. The Fund Custodian shall not bear any responsibility after performing the supervision responsibilities specified in this Agreement.
(5) Where relevant laws and regulations have new provisions on restricted securities for fund investment and circulation, such provisions shall prevail.
8. The Fund Custodian's supervision responsibility for the Fund's investment in private placement bonds and medium-term notes of SMEs is limited to this Agreement
Relevant regulations supervise the investment proportion and investment restrictions afterwards; There is no other supervisory responsibility. If any abnormality is found
The Fund Manager shall be notified in writing in a timely manner. The Fund Manager shall actively cooperate with and assist the Fund Custodian in supervision
Supervision and verification. The credit risk and liquidity risk caused by the fund's investment in SME private placement bonds and medium-term notes
The Custodian assumes no responsibility. The Fund Custodian will not assume the responsibility for any loss of the Fund caused by the Fund Manager
He is responsible.
Before the fund managed by the fund manager invests in private placement bonds and medium-term notes of small and medium-sized enterprises, the fund manager shall
Laws, regulations, and regulations of regulatory authorities, and strict risk control on investment in private placement bonds and medium-term notes of SMEs
System and liquidity risk disposal plan, the Fund Manager hereby promises to strictly implement the risk control system and liquidity risk
Insurance disposal plan.
（2） The Fund Custodian shall, in accordance with the laws and regulations and the provisions of the Fund Contract, strengthen the activation of the contralateral pocket mechanism
Review and supervision of property disposal and information disclosure.
When the fund holds specific assets and there are or potential large redemption applications, the fund share holding shall be protected to the maximum extent
The Fund Manager may, after consultation with the Fund Custodian and consultation with the accounting firm
The side pocket mechanism shall be activated in accordance with laws and regulations and the fund contract. If the fund custodian is assessed as not meeting the requirements of the regulatory authority
If the implementation conditions are stipulated and agreed in the fund contract, the fund manager shall not use the side pocket mechanism.
（3） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Value calculation, calculation of net value of various fund units, receipt of funds receivable, determination of fund expenses and income, and fund income
Monitoring and verification shall be carried out with relevant information disclosure and fund performance data published in fund promotion materials.
（4） The Fund Custodian finds that the investment operation and other operations of the Fund Manager violate the Fund Law and the Fund Agreement
The Fund Manager shall be notified in writing in a timely manner to make corrections within a specified time limit
After receiving the notice, the trustee shall check it in a timely manner on the next working day and send a written reply to the fund custodian for settlement
Interpreting or adducing evidence.
1. 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
If the Manager fails to correct the violation notified by the Fund Custodian within the time limit, the Fund Custodian shall report to the CSRC
meeting.
2. The Fund Manager shall actively cooperate and assist the Fund Custodian in accordance with laws and regulations, the Fund Contract and this Custodian Agreement
The supervision and verification of the fund business and the written prompt sent by the fund custodian must be replied to the fund trust within the specified time
The Fund Custodian shall make corrections, or explain or provide evidence on the Fund Custodian's doubts
The Fund Manager shall actively cooperate with the CSRC in submitting the fund supervision report as required by the Contract and this Custody Agreement
Provide relevant data and systems.
3. If the Fund Custodian finds that the investment order issued but not executed by the Fund Manager or has become effective according to the transaction procedures
If the investment order violates laws, administrative regulations and other relevant provisions, or violates the Fund Contract, it shall immediately
Notify the fund manager and report to the CSRC. The fund manager's above violations and dishonesty to the fund property or fund
The fund manager shall bear the losses caused by unit holders.
4. For the monitoring indicators that must be known after the valuation is completed or the investment orders that have been concluded according to the trading procedures,
If the Fund Custodian finds that the investment order violates laws and regulations or the Fund Contract, it shall immediately notify the Fund Custodian
And report to the CSRC. The fund manager's above violations and dishonesty give the fund assets or fund units
The fund manager shall bear the losses caused by others.
5. If the Fund Custodian finds that the Fund Manager has major violations, it shall immediately report to the CSRC and notify the Fund Custodian
The financial manager shall make corrections within a time limit. The Fund Manager's above violations and dishonesty have caused fund assets or fund share holders
The loss shall be borne by the fund manager.
The Fund Manager refuses or obstructs the Fund Custodian from exercising its supervision right in accordance with the provisions of this Agreement, or adopts
Delays, fraud and other means hinder the Fund Custodian from conducting effective supervision, and the circumstances are serious or the Fund Custodian still fails to give a warning
In case of correction, the Fund Custodian shall report to the CSRC. The fund manager's above violation and dishonesty behavior to the fund property or
The fund manager shall bear the losses caused by the holders of gold shares.
3、 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 but not limited to
Whether the Fund Custodian has safeguarded the Fund property, and whether it has opened a fund account, a securities account and an investment account for the Fund property respectively
Other accounts required, whether to review the net value of fund assets and the net value of various fund units calculated by the fund manager, whether to
The Fund Manager instructs to handle clearing and settlement, disclose relevant information and supervise the operation of fund investment.
（2） The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization, fails to manage the Fund assets separately
Failure to execute or delay in executing the fund manager's fund transfer instructions without reason, disclosure of fund investment information and other violations of the Fund
The Fund Manager shall notify the Fund in writing in a timely manner in accordance with the Law, the Fund Contract, this Custodian Agreement and other relevant provisions
The custodian shall make corrections within a time limit, and the fund custodian shall timely check and send a written reply to the fund manager after receiving the notice
Letter. Within the time limit, the Fund Manager has the right to review the notice at any time and urge the Fund Custodian to make corrections. Gikinto
If the custodian fails to correct the violations notified by the fund manager within the time limit, the fund manager shall report to the CSRC.
The Fund Manager shall immediately report to the CSRC and the banking regulatory authority if it finds that the Fund Custodian has major violations
And notify the Fund Custodian to make corrections within a time limit.
（3） The Fund Custodian shall actively cooperate with the Fund Manager in its verification activities, including but not limited to: submitting relevant materials
So that the Fund Manager can verify the integrity and authenticity of the custody property, reply to the Fund Manager and make corrections within the specified time.
（4） The Fund Custodian refuses or obstructs the Fund Manager from exercising its supervision right in accordance with the provisions of this Agreement without justified reasons,
Or prevent the Fund Manager from conducting effective supervision by means of delay, fraud, etc., if the circumstances are serious or the Fund Manager raises a police
If it still fails to make corrections, the fund manager shall report to the CSRC.
4、 Fund property custody
（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 safely keep the custody property in accordance with the provisions of this Agreement. Without the instruction of the fund manager, it is not allowed to
Use, dispose of and distribute any property of the Fund (transfer fees deducted by the Fund Custodian on its own initiative and trust deducted in accordance with this Agreement
Except management fees). The Fund Custodian shall not be liable for the accounts and assets beyond its actual control.
3. The Fund Custodian shall open a capital account, a securities account and other accounts required for investment for the fund assets under custody in accordance with the provisions
Household.
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody, and conduct other business with the Fund Custodian and its
The custody business of other funds is subject to strict separate account management to ensure the integrity and independence of fund assets.
5. The fund manager shall be responsible for the receivables generated in the process of fund subscription (purchase) and fund investment
The relevant parties determine the date of receipt and notify the Fund Custodian that the Fund assets have not arrived at the Fund Custodian on the date of receipt,
The Fund Custodian shall timely notify the Fund Manager to take measures for collection. If losses are caused to the fund, fund management
The Fund Custodian shall be responsible for recovering the losses of the Fund from the relevant parties, and the Fund Custodian shall make necessary recovery against the Fund Manager
But shall not be liable for the loss of the Fund's assets.
6. The Fund Custodian's deposit or custody of funds in institutions other than the Fund Custodian arising from the investment of the Fund Manager
Assets, or fund assets (including but not limited to securities trading funds) handed over to futures companies or securities companies for clearing and settlement
The funds in the account, securities fund assets, funds in the futures margin account, futures contracts, etc.) and their income shall be
The fraud, negligence, fault or bankruptcy of a third party other than the parties to this Agreement, such as the institution or its member units
No liability shall be assumed for losses caused to fund assets.
7. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust a third person to custody the Fund assets.
（2） Verification of raised funds
During the raising period, the sales agency will transfer the subscription funds to the fund manager in accordance with the sales and service agency agreement
A special account for fund subscription opened by a commercial bank with custody qualification. The account shall be opened and managed by the fund manager. Fund raising period
Full, the total amount of fund units raised, the amount of fund raised, and the number of fund unit holders comply with the Fund Law and the Operation Office
After the relevant provisions of the Securities Law of the People's Republic of China, the Fund Manager shall engage an accounting firm that complies with the provisions of the Securities Law of the People's Republic of China
The capital verification shall be carried out and a capital verification report shall be issued. The capital verification report shall specifically describe the sponsor and its shares,
The capital verification report issued shall be valid only when it is signed by more than two (including two) Chinese certified public accountants who have participated in the capital verification. Capital verification
Upon completion, the Fund Manager shall transfer all the raised funds belonging to the Fund property to the funds opened by the Fund Custodian for the Fund
In the special asset custody account, ensure that the capital transferred in is consistent with the capital verification amount. The day when the Fund Custodian receives the effective subscription capital
Confirm the receipt of funds in writing, and fax the receipt of funds to the fund manager in a timely manner. Both parties conduct accounting
handle.
If the Fund raising period expires and the conditions for filing of the Fund Contract are not met, the Fund Manager shall handle the matter as required
Refund.
（3） Opening and management of special fund asset custody account
1. The Fund Custodian shall open a special asset custody account in its business institution in the name of the Fund, and shall comply with the laws of the Fund Manager
Compliant and effective instructions for fund receipt and payment. The Fund Manager shall, in accordance with laws and regulations and the relevant requirements of the Fund Custodian
Provide information required for opening an account and provide other necessary assistance. The seal of the reserved seal of the Fund's special asset custody account shall be
It is engraved, kept and used by the custodian.
2. All monetary income and expenditure activities of the Fund shall be conducted through the Fund Custodian or the Fund's special asset custody account. base
The opening and use of the Fund's special asset custody account shall be limited to meet the needs of conducting the Fund's business. The special asset custody account shall not be used
It can be used for cash deposit and withdrawal or online banking transfer. Except for the business needs of the Fund, the Fund Custodian and the Fund Manager shall not
Opening any other bank account in the name of the Fund; It is also not allowed to use the bank account opened in the name of the fund
Activities other than fund operations.
3. The management of the special asset custody account shall comply with the Administrative Measures for RMB Bank Settlement Accounts and the Interim Provisions on Cash Management
Regulations on the Administration of RMB Interest Rate, Interim Regulations on the Administration of Interest Rate, Payment and Settlement Measures and Banking Supervision
Other relevant regulations of the management organization.
（4） Opening and management of fund securities accounts and securities trading capital accounts
1. The Fund Custodian shall register with China Securities Depository and Clearing Corporation Limited in the joint name of the Fund Custodian and the Fund
The Shanghai Branch/Shenzhen Branch opens a special securities account.
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 of the Fund's
He Securities Account conducts activities other than the Fund's business.
3. The fund custodian shall be responsible for the opening of the fund securities account and the safekeeping of the original account opening materials, and the management of the account assets and
The fund manager shall be responsible for the application.
4. The Fund Manager shall open a securities trading capital account in a securities brokerage institution for the purpose of fund assets for the purpose of fund assets securities
Depository of transaction settlement funds, recording details of changes in transaction settlement funds and clearing of over-the-counter securities transactions, and
The custodian account opened by the custodian shall establish a third-party custody relationship.
5. The Fund Custodian and the Fund Manager shall not lend or transfer securities accounts, securities trading capital accounts, or make
Use the securities account or securities trading capital account for activities other than the business of the Fund. The Fund enters through securities brokerage institutions
The transactions of the Bank shall be settled by the securities broker as the clearing participant on behalf of the Fund.
6. The Fund Manager promises that the securities trading capital account will be the main capital account and will not open any auxiliary capital account; Not
The securities trading capital account shall open another bank account other than the bank custody account.
（5） Opening and management of special accounts for bond custody and fund settlement in the inter-bank market and filing of market access
After the Fund Contract comes into force, the Fund Manager shall be responsible for acting in the name of the Fund provided that it meets the requirements of the regulatory authority
Apply for and obtain the trading qualification to enter the national interbank borrowing market, and conduct transactions on behalf of the Fund; Fund Custodian
According to the regulations of the People's Bank of China, the Central Government Securities Depository and Clearing Co., Ltd. and the Inter bank Market Clearing House Co., Ltd
In accordance with the relevant regulations, the shares held by the Central Government Securities Depository and Clearing Co., Ltd. and the inter-bank market clearing house in the name of the Fund
Limited companies open bond custody accounts and capital settlement accounts, and conduct settlement of inter-bank market bond transactions on behalf of the Fund
Calculate. The Fund Custodian assists the Fund Manager in completing the inter-bank bond market access filing.
（6） Opening and management of other accounts
1. Other accounts that need to be opened due to business development may be opened in accordance with the Fund Contract or relevant laws and regulations
The Fund Custodian shall be responsible for opening the Fund after the Fund Manager and the Fund Custodian reach an agreement through consultation. New account is available
Use and manage relevant rules.
2. If laws, regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail.
（7） Opening and management of fund investment bank deposit account
1. The Fund Manager and the Fund Custodian shall, in accordance with relevant regulations, make investment in the Fund
The bank deposit business shall sign a written agreement.
2. The Fund Manager shall sign overall cooperation with the head office of the deposit bank or its authorized branch for the fixed deposit of the fund investment bank
Agreement, and deposit the funds in the branch designated by the head office of the deposit bank or its authorized branch.
3. The deposit account must be opened in the name of the fund, the account name is the name of the fund, and the deposit account opening document shall be stamped with the pre
Seal and official seal of the Fund Manager shall be reserved.
4. When the Fund invests in bank deposits, the Fund Manager shall sign a specific deposit agreement with the deposit bank to specify the deposits
Type, term, interest rate, amount, account number, reconciliation method, withdrawal method, account management and other details of.
5. In order to prevent liquidity risk under special circumstances, the term of early withdrawal shall be stipulated in the time deposit agreement.
6. During the duration of the time deposits invested by the Fund, the Fund Manager and the Fund Custodian shall establish a time deposit with the deposit bank
The reconciliation mechanism ensures the authenticity and accuracy of the fund bank deposit business accounts and checks.
（8） Custody of valuable certificates such as physical securities and bank time deposit certificates related to the investment of fund assets
The physical securities invested by the Fund assets shall be deposited by the Fund Custodian in the Fund Custodian's vault; Including physical certificate
The securities can also be deposited in China Government Securities Depository and Clearing Co., Ltd. and China Securities Depository and Clearing Co., Ltd. Shanghai Branch/
The depository of Shenzhen Branch, Interbank Market Clearing House Co., Ltd. or bill business center. Purchase of physical securities
The purchase and transfer shall be handled by the Fund Custodian according to the instructions of the Fund Manager. Under the effective control of the Fund Custodian
The Fund Custodian shall be liable for any damage or loss of physical securities during the custody period of the Fund Custodian. base
Correspondence of physical securities and bank time deposit certificates actually and effectively controlled or kept by the fund custodian to institutions other than the fund custodian
We will not be responsible for the custody of our property.
（9） Custody of major contracts related to fund assets
The original of the major contract signed by the Fund Manager on behalf of the Fund in connection with the Fund shall be submitted by the Fund Custodian
It is kept by the fund manager. Unless otherwise specified in this Agreement, the Fund Manager shall sign major contracts related to the Fund on behalf of the Fund
The Fund Manager and the Fund Custodian shall each hold at least one original
The original of this. The Fund Manager shall, within 5 working days after signing the contract, send
The original of the contract shall be delivered to the Fund Custodian. The original contract shall be kept in the document custody departments of the Fund Manager and the Fund Custodian
The storage period shall not be less than the minimum period stipulated by laws and regulations. The Fund Manager fails to deliver the relevant contract to the Fund Custodian
The Fund Custodian shall not be responsible for the custody of relevant contracts.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with a copy of the original contract for verification
The fax or photocopy of the contract sent to and stamped with the official seal of the fund manager. Without mutual agreement, the original contract shall not be transferred
Move.
5、 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 executes the instructions of the fund manager that are legal and compliant and comply with the relevant provisions of this Agreement, and handles the fund transactions under the name of the fund
And other relevant matters.
The instructions sent by the fund manager include electronic instructions and paper instructions.
The Fund Manager shall sign a separate custody electronic instruction direct connection agreement or network with the Fund Custodian before enabling the electronic instruction
Hosting service agreement on. The fund manager shall provide the fax number, fax number
Email address for sending instruction attachment, instruction confirmation personnel and their contact information.
（1） Written authorization of the Fund Manager to the personnel who send instructions
The Fund Manager shall provide the Fund Custodian with the reserved seal and the specimen signature of the authorized person, and give a prior written notice (as follows
Referred to as "Authorization Notice") The list of persons who are authorized by the Fund Custodian to send instructions, indicating the corresponding transaction authority, and specifying the basic
The method by which the Fund Custodian confirms the identity of the person authorized to send instructions when the Fund Manager sends instructions to the Fund Custodian. Fund manager
The legal representative or authorized agent of the fund manager shall sign and affix the official seal on the notice of authorization for the transfer instruction of
If the authorized agent signs, the power of attorney of the legal representative shall also be attached. The Fund Custodian shall reply on the day of receiving the authorization notice
Or call back to the fund manager for confirmation. The letter of authorization for transfer instructions must be updated at least one time in advance
Within five trading days, send the scanned copy or other written confirmation from the Fund Custodian and the Fund Manager to the Fund Custodian
The notice of change of the authorized person affixed with the official seal of the fund manager and signed by the legal representative or its authorized agent
Inform the Fund Custodian. The change notice shall specify the effective time, and provide the signature sample of the new authorized person
The custodian shall confirm with the fund manager by telephone on the day when the change notice is received. The authorized change shall take effect at the time specified in the change notice
Effective. If the effective time specified in the notice of change is earlier than the time when the Fund Custodian receives the notice of change, the authorized change is based on
The change notice shall take effect when the custodian receives it. The Fund Manager shall, within three days after that, notify the Fund Manager of the change of the letter of authorization of the transfer order
If the original of this Power of Attorney for Transfer Instruction sent to the Fund Custodian is not delivered to the Fund Custodian on time, the Fund Custodian has the right to refuse to execute
The Fund Custodian shall not bear the losses caused by issuing the transfer instructions corresponding to the letter of authorization. Fund Manager and Fund Custody
I have the obligation to keep the authorization documents confidential, and its contents shall not be disclosed to anyone other than the authorizer, the authorized person and the relevant operators
Unless otherwise required by laws, regulations or competent authorities.
（2） Content of instructions
1. Instruction refers to the payment instruction (including redemption, distribution) sent by the Fund Manager to the Fund Custodian when using the Fund property
Red payment, repurchase due payment instructions, etc.) and other fund transfer instructions, as well as securities investment funds of the stock exchange
The settlement does not require the Fund Manager to send instructions, and the Fund Custodian sends instructions to the Fund Custodian according to the relevant registration and clearing company
The settlement data is used for fund settlement.
2. The instructions issued by the Fund Manager to the Fund Custodian shall indicate the payment account number, the name of the payment account, the opening bank and the collection account
No., payee account name, deposit bank, payment reason, payment time, arrival time, amount, account, etc., with reserved seal affixed
And signed by the authorized person.
（3） Time and procedure for sending, confirming and executing instructions
1. Instruct the authorized sender (hereinafter referred to as the "authorized person") determined by the "Authorization Notice" to use fax on behalf of the fund manager
To the Fund Custodian or in other ways confirmed in writing by the Fund Custodian and the Fund Manager. Fund manager
It is obliged to confirm with the Fund Custodian in a timely manner after sending the order, because the Fund Manager failed to make timely progress with the Fund Custodian
The Bank's order confirms that the Fund Custodian will not bear any responsibility for the losses caused by the failure of funds to arrive in the account in time. Fund Custody
The order can be executed only after the person confirms that the order is valid according to the method specified in the "Authorization Notice". For the reference issued by the authorized person
The Fund Manager shall not deny its effectiveness. The Fund Manager shall, in accordance with the Fund Law, relevant laws and regulations and the Fund Agreement
In accordance with the provisions of the Law of the People's Republic of China, the authorized person shall send the transfer order within its legal business authority and transaction authority
Only transfer instructions can be sent. When sending instructions, the Fund Manager shall reserve the time necessary for the Fund Custodian to execute the instructions
Between. General transfer instructions (excluding non guaranteed delivery instructions, new shares, new bonds, additional issuance and other purchase instructions) should be issued at 15:00
(Instruction deadline) shall be submitted to the Fund Custodian. If the Fund Manager requires the account to be received at a certain time of the day, the instruction shall be submitted
The first two working hours (from 9:00 to 11:30 and from 13:00 to 17:00) shall be submitted to the Fund Custodian.
2. The Fund Manager shall issue subscription instructions such as new shares, new bonds and additional issuance to the Fund Custodian 1 working day before the subscription
Send instructions. If it is necessary to give instructions on the day of subscription, the Fund Manager shall reserve the time necessary for the Fund Custodian to execute the instructions
2 working hours in advance (from 9:00 to 11:30 and from 13:00 to 17:00).
3. For over-the-counter business, before the fund manager uses the fund assets to carry out over-the-counter securities trading, the fund manager passes the
The established third-party custody system between the fund custody account and the securities capital account is between the fund custody account and the securities capital account
Transfer refers to mutual transfer between bank and securities.
4. For inter-bank business, if it is necessary to send inter-bank transaction notes or transfer instructions, the Fund Manager shall
15: Send the inter-bank transaction sheet and relevant transfer instructions to the fund custodian before 00. The Fund Manager shall cooperate with the Fund Custodian
The inter-bank transaction of the Fund can be carried out only after the Fund Custodian has completed the certificate and authority settings.
5. The fund manager shall send the trading instructions for withdrawal at the specified time to the fund custody 2 hours in advance
People; The Fund Custodian does not guarantee that the instructions sent by the Fund Manager to the Fund Custodian after 15:00 will be issued on the same day
Section.
6. If the transfer time given to the fund custodian in the transfer order is less than 2 working hours or later than the deadline of the aforementioned order
The Fund Custodian shall try its best to complete the fund transfer within the specified time, but shall not be liable for the failure of implementation due to lack of time
Responsibility.
7. The instruction transmission caused by the fund manager is not timely, and the time required for fund transfer is not enough, resulting in the failure of funds
The fund manager shall bear the losses caused by timely arrival. The Fund Manager shall transfer the interbank market bonds
After affixing the reserved seal on the transaction conclusion sheet, it shall be faxed to the Fund Custodian in a timely manner and notified to the Fund Custodian by telephone.
8. After the order arrives at the fund custodian, the fund custodian shall designate a special person to check whether the elements of the order are complete and sealed in a timely manner
Check whether the authorized person is consistent with the content of the reserved authorization document. If any problem or doubt is found, timely notify the Basic Manager
The Fund Manager shall have the right to immediately return the order to the Fund Manager and require it to issue a new effective order.
9. When giving instructions to the Fund Custodian, the Fund Manager shall ensure that there is sufficient fund balance in the relevant custody account
The Fund Custodian shall have the right not to enforce any order issued by the Fund Manager to the Fund Custodian without sufficient funds
And immediately notify the Fund Manager that the Fund Custodian will not be liable for any loss caused by failure to execute the instruction
Ren.
（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 but are not limited to the fact that the person sending the instructions has no right or exceeds the authority to send instructions
The order and delivery information are wrong, the important information in the order is unclear or incomplete, and the order violates laws and regulations, the Fund Contract and
Agreement in this agreement, etc.
2. The Fund Custodian has the right to refuse to execute the instructions of the Fund Manager if it finds them wrong when performing the supervision function, and
Timely notify the Fund Manager in writing to make corrections, and the Fund Manager shall check in time after receiving the notice, and
Send a reply confirmation to the Fund Custodian. If it is necessary to revoke the order, the fund manager shall issue a written statement and affix the reserved seal
Learn.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
If the Fund Custodian finds that the Fund Manager's instructions violate laws, administrative regulations and other relevant provisions, or violate
If it is stipulated in the fund contract, the execution shall be suspended or refused, and the fund manager shall be notified immediately. After timely notification, the fund shall be placed in custody
I will not bear any losses and all responsibilities caused by failure to execute the instruction.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
Unless otherwise agreed in this Agreement, the Fund Custodian fails to comply or fails to comply with the fund management in a timely manner due to its own reasons
The order sent by the person who complies with this Agreement and has come into effect in accordance with the normal trading procedures shall be executed and delivered to the fund share holder
If losses are caused, it shall be responsible for compensating the corresponding direct losses.
（7） Procedures for replacing the authorized person
If the fund manager changes the authorized person, changes or terminates the scope of authorization for the authorized person, it must at least one in advance
On the trading day, send a scanned copy or other written confirmation from the Fund Custodian and the Fund Manager to the Fund Custodian
The notice of change of the authorized person affixed with the official seal of the fund manager and signed by the legal representative or its authorized agent, and the telephone number
Notify the Fund Custodian. The notice of change shall specify the effective time and provide a sample signature of the new authorized person. Fund Custody
We will confirm with the fund manager by telephone on the day when we receive the change notice. The authorized change shall take effect at the time specified in the change notice
Effective. If the effective time specified in the notice of change is earlier than the time when the Fund Custodian receives the notice of change, the authorized change is based on
The change notice shall take effect when the custodian receives it. Before the change notice of the authorized person takes effect, the Fund Custodian shall still implement the original agreement
The fund manager shall not deny its effectiveness. The original of the notice of the Fund Manager to change the authorized person within three days thereafter
Deliver to the Fund Custodian. If the list and authority of the authorized personnel of the Fund Manager are changed, they fail to comply with this Agreement in a timely manner
If the Fund Custodian is notified and a new specimen of seal and signature is reserved, which causes damage to the Fund Unitholders, the Fund Custodian shall not
Assume any form of responsibility. The Fund Custodian shall change the personnel receiving the instructions of the Fund Manager by mail and fax in advance
Inform the fund manager by means of real or recorded telephone.
（8） Other matters
The Fund Manager shall be responsible for issuing illegal, illegal or contrary orders as agreed in the Fund Contract and this Agreement
Ren. The Fund Custodian's execution of the Fund Manager's instructions that have become effective in accordance with normal trading procedures has caused damage to the Fund's assets
No liability for damages.
6、 Transaction, clearing and settlement arrangements
（1） Standards and procedures for selecting securities and futures operating institutions that act as agents for securities and futures trading
1. The Fund Manager shall be responsible for selecting the securities operating institutions that act as agents for the securities trading of the Fund.
2. The Fund Manager, the Fund Custodian and the selected securities brokerage institution shall, in accordance with relevant laws, regulations and relevant industries
The securities brokerage service agreement is signed to specify the responsibilities of the three parties in the securities trading fund settlement business.
3. 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
Similarly, other matters shall be implemented in accordance with the relevant provisions of laws and regulations and the Fund Contract. If there are no clear provisions, please refer to the relevant provisions
The rules for the selection of securities trading and securities brokerage institutions shall be implemented.
（2） Settlement arrangements after the fund invests in securities
1. The transactions of the Fund through securities brokerage institutions shall be entered by the securities brokerage institutions as clearing participants on behalf of the Fund
Bank settlement; The transactions of the Fund through futures brokerage institutions shall be handled by the futures brokerage institutions as clearing participants on behalf of the Fund
Settlement; Other securities transactions of the Fund shall be settled by the Fund Custodian or relevant institutions.
2. The Fund Custodian shall be responsible for the remittance and transfer of funds invested by the Fund in all OTC transactions.
3. The securities brokerage agency completes the securities transaction and non transaction related securities capital settlement with the Zhongdeng Company on behalf of the Fund property
And bear the responsibility for the failure to complete the normal settlement and settlement business caused by the securities brokerage institutions.
The Fund Manager is responsible for selecting the securities companies (brokers) that act as agents for the securities trading of the Fund. Securities trading data of the Fund
The Fund Manager and the Fund Custodian will sign a separate securities brokerage service with the securities broker for the relevant agreements on transmission, clearing and settlement
Service agreement.
4. Inter bank bond payment settlement
The Fund Manager shall timely submit the inter-bank SSE, China Bond registration and transfer instructions and the closing notice to the Fund Manager in accordance with relevant regulations
The Fund Custodian and the Fund Manager shall set aside the time necessary for the Fund Custodian to execute the order.
The Fund Manager shall track the transaction settlement, securities and
The fund arrival and balance change can facilitate the monitoring of the settlement process and the front-end control of the matching of funds and transactions.
5. The term format of the deposit agreement signed between the time investment fund manager and the deposit bank shall be one day before the value date of the time deposit
It shall be sent to the Fund Custodian within three working days, and the Fund Manager shall send the transfer instruction of time deposit and the sealed version of the deposit agreement (fax
The true or scanned copy) shall be submitted to the Fund Custodian in accordance with laws and regulations, the Fund Agreement and the Custodian Agreement,
The Fund Manager shall confirm with the Fund Custodian by telephone in a timely manner. The instructions issued by the Fund Manager in accordance with the agreed procedures
The Fund Manager shall not deny its effectiveness.
6. When sending investment orders, the Fund Manager shall reserve the necessary conditions for the Fund Custodian to execute the investment orders
Time of. The investment order is not transmitted in time and sufficient transfer time is not reserved, resulting in the funds not arriving in the account in time
The fund manager shall bear the loss of.
7. If the deposit bank is unable to deliver the deposit certificate to the Fund Custodian before 17:00 on the day of deposit, the Fund Manager shall
Urge the deposit bank to send the scanned copy of the deposit certificate to the fund custodian. After the deposit certificate is delivered to the fund custodian
The custodian is responsible for keeping the original of the deposit certificate. The Fund Custodian only conducts formal review on the deposit certificate, and the content of formal review
It refers to account name, value date, maturity date, amount and interest rate. The Fund Custodian will not be responsible for verifying the authenticity of the deposit certificate
duty.
The deposit agreement signed between the fund manager and the deposit bank shall include:
(1) The deposit bank provides the necessary conditions for opening deposit accounts, depositing and withdrawing funds for the time deposit business of the entrusted assets
Required support and efficient settlement services;
(2) The deposit bank provides door-to-door services for the deposit certificates of the time deposits invested by the entrusted assets, namely: time deposits
On the day when the deposit funds arrive, the deposit bank will send an authorized agent to properly prepare the "deposit certificate" (hereinafter referred to as "the certificate")
Send to the Fund Custodian. The loss or damage of the "Certificate" before it is handed over to the Fund Custodian
All losses shall be borne by the deposit bank.
(3) On the due date of fixed deposit or the date of early withdrawal, the deposit bank shall send an authorized agent to the fund custody
The "certificate" is extracted by the personnel department. After the "Certificate" is handed over to the authorized agent of the deposit bank, the "Certificate" is lost or damaged
All losses caused shall be borne by the deposit bank.
The deposit bank shall, at least one working day in advance, provide the fund custodian with
Written authorization. The authorized agent shall show valid ID card or work card when providing door-to-door service.
(4) The deposit bank shall ensure to pay the principal and interest of the deposit in time, and transfer the principal and interest to the Fund on the day of withdrawal
The custodian account at the fund custodian (Shanghai Pudong Development Bank), and the opening bank, account number, account name
Large amount payment number. The deposit bank shall confirm that the principal and interest of time deposits can only be transferred to the corresponding custody account opened in the fund custodian
Account or designated account confirmed by the Fund Custodian. If the above designated collection account information needs to be changed, it must be approved by the Fund Custodian
Written consent.
(5) Deposit banks shall provide regular reconciliation services for fixed deposit business. The first reconciliation should be no later than the deposit of funds
The next natural month. Except for the first reconciliation, the reconciliation frequency shall not be less than once every six months. Deposit banks should cooperate with fund custody
A person's written request for a "certificate".
(6) During the deposit duration, if the reserved seal of the "Certificate" is changed, the deposit bank shall cooperate in handling the change
Change procedures.
(7) Deposits shall not be pledged, and corresponding deposit certificates shall not be used for endorsement and transfer.
8. Before the Fund intends to invest in the futures trading market, the Fund Manager, the futures brokerage institution and the Fund Custodian shall separately
The Bank signed the stock index futures investment custody agreement.
9. Clearing and settlement arrangements for the Fund's participation in Hong Kong Stock Connect transactions
If the Fund participates in the trading of Hong Kong Stock Connect, the Fund Manager shall ensure that it is in the custody account or Hong Kong Stock Connect before the end of T day
There are enough positions in the reserve account for the settlement of corporate actions, portfolio fees and risk control funds on the T+1 day of the Hong Kong Stock Connect,
Before 11:00 on T+1 day, there should be enough positions in the custody account or Hong Kong Stock Connect reserve for Hong Kong Stock Connect on T+2 day
Settlement of transaction funds. If the clearing result of the Hong Kong Stock Connect transaction on T day is net payable, the Fund Custodian will
Deduct funds payable. If the clearing result of Hong Kong Stock Connect on T day is net receivable, the fund custodian shall register with China Securities
After the settlement of net receivables, the clearing limited liability company shall return the receivables before 12:00 a.m. on T+3. If not
The Fund Custodian shall not be liable for any delay in the transfer of net receivables due to the Fund Custodian.
If the settlement of the Hong Kong Stock Connect fails due to the fault of the Fund Manager, and the Fund Custodian and the Fund Custodian are entrusted
The fund manager shall bear the economic losses caused by other asset portfolios. For example, due to non fund manager and fund custodian's
If the settlement of the Hong Kong Stock Connect fails due to the reason, the economic losses caused to the fund asset portfolio can be paid by the fund manager first
The fund manager shall claim compensation from the wrongdoer.
（3） Confirmation of available fund balance
The Fund Custodian shall, before 9:30 a.m. of each working day, transfer the available fund balance of the escrow account to the party approved by both parties
To the fund manager.
（4） Reconciliation of transaction records, funds and securities accounts
1. Reconciliation of transactions
The Fund Manager and the Fund Custodian shall check the transaction records on a daily basis. Before the daily disclosure of net worth, it must be insured
All the actual transaction records on the certification day are consistent with the transaction records on the fund accounting books.
2. Reconciliation of capital accounts
The fund account includes the fund's bank deposits and other accounting information. The fund account shall be verified daily by the fund custodian
Yes, the fund manager reviews the available position statement provided by the fund custodian to check the fund balance. Daily verification of bank deposit account
Yes, the account shall be consistent with the account and the account shall be consistent with the reality.
3. Reconciliation of securities accounts
Securities account refers to the type, quantity and
amount of money. The Fund Manager and the Fund Custodian shall check the balance of securities accounts on a daily basis. The securities account of the stock exchange is settled every trading day
Check the securities accounts of the inter-bank market once at the end of each month to ensure that the accounts are consistent with the reality.
（5） Basic Provisions on Fund Purchase, Redemption and Conversion
1. The Fund Manager may, in accordance with the actual situation, determine the specific date on which the Fund begins to apply for subscriptions
Redemption of the Fund Contract shall begin within 3 months after the Fund Contract takes effect, and the specific time shall be subject to the announcement. base
The Fund Manager or its entrusted registration institution shall be responsible for the confirmation and liquidation of subscription and redemption of gold units.
2. The Fund Manager shall send the Fund Manager's confirmation to the Fund Custodian on each trading day in accordance with the relevant provisions of this Agreement
Relevant data of subscription, redemption and conversion of open-ended funds, and be responsible for the authenticity, accuracy and integrity of the above data. base
The fund custodian shall timely check the receipt of subscription and transferred funds and timely transfer redemption and transfer according to the instructions of the fund manager
Disbursements. The Fund Manager shall ensure that the registration authority of the Fund (or entrusted by the Fund Manager) shall be 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.
3. The Fund Manager sends the subscription and redemption through the data transmission system jointly agreed with the Fund Custodian
If the system cannot send data normally due to various reasons, both parties can solve the problem through negotiation. The fund or
In case of loss of one party to this agreement, the party whose system fails to transmit data normally shall be liable for compensation, but the situation caused by force majeure
Shape exclusion; If it is caused jointly by both parties, they shall bear corresponding responsibilities according to their own fault degree. The Fund Manager reports to the Fund Custodian
The data sent shall be kept by both parties in accordance with relevant regulations.
4. The Fund Manager shall ensure that the interface specification of the registration data it sends is maintained with the interface specification of the Fund Custodian
agreement.
5. Opening and management of special account for fund registration and clearing
In order to meet the needs of fund transfer such as subscription and redemption, the Fund Manager shall open funds for fund subscription and redemption
The liquidated funds shall be registered in the special account for liquidation.
6. The fund manager shall be responsible for determining the receipt of the receivable assets generated in the process of fund purchase with the relevant parties
The Fund Custodian shall notify the Fund Custodian on the date when the fund assets fail to reach the Fund Custodian on the account day
If the Fund Manager is informed that it has taken measures to collect the funds, which has caused losses to the Fund, the Fund Manager shall be responsible to the relevant parties
The Fund Custodian shall not bear any responsibility for the recovery of the losses of the Fund.
7. Payment of redemption funds
When the Fund Custodian pays the redemption money according to the instructions of the Fund Manager, if the Fund has sufficient capital in the special custody account
The Fund Custodian shall pay in accordance with the provisions of the Fund Contract and this Agreement; If the Fund has sufficient capital in the special custody account
And the Fund Custodian has enough reasonable time to transfer funds, but the Fund Custodian fails to timely implement the legal and compliant instructions
The liability shall be borne by the Fund Custodian, except for cases caused by force majeure. Due to insufficient funds in the special custody account
The Fund Custodian fails to pay on time due to the failure of the Fund Manager. If the failure is caused by the Fund Manager, the responsibility shall be borne by the Fund Manager
Yes, the Fund Custodian does not assume the obligation of advance payment; If it is caused by a third party other than the fund manager and the fund custodian
The liability shall be borne by a third party, and the Fund Custodian shall not bear the obligation to advance money. If losses are caused to the Fund Unitholders,
The Fund Custodian shall have the obligation to cooperate with the Fund Manager to recover from a third party.
8. Fund payment execution and responsibility definition
Net transfer out and redemption, except that the fund account where the subscription amount reaches the fund custodian needs to be reconciled by both parties in the agreed way
The funds shall be paid in accordance with the relevant provisions of this Agreement. If there is no provision in this agreement, it shall be subject to the agreement of both parties
that 's ok.
The Fund Manager and the Fund Custodian shall take all necessary measures to ensure that the subscription, redemption and other funds are in compliance with the relevant provisions of this Agreement
Transfer to the designated account within the specified time. However, due to the reasons of a third party other than the Fund Manager and the Fund Custodian, force majeure
The Fund Manager and the Fund Custodian shall not be liable for the failure of funds to arrive on time due to any reason. If so
If losses are caused to the Fund, the Fund Manager shall be responsible for recovering from a third party, and the Fund Custodian shall have the obligation to assist in the recovery.
9. Suspension of redemption and massive redemption
The Fund Manager shall, in strict accordance with relevant laws and regulations and the provisions of the Fund Contract
The Bank shall deal with it accordingly and notify the Fund Custodian in a form agreed by both parties in a timely manner on the day of the suspension of redemption. fund management
People should deal with the situation of huge redemption in strict accordance with relevant laws and regulations and the provisions of the Fund Contract,
And notify the Fund Custodian in a form approved by both parties in a timely manner on the day when partial redemption is decided to be postponed.
（6） Settlement of subscription and redemption funds
1. Before T+1 day (including T+1 day, and T day is the application date), the fund manager is responsible for the subscription and redemption of investors according to T day
The confirmation data of the fund return shall be summarized and transmitted to the fund custodian. Funds subscribed by the Fund Manager and the Fund Custodian accordingly
Accounting treatment.
The fund settlement between the fund custody account and the "fund clearing account" follows the original principle of "full settlement and net settlement"
Then, the net receivable amount or net payable amount of the trusteeship account on the current day shall be determined according to the difference between the receivable funds and payable funds of the trusteeship account
To determine the amount of capital delivery. If there is a net receivable amount in the custody account, the fund manager shall
The Fund Custodian shall immediately notify the Fund Manager after the funds are transferred from the Fund Clearing Account to the Fund Custodian Account,
And fax the relevant written vouchers to the fund manager for accounting management; If there is a net payable amount in the custody account, the fund management
The Manager shall send the transfer instruction to the Fund Custodian, who shall, according to the transfer instruction of the Fund Manager
The payable amount shall be transferred to the fund clearing account before 12:00, and the fund custodian shall notify the fund manager immediately after the transfer of the fund,
And deliver the relevant written vouchers to the fund manager for accounting management.
When there is a net payable amount in the custody account, if the fund bank account has sufficient funds, the fund custodian shall allocate on time
Payment; The Fund Custodian shall timely allocate funds due to insufficient funds in the Fund's bank account
Inform the Fund Manager that if it is caused by the Fund Manager, the responsibility shall be borne by the Fund Manager and not by the Fund Custodian
Undertake the obligation of advance payment.
（7） Fund conversion
The Fund Manager and the Fund Custodian shall handle the fund management in accordance with relevant laws and regulations, the Fund Contract and this Agreement
Gold conversion.
（8） Responsibility determination and handling procedures for overbought or oversold funds
If the Fund Custodian finds overbought or oversold in the process of the Fund's investment in securities when performing its supervision function,
The Fund Manager shall be immediately reminded that the Fund Manager shall be responsible for the settlement of the losses caused to the Fund and the Fund Custodian
The Fund Manager shall undertake. In case of overbought behavior not due to the Fund Custodian, the Fund Manager must
Funds shall be allocated before 12:00 to complete the clearing and settlement.
7、 Calculation and accounting of fund net asset value
（1） Time and procedure for calculating and reviewing the net asset value of the Fund
1. The net asset value of the Fund refers to the value of the total asset value of the Fund minus the liabilities of the Fund. The net value of various fund units is based on
After the market is closed on each working day, the net fund asset value of such fund units is divided by the balance of such fund units on that day
Calculate. The accuracy is 0.0001 yuan, and the fifth digit after the decimal point is rounded off. The resulting error is included in the fund property. fund
The administrator may establish an emergency adjustment mechanism for net worth accuracy in the case of large redemption. If the state has other provisions, such provisions shall prevail.
2. In accordance with 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.
The Fund Manager shall be responsible for the accounting of the Fund. Therefore, for accounting issues related to the Fund
If the parties concerned still cannot reach an agreement after full discussion on the basis of equality, the fund manager's letter to the net value of the fund
The results of interest calculation shall be published to the public. The Fund Manager shall evaluate the assets of the Fund every working day. But the fund manager
Except when the valuation is suspended according to laws and regulations or the fund contract. The valuation principle shall comply with the Fund Contract and Securities Investment
The Fund Accounting Business Guidelines and other laws and regulations. After the end of each business day of the fund manager
Calculate the net value of various fund units and the net value of fund assets on the current day and send them to the fund custodian in a way agreed by both parties. fund
The custodian shall review the net value calculation result and send it to the fund manager in a way agreed by both parties, and the fund manager shall follow the agreement
Publicity.
3. According to the Fund Law, the Fund Manager calculates and publishes the net value of the Fund, and the Fund Custodian reviews and reviews the Fund
Net value of the fund calculated by the fund manager. The accounting responsible party of the Fund is the Fund Manager
If no agreement can be reached after full discussion on the basis of equality among relevant parties
The results of the calculation of the net value of the Fund shall be published to the public.
If laws, regulations and regulatory authorities have mandatory provisions, such provisions shall prevail. If there is any new item, it shall be evaluated according to the latest national regulations
Value.
（2） Fund asset valuation
The valuation principles shall comply with the Fund Contract, the Guidelines for Accounting Business of Securities Investment Funds and other laws and regulations
Provisions.
When the valuation method specified in relevant laws and regulations or the Fund Contract cannot objectively reflect the fair value of the fund property,
The Fund Manager may, according to the specific circumstances and after consultation with the Fund Custodian, value at the price that best reflects the fair value.
（3） Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the assets of the main pocket account shall be valued and disclosed in accordance with the provisions of the Fund Contract
The disclosure of the net fund value of the main pocket account is suspended.
（4） Valuation error handling
1. When there is an error within 4 decimal places (including the 4th decimal place) of the net value of any type of fund unit, it shall be deemed as such type of fund
The net value of shares is wrong; In case of any error in the calculation of the net value of fund units, the Fund Manager shall immediately correct it and notify the Fund
Custodian, and take reasonable measures to prevent further expansion of losses; The error deviation of the net value of various fund units reaches this type of base
When 0.25% of the net value of gold units, the Fund Manager shall notify the Fund Custodian and report to the CSRC for filing; Error deviation
When reaching 0.5% of the net value of such fund units, the fund manager shall make an announcement; Inform the fund custodian and report to the CSRC
keep on record; In case of any error in net value calculation, the Fund Manager shall be responsible for handling the problem, thus giving the Fund Unitholders and the Fund
In case of loss, it shall be handled in accordance with the principles and procedures for handling valuation errors agreed in the Fund Contract and this Agreement.
2. When the calculation error of the net value of fund units is caused to the fund and fund units due to the fund manager and fund custodian
When compensation is required for losses caused by someone, the Fund Manager and the Fund Custodian shall define the responsibilities of both parties according to the actual situation
The liability shall be compensated according to the following terms after confirmation:
(1) The Fund Manager shall be responsible for the accounting of the Fund. Accounting issues related to the Fund, such as
After full discussion on the basis of equality between the two parties, if no agreement can be reached, it shall be implemented according to the suggestions of the fund manager
The Fund Manager shall be responsible for compensating the direct losses caused by the gold share holders and the Fund property.
(2) For example, the calculation results of the Fund Manager and the Fund Custodian on the net value of the Fund units, despite repeated recalculations and
After verification, if no agreement can be reached, in order to avoid the situation that the net value of fund units cannot be announced on time, it shall be calculated by the fund manager
The calculation results shall be published to the public, and the Fund Manager shall be responsible for the direct losses caused to the Fund Unitholders and the Fund
Pay.
(3) Due to the information error provided by the fund manager (including but not limited to the fund purchase or redemption amount)
The Fund Manager shall be liable for the losses of the Fund Unitholders and the Fund property caused by the calculation error of the net value of the Fund units
Pay.
3. Due to force majeure, or third parties such as stock exchanges, foreign exchange markets, registration and clearing companies and deposit banks
Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures
The Fund Manager and the Fund Custody shall be responsible for the error in the valuation of the Fund assets caused by the failure to find any error after the inspection
People are exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate the resulting
Impact.
4. The net value of the fund manager and the fund custodian due to their respective technical system settings shall be used to calculate the tail difference
The calculation result of the manager shall prevail.
5. If the above contents are otherwise stipulated by laws and regulations or regulatory authorities, their provisions shall prevail. If the industry has other practices
In accordance with the Law of the People's Republic of China, both parties shall negotiate in the principle of equality and protection of the interests of fund share holders.
（5） Suspension of valuation and announcement of net value of fund units
1. The securities, futures trading market and foreign exchange market involved in the fund investment are suspended on statutory holidays or for other reasons
Business hours;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure or other circumstances
Hour;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date, after consultation and confirmation with the fund custodian,
The Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the Fund Contract.
（6） Establishment of fund account book
After the Fund Contract comes into force, the Fund Manager and the Fund Custodian shall follow the same bookkeeping party agreed by the relevant parties
Methods and accounting treatment principles, independently set up, record and keep the full set of account books of the Fund
The account books shall be checked regularly and mutually supervised to ensure the safety of fund assets. If both parties have different opinions on accounting treatment methods
In case of discrepancy, the handling method of the Fund Manager shall prevail.
If the accounts of relevant parties are found to be inconsistent after reconciliation, the Fund Manager and the Fund Custodian must find out the reasons in a timely manner
And make corrections to ensure that the records of the account books recorded in parallel by the relevant parties are completely consistent. If the check on the current day is inconsistent, it cannot be found temporarily
If the calculation and announcement of the net value of the Fund is affected by the reason of wrong account, the account book of the Fund Manager shall prevail.
（7） Preparation and review of regular reports of the Fund
1. The financial statements of the Fund shall be independently prepared by the Fund Manager and the Fund Custodian on a monthly basis. The preparation of monthly statements shall
It shall be completed within 5 working days after the end of each month.
2. After the Fund Contract takes effect, if the information in the Prospectus of the Fund changes significantly, the Fund Manager shall
Within three working days, update the prospectus of the Fund and publish it on the specified website; Occurrence of other information in the fund prospectus
In case of any change, the Fund Manager shall update it at least once a year. If the fund terminates its operation, the fund manager will no longer update the fund recruitment
instructions. The Fund Manager shall complete the preparation and announcement of the quarterly report within 15 working days from the end of the quarter; In the first half of the year
The interim report shall be prepared and announced within two months from the date of completion; Complete the annual report within three months from the end of each year
Prepare and publish.
3. The fund manager shall complete the monthly report within 5 working days, and affix the official seal to the report on the day when the monthly report is completed
After that, the relevant report shall be submitted to the Fund Custodian by encrypted fax for review; The Fund Custodian shall reply within 3 working days
And notify the Fund Manager of the review results in writing in a timely manner. The Fund Manager shall complete the quarterly report within 7 working days,
On the day when the quarterly report is completed, the relevant report shall be submitted to the Fund Custodian for review, and the Fund Custodian shall, within 7 working days after receiving it
And notify the Fund Manager of the review results in writing. The Fund Manager shall complete the interim report within 30 days
On the day when the interim report is completed, the relevant report shall be submitted to the Fund Custodian for review, and the Fund Custodian shall reply within 30 days after receiving it
And notify the Fund Manager of the review results in writing. The Fund Manager shall complete the annual report within 45 days
On the day of completion, the relevant report will be submitted to the Fund Custodian for review. The Fund Custodian will review the report within 45 days after receiving it and will review the report
The result shall be notified to the fund manager in writing.
4. When the Fund Custodian finds discrepancies in the statements of relevant parties during the review process, the Fund Manager and the Fund Custodian
The custodian shall jointly find out the reasons and make adjustments, which shall be subject to the accounting treatment method recognized by the relevant parties. Check without error
After that, the Fund Custodian shall affix its seal on the report provided by the Fund Manager or issue a certificate with the business seal of the custody business department affixed
The review opinions shall be kept by each party concerned. If the Fund Manager and the Fund Custodian cannot make an announcement on
The Fund Manager shall have the right to publish an announcement in accordance with the statement prepared by the Fund Manager
The custodian has the right to report relevant information to the CSRC for filing.
5. After the Fund Custodian has reviewed the financial accounting report, interim report or annual report, it shall seal for confirmation or issue
Corresponding review confirmation letter shall be provided for prompt when the competent authority reviews relevant documents.
8、 Fund income distribution
（1） Principle of fund income distribution
Fund income distribution refers to the distribution amount and proportion of the fund's distributable profits determined according to the income distribution plan
The number of fund units held shall be distributed to the fund unit holders in proportion.
The income distribution shall comply with the provisions of the Fund Contract on the principle of income distribution.
（2） Procedures for Formulation and Implementation of Fund Income Distribution Plan
The fund manager shall formulate the fund income distribution plan in accordance with the relevant provisions of the Fund Contract.
The fund manager shall draw up the fund income distribution plan and the fund custodian shall review it. Fund manager after review
It shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures; If the Fund Manager and the Fund Custodian do not
The Fund Custodian has the obligation to agree on the income distribution plan and relevant
The explanation of the situation shall be submitted to the CSRC for filing and the fund manager shall be notified in writing, and the fund shall be started from the date when the above documents are submitted
The Manager has the right to publicly announce its proposed income distribution plan, and the Fund Custodian has the obligation to assist the Fund Manager in its implementation
The income distribution plan, unless there is evidence to prove that the plan violates laws and regulations and the Fund Contract.
（3） Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not carry out income distribution, as detailed in the prospectus.
9、 Information disclosure
（1） Confidentiality obligations
Except in accordance with the Fund Law, the Information Disclosure Measures, the Fund Contract and the CSRC's
In addition to the disclosure of the relevant provisions, the Fund Manager and the Fund Custodian have the information generated in the operation of the Fund and obtained from the other party
The obtained business information shall be kept confidential. Any information of the Fund Manager and the Fund Custodian on the Fund, the Exclusion Law
In addition to the regulations, it shall not disclose to any third party before its public disclosure. However, the following should not be considered
The Fund Manager or the Fund Custodian violates the confidentiality obligation:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the court judgment, arbitration award or CSRC and other regulatory authorities
Information disclosure or disclosure made by the order or decision of the organization.
（2） Contents of information disclosure
1. The Fund Manager and the Fund Custodian shall bear the corresponding
Information disclosure responsibilities. The Fund Manager and the Fund Custodian shall actively cooperate, supervise and supervise each other to ensure their performance
The Bank's obligation to disclose in accordance with the statutory manner and time limit.
2. Information disclosure of the Fund mainly includes the Fund Prospectus, the Fund Contract, the Fund Custody Agreement and the Fund Assets
Summary of product information, announcement on the sale of fund units, announcement on the effectiveness of the Fund Contract, and regular report of the Fund (including the annual report of the Fund)
Report, Fund Interim Report and Fund Quarterly Report), Interim Report, Fund Net Value Information, Fund Share Purchase and Redemption Price
Qualification, clarification announcement, resolution of the general meeting of fund share holders, liquidation report, asset-backed securities, non-public offering of shares
Investment in short-term corporate bonds, credit derivatives, treasury bond futures and stock index futures of securities companies, and investment in Hong Kong stocks
Other necessary announcement documents, such as the trading situation of the shares of the General Standard and the information disclosure during the implementation of the side pocket mechanism, shall be managed by the Fund
We are responsible for drafting and publishing.
3. The Fund Manager and the Fund Custodian shall strictly comply with the information disclosure requirements specified in the Fund Contract. Net fund
Value information, net value of various fund units, purchase and redemption price of fund units, regular fund reports and updated recruitment instructions
The publicly disclosed fund information such as the prospectus, the summary of fund product information, and the fund liquidation report shall be subject to the fund custody
In case of review by the custodian, the Fund Custodian shall conduct review and examination, and make written or electronic confirmation to the Fund Manager. mutually
The relevant information may be released only after it is verified by the Fund Custodian as correct. Other information disclosures that do not need to be reviewed by the Fund Custodian,
The Fund Custodian shall be informed in a timely manner. The financial and accounting report part of the annual report shall be subject to the following procedures:
It can be disclosed only after being audited by the accounting firm specified in the Securities Law of the People's Republic of China.
4. The fund manager shall, within the time specified by the CSRC, pass the fund information that should be disclosed through the
Newspapers and periodicals with conditions specified by the CSRC and Internet websites specified in the Information Disclosure Measures. According to laws and regulations
Information that should be publicly disclosed by the Fund Custodian will be published by the Fund Custodian through the specified newspapers or the Internet website of the Fund Custodian
Public disclosure.
（3） Responsibilities and information disclosure procedures of the Fund Manager and the Fund Custodian in information disclosure
1. Responsibilities
The Fund Custodian and the Fund Manager shall take the protection of the interests of the Fund Unitholders as the purpose in the process of information disclosure, and shall be honest
Be honest and keep secrets strictly. The Fund Manager shall be responsible for handling the information disclosure related to the Fund that shall be responsible by the Fund Manager
It is advisable to notify the Fund Custodian in advance of the matters that should be reviewed by the Fund Custodian as prescribed in paragraph (2) of this Article
The custodian shall give a written reply within the specified time after receiving the notice.
2. Procedure
The information disclosure documents that must be reviewed by the Fund Custodian according to relevant regulations shall be drafted by the Fund Manager and placed under the custody of the Fund
The Fund Manager shall make an announcement after review by the Fund Manager.
In case of any event required to be disclosed in the Fund Contract, it shall be announced in accordance with 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 is kept in their respective residences for public reference and reproduction. The investor can obtain the above documents after paying the production cost
A copy or photocopy of.
The Fund Manager and the Fund Custodian shall ensure that the content of the text is completely consistent with the content of the announcement.
4. Suspension or delay of disclosure of fund related information
(1) Force majeure;
(2) The securities/futures trading market and foreign exchange market involved in the fund investment are temporarily on legal holidays or for other reasons
When the business is closed;
(3) Valuation suspension occurs;
(4) Laws and regulations, the Fund Contract or the situation stipulated by the CSRC.
10、 Fund expenses
Fund expenses shall be withdrawn and paid in accordance with the provisions of the Fund Contract.
（1） Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 1.00% of the net asset value of the Fund on the previous day. The calculation method of management fee is as follows
Bottom:
H ＝ E × 1.00% ÷ Days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated to the end of each month day by day, and paid monthly. By the Fund Custodian in accordance with the
The manager checks the consistent financial data, and automatically pays according to the designated account path within 5 working days at the beginning of the next month. if
In case of legal holidays, rest days, etc., the payment date shall be postponed. After the expenses are automatically deducted, the fund manager shall check, such as
In case of any discrepancy in data, the Fund Custodian shall be contacted in a timely manner for settlement.
（2） Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.10% of the net asset value of the Fund on the previous day. The calculation method of custody fee is as follows
Bottom:
H ＝ E × 0.10% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily, accumulated to the end of each month day by day, and paid monthly. By the Fund Custodian in accordance with the
The manager checks the consistent financial data, and automatically pays according to the designated account path within 5 working days at the beginning of the next month. if
In case of legal holidays, rest days, etc., the payment date shall be postponed. After the expenses are automatically deducted, the fund manager shall check, such as
In case of any discrepancy in data, the Fund Custodian shall be contacted in a timely manner for settlement.
（3） Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and the sales service fee for Class C fund units is based on the Class C basis of the previous day
The annual fee rate of 0.40% of the net asset value of gold shares is calculated. The calculation method is as follows:
H ＝ E × 0.40% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
The sales service fee is accrued daily, accumulated day by day to the end of each month, and paid monthly. By the Fund Custodian in accordance with the
The manager checks the consistent financial data, and automatically pays according to the designated account path within 5 working days at the beginning of the next month. pin
The selling service fee shall be collected by the registration agency on behalf, and the registration agency shall pay it to the fund sales agency according to the relevant contract after receiving it. Contingency method
The payment date shall be postponed if holidays and rest days are fixed. After the expenses are automatically deducted, the Fund Manager shall check them
If the data are inconsistent, the Fund Custodian shall be contacted in a timely manner for negotiation.
The sales service fee is mainly used for the sale of funds and the services of fund share holders.
（4） Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the assets of the side pocket account, but should be
The side pocket account can be disbursed only after the assets are realized, and the relevant fees can be charged or remitted as appropriate, but the management fees cannot be charged. See the bidding invitation for details
Provisions of the prospectus or relevant announcements.
11、 Custody of the Register of Fund Unitholders
The list of Fund Unitholders properly kept by the Fund Manager, including the effective date of the Fund Agreement and the Fund Agreement
Fund Unitholders on the termination date, the equity registration date of the general meeting of Fund Unitholders, June 30 and December 31 of each year
roster. The contents of the register of fund unit holders must include the names of fund unit holders and the fund units they hold.
The register of fund unit holders shall be prepared and kept by the fund registration agency of the fund in accordance with the instructions of the fund manager
The Manager shall keep the register of Fund Unitholders in accordance with the current relevant rules. The storage mode can be electronic or document
Formula. The storage period shall not be less than the minimum period stipulated by laws and regulations.
Before the Fund Custodian prepares the interim report and annual report, the Fund Manager shall
The list of fund holders shall be sent to the fund custodian in the form of electronic or document and its authenticity shall be guaranteed
Real, accurate and complete. The Fund Custodian shall keep it properly and shall not use the register of holders for other purposes than fund custody
Other uses.
12、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager and the Fund Custodian shall keep complete fund account books, original vouchers and bookkeeping of the Fund according to their respective responsibilities
Vouchers, transaction records, announcements, important contracts and other relevant materials shall be kept confidential and kept within the specified period. fund
The Manager shall keep the records, account books, statements and other relevant materials of the fund property management business activities, and the Fund Custodian shall
Keep records, account books, statements and other relevant materials of fund custody business activities. The storage period shall not be less than laws and regulations
The minimum fixed number of years.
（2） Establishment of contract archives
1. The Fund Manager or the Fund Custodian shall, after signing the contract related to the Fund, promptly comply with relevant laws and regulations
In accordance with the provisions of this Agreement, the original or copy of the contract shall be submitted to the other party.
2. The Fund Manager and the Fund Custodian shall, in accordance with their respective responsibilities, keep the originals of all contracts signed with respect to the Fund assets
Ben.
（3） Change and assistance
If the Fund Manager and the Fund Custodian are changed, the unchanged party is obliged to assist the changed successor to accept
Corresponding documents.
13、 Replacement of Fund Manager and Fund Custodian
（1） Replacement of Fund Manager
1. Conditions for replacement of the Fund Manager
Under any of the following circumstances, the duties of the fund manager shall be terminated:
(1) Having been disqualified from fund management according to law;
(2) Dismissed by the general meeting of fund unit holders;
(3) It is dissolved, canceled or declared bankrupt according to law;
(4) Other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract.
2. Procedures for changing the fund manager
(1) Nomination: The new fund manager shall be the fund custodian or the fund custodian alone or jointly holding more than 10% (including 10%) of the fund
Nomination of fund unit holders of gold units;
(2) Resolution: The general meeting of fund share holders shall manage the nominated funds within 6 months after the termination of the duties of the fund manager
The manager shall form a resolution, which shall be subject to more than 2/3 (including 2/3) of the voting rights held by fund share holders attending the meeting
The resolution shall come into force as of the date of voting;
(3) Temporary fund manager: Before the new fund manager is appointed, the CSRC will designate a temporary fund manager
People;
(4) Filing: the resolution of the General Meeting of Fund Unitholders to change the Fund Manager must be reported to the CSRC for filing;
(5) Announcement: After the replacement of the Fund Manager, the Fund Custodian shall appoint the holders of fund units who change the Fund Manager
After the resolution of the meeting takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
(6) Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business information and timely
Handle the transfer procedures of fund management business with the temporary fund manager or the new fund manager
The Fund Manager shall take over in a timely manner. The temporary fund manager or the new fund manager shall check the fund assets with the fund custodian
Gross value of assets and net value of fund units;
(7) Audit: if the duties of the fund manager are terminated, an accounting firm shall be engaged to audit the fund in accordance with laws and regulations
The assets shall be audited, and the audit results shall be announced and reported to the CSRC for filing. The audit fees shall be listed in the fund assets
Branch;
(8) Change of fund name: after the replacement of the fund manager, if required by the original or new fund manager
It is required to replace or delete the name words related to the original fund manager in the fund name.
3. After the former fund manager's duties are terminated, the new fund manager or temporary fund manager accepts the fund management business
Previously, the former Fund Manager and Fund Custodian need to take prudent measures to ensure the safety of fund assets and not hold fund shares
Someone's interests cause losses, and has the obligation to assist the new fund manager or temporary fund manager to restore the fund assets as soon as possible
Investment operation.
（2） Replacement of Fund Custodian
1. Conditions for replacement of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
(1) The fund custody qualification is canceled according to law;
(2) Dismissed by the general meeting of fund unit holders;
(3) It is dissolved, canceled or declared bankrupt according to law;
(4) Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2. Procedures for changing the Fund Custodian
(1) Nomination: The new Fund Custodian shall be held by the Fund Manager alone or jointly by more than 10% (including 10%) of the Fund
Nomination of fund unit holders of gold units;
(2) Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The administrator forms a resolution, which requires more than 2/3 (including 2/3) of the voting rights held by fund share holders attending the meeting
It is adopted by voting and takes effect from the date of adoption;
(3) Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall designate a temporary fund custodian
People;
(4) Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing;;
(5) Announcement: After the replacement of the Fund Custodian, the Fund Manager shall be responsible for
After the resolution of the meeting takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
(6) Handover: Where the duties of the Fund Custodian are terminated, the Fund Custodian shall properly keep the Fund assets and the Fund custody business information, and
To handle the transfer procedures of fund assets and fund custody business with the new fund custodian or temporary fund custodian
The Fund Custodian or the Temporary Fund Custodian shall take over in a timely manner. The new fund custodian or temporary fund custodian shall
The fund manager checks the total value of the fund assets and the net value of the fund units;
(7) Audit: If the duties of the Fund Custodian are terminated, an accounting firm shall be engaged to audit the Fund in accordance with laws and regulations
The assets shall be audited, and the audit results shall be announced and reported to the CSRC for filing. The audit fees shall be included in the fund assets
List expenses.
3. After the original Fund Custodian's duties are terminated, the new Fund Custodian or the temporary Fund Custodian accepts the Fund assets and funds
Prior to the custody business, the original fund custodian and the fund manager shall take prudent measures to ensure the safety of the fund assets, and shall not
The interests of unit holders cause losses, and they are obliged to assist the new fund custodian or temporary fund custodian to hand over the funds as soon as possible
Gold assets.
（3） Procedures for simultaneous replacement of the Fund Manager and the Fund Custodian
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, 10% of the total Fund shares will be held by the Fund Manager alone or jointly
The above (including 10%) fund share holders nominate new fund managers and fund custodians;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new Fund Manager and the new Fund Custodian shall change the funds of the Fund Manager and the Fund Custodian
After the resolution of the general meeting of unit holders takes effect, it shall be jointly announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
14、 Prohibited acts
The behaviors prohibited by the parties to the custody agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian mix their own property or other people's property with the Fund property to engage in securities
investment.
（2） The Fund Manager and the Fund Custodian treat unfairly the different fund assets under their management or custody.
（3） The Fund Manager and the Fund Custodian make use of the Fund assets to make profits for a third party other than the Fund Unitholders
Benefits.
（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 information that has not been disclosed in accordance with laws and regulations during the operation of the Fund
Information disclosed in a public way.
（6） The Fund Manager issues investment instructions, redemption and dividend to the Fund Custodian without sufficient funds
The transfer order of funds, or the order sent to the fund custodian in violation of regulations.
（7） The Fund Custodian delays or refuses to execute the effective instructions of the Fund Manager that comply with this Agreement.
（8） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior managers are concurrently
Position.
（9） The Fund Custodian privately uses or disposes of the Fund assets in accordance with the legal instructions of the Fund Manager and the Fund Agreement
Or the provisions of the custody agreement.
（10） The Fund Manager and the Fund Custodian may not use the Fund assets for the following investments or activities:
1. Underwriting securities;
2. Loan or provide guarantee to others in violation of regulations;
3. Investment with unlimited liability;
4. Buying and selling other fund units, unless otherwise stipulated by the CSRC;
5. Make capital contributions to its fund manager and fund custodian;
6. Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
7. Other activities prohibited by laws, administrative regulations and CSRC.
（11） Other acts prohibited by laws and regulations and the Fund Contract, as well as in accordance with the relevant provisions of laws and regulations
Other acts prohibited by the CSRC for fund managers and fund custodians. Acquired by laws, administrative regulations or regulatory authorities
To eliminate or change the above prohibitive provisions, if applicable to the Fund, the Fund Manager has the right to follow the law after performing appropriate procedures
The regulation or the regulation adjusted or modified by the regulatory authority shall be implemented, and the obligation of information disclosure shall be performed to investors.
15、 Change and termination of fund custody agreement and liquidation of fund assets
（1） Change and termination of custody agreement
1. Change procedure of custody agreement
The parties to this agreement may change the contents of the agreement upon consensus. The changed trusteeship agreement
The contents shall not conflict with the provisions of the Fund Contract and shall be added by the Fund Manager and the Fund Custodian
Official seal or special seal for contract and signature (or seal) of legal representatives or authorized agents of both parties for confirmation. Fund Custodian Association
The change of the discussion shall be reported to the CSRC for filing.
2. Termination of the Fund Custody Agreement
This Escrow Agreement shall be terminated in the following circumstances:
(1) The Fund Contract is terminated;
(2) The Fund Custodian is dissolved, revoked, bankrupt or has other Fund Custodian take over the Fund assets;
(3) The Fund Manager is dissolved, revoked according to law, bankrupt or other Fund Managers take over the management of the Fund
Right;
(4) In case of termination under laws and regulations or the Fund Contract.
（2） Liquidation of fund assets
1. Fund asset liquidation team: establish a liquidation team within 30 working days from the date of termination of the Fund Contract
The Fund Manager shall organize a fund asset liquidation group and carry out fund liquidation under the supervision of the CSRC.
2. Before the Fund assets liquidation team takes over the Fund assets, the Fund Manager and the Fund Custodian shall
The provisions of the Trust Agreement and the Trust Agreement continue to perform the responsibility of protecting the security of the Fund's assets.
3. Composition of the fund assets liquidation group: the fund assets liquidation group consists of the fund manager, the fund custodian
The composition of certified public accountants, lawyers and personnel designated by the CSRC according to the Securities Law of the People's Republic of China. base
The gold property liquidation team may employ necessary staff.
4. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation, valuation and change of the Fund assets
Present and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
5. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Asset Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to issue the liquidation report
Legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) To distribute the remaining assets of the Fund;
6. Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The fund assets liquidation group shall pay the remaining assets of the fund in priority.
7. Fund assets shall be paid off in the following order:
(1) Payment of clearing fees;
(2) Pay the taxes owed;
(3) Pay off fund debts;
(4) It shall be distributed in proportion to the fund units held by the fund unit holders.
Fund assets shall not be distributed to fund share holders until they have been paid off in accordance with the provisions of Items (1) - (3) of the preceding paragraph.
（3） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the Fund assets has been approved in accordance with
The accounting firm specified in the Securities Law shall audit and the law firm shall issue a legal opinion, which shall be reported to the CSRC for filing and
Notice. The Fund Assets Liquidation Announcement shall be issued by the Fund Assets Management Department within 5 working days after the Fund Assets Liquidation Report is submitted to the CSRC for filing
The property liquidation group makes an announcement. The fund assets liquidation group shall publish the liquidation report on the specified website and submit the liquidation report
The advisory announcement shall be published in the required newspapers and periodicals.
（4） Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian for a period not less than the minimum period prescribed by laws and regulations.
16、 Liability for breach of contract
（1） If the Fund Manager or Fund Custodian fails to perform this Agreement or violates this Agreement due to its fault
The party at fault shall bear the liability for breach of contract and compensate for the direct loss if it has caused losses to the other party
Reimbursement. In case of failure to perform this Agreement or breach of this Agreement due to the fault of both parties
The parties shall bear their respective liabilities for breach of contract and, if damage is caused to the fund assets or fund unit holders, shall
Be liable for compensation for their respective acts according to law; Damage to fund assets or fund share holders due to joint actions
Shall bear joint and several liability for compensation. Compensation for losses shall be limited to direct losses. However, in the following cases
Person exemption:
1. The Fund Manager and the Fund Custodian shall act or not act in accordance with the then effective laws and regulations or the provisions of the CSRC
Loss caused by the accident;
2. Losses caused by the Fund Manager's investment in accordance with the investment principles specified in the Fund Contract;
3. Force majeure.
4. Computer system failure, network failure, communication failure, power failure, computer virus attack, changes in laws and regulations
Abnormal suspension or termination of business of registration and transfer registrant, abnormal suspension or suspension of trading of stock exchange, etc
Data errors sent by stock exchanges and registration and clearing companies and other causes beyond the control of fund managers and fund custodians
The Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures to
The Fund Manager and the Fund Custody shall be responsible for the loss of the Fund property or investors caused by the failure to find any error after inspection
People are exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate the impact caused thereby
Sound.
（2） In case of breach of contract by one or more parties
The Fund Contract shall continue to be performed if it can continue to be performed. The non breaching party has obligations within the scope of its duties and
Take necessary measures to prevent the expansion of losses. If the loss is further aggravated due to the failure to take appropriate measures
Claim compensation for the expanded loss. The reasonable expenses incurred by the non defaulting party to prevent the loss from expanding shall be borne by the defaulting party.
（3） Due to the uncontrollable factors of the Fund Manager and the Fund Custodian, business errors occur
And the Fund Custodian have taken necessary, appropriate and reasonable measures to carry out the inspection, but failed to find any errors
The Fund Manager and the Fund Custodian shall be exempted from compensation liability for the loss of the Fund property or investors caused by this. But the fund manager
And the Fund Custodian shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
17、 Applicable Law and Dispute Resolution
（1） This agreement is governed by the laws of the People's Republic of China (for the purpose of this agreement, Hong Kong and Macao are excluded here
Laws of the Special Administrative Region and Taiwan), and shall be interpreted accordingly.
（2） Both parties agree that all disputes arising out of or in connection with this Agreement, unless otherwise agreed
If the dispute can be settled through negotiation, it shall be submitted to China International Economic and Trade Arbitration Commission for arbitration in accordance with its arbitration rules in effect at that time
Arbitration. The place of arbitration is in Beijing. The arbitral award is final and binding on both parties. Except arbitration
The arbitration fee shall be borne by the losing party if the award decides otherwise.
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 Contract and this Custodian Agreement and safeguard the legitimate rights and interests of fund share holders.
18、 Validity and text of the Fund Custody Agreement
（1） This Agreement shall be sealed by both the Fund Manager and the Fund Custodian with official seal or special seal for contract and dual method
Signature or seal of the legal representative or authorized representative. The official text of this agreement is the text registered by the CSRC. fund management
The applicant shall ensure that the text submitted to the CSRC for registration/filing is consistent with the text signed by both parties.
（2） This Agreement shall be established on the date of establishment of the Fund Contract and shall come into force on the date of effectiveness of the Fund Contract,
The period of validity is from the effective date to the date when the liquidation result of the fund assets is reported to the CSRC for filing and announced. In case of occurrence of the
In other circumstances as stipulated in Article 15, the contract shall terminate when the corresponding circumstances occur. Involved between the Fund Manager and the Fund Custodian
In the division of rights and obligations, if the agreement is inconsistent with the Fund Contract, the agreement shall prevail.
（3） This agreement has the same legal binding force on all parties since the effective date.
（4） The original of this agreement is in triplicate. In addition to one copy submitted to the relevant regulatory authority
Each administrator holds one copy, each of which has the same legal effect.
19、 Other matters
（1） Both parties hereby confirm that both parties have fully understood and understood that both parties oppose their employees to seek employment by taking advantage of their positions
What form of interests, and promise to avoid such situations in the principle of integrity and fairness, and not to provide private information to the employees of the other party
Any form of rebate, cash gift, securities, valuables, various rewards, personal expense compensation, private travel
Improper interests such as consumption and entertainment.
（2） Anti money laundering obligations
During the duration of business under this Agreement, both parties hereto shall perform their respective anti money laundering obligations in accordance with laws and regulations, and
Actively cooperate with the other party to carry out customer identification work according to relevant anti money laundering requirements of regulatory authorities within the mandatory scope of laws and regulations
To provide true, accurate and complete information that must be provided according to law, and comply with the mandatory provisions of laws and regulations
Management regulations of both parties on anti money laundering and anti terrorist financing. The Fund Custodian has reasonable grounds to suspect that the Fund Manager is in the Association
The business under discussion is suspected of participating in the United Nations Security Council, the Financial Action Task Force on Anti money Laundering, China, the United States, the European Union
Money laundering, terrorist financing or (weapons of mass destruction) financing activities recognized by the United Kingdom, Singapore and other international organizations or countries
The Fund Custodian has the right to comply with the anti money laundering regulations of the People's Bank of China
And internal management regulations. At the same time, the Fund Custodian has the right to require the Fund Manager to undertake
All losses caused to the Fund Custodian, and have the right to limit and suspend the terms of this Agreement after performing the procedures prescribed by laws and regulations
And terminate this Agreement in whole or in part.
（3） Notification
1. Unless otherwise agreed in this agreement, other notices related to this agreement shall be made in writing and delivered to the agreement
The agreed address. If the relevant information changes, the changed party shall notify in writing within five (5) days from the date of the change
Know each other.
2. It shall be delivered by one party to the other party in person, or sent by fax or mail. Such notice shall be delivered by hand
If delivered, it shall be deemed as delivered at the time of delivery; If sent by fax, it shall be deemed to have been sent when the sender's fax machine shows that the fax has been sent
Da; If it is sent by post, it shall be deemed to have been delivered when the recipient signs for it; Sent by e-mail, and received by the recipient server
It shall be deemed as delivery.
3. If either party changes the address, email address, fax number or telephone number used for receiving the notice at any time
Inform the other party of the change through the mailbox agreed in this agreement or the way agreed by both parties; If the change notice is not sent
The notice or contact delivered to the above addressee or address shall be deemed as being sent and received normally.
4. Both parties confirm that the addresses, contact numbers, e-mail addresses and other delivery information listed on the first page of this agreement are valid
For mailing or electronic service. Any litigation (including first instance, second instance and retrial) arising under this Agreement
Legal documents such as letters, summonses and notices sent to them in the process of litigation and execution)
Fax, e-mail and other electronic delivery methods shall be deemed to have been sent to the mailing or electronic delivery address listed on the first page of this agreement
The specific date of service shall be subject to the provisions on the date of service in the Civil Procedure Law. The above mailing or electronic service address
Without prior notice to the other party, the change of shall not have legal effect, and the service address confirmed in this agreement shall still be deemed as valid
Address for service.
（4） For matters not covered in this Agreement, the parties shall negotiate and handle them in accordance with the Fund Contract and relevant laws, regulations and provisions
Li.
(No text below this page)
(This page is the signature page for the custody agreement of Taikang Semiconductor's quantitative stock selection stock based initiating securities investment fund, without text)
This agreement is signed by the following two parties on _______. Both parties confirm that after signing this
At the time of the agreement, both parties have explained and discussed all the terms in detail, and both parties have no doubt about all the terms of the agreement,
And have an accurate understanding of the legal meaning of the parties' rights and obligations and liability limitation or exemption clauses in this Agreement.
Fund Manager: Fund Custodian:
Taikang Fund Management Co., Ltd. Shanghai Pudong Development Bank Co., Ltd
(Official seal or special seal for contract) (Official seal or special seal for contract)
Legal representative or authorized representative: Legal representative or authorized representative:
(Signature or seal) (Signature or seal)