Taikang Fund Management Co., Ltd
Taikang Semiconductor Quantitative Stock Selection Stock Sponsored Securities Investment
Fund Prospectus
Fund Manager: Taikang Fund Management Co., Ltd
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
Important tips
The fund raising application has been approved by the CSRC on December 7, 2023 [2023] 2768
The offering registration is approved by No.
The Fund Manager guarantees that the contents of the Prospectus are true, accurate and complete. This prospectus is in the middle of
It is registered by the CSRC, but the registration of the Fund raised by the CSRC does not indicate its investment in the Fund
Making substantive judgments or guarantees on the value, market prospects and returns does not mean that there is no risk in investing in the Fund.
The investment is risky, and investors should carefully read the fund contract and this prospectus when subscribing (or subscribing) fund shares
Information disclosure documents such as prospectus and fund product information summary, to fully understand the risk and return of this fund product
The investor's own risk tolerance should be fully considered, and the willingness to subscribe (or subscribe) the fund
Make independent decisions on investment behavior such as timing and quantity, judge the investment value of the fund independently, and make investment independently
Make decisions and bear investment risks. The fund manager reminds investors of the principle of "buyer's conceit" in fund investment,
After the investor makes an investment decision, the investment risk caused by the change of the fund's operation status and the fund's net value is determined by
The investor shall bear the responsibility. The possible risks of investing in the Fund include: the system caused by the overall environment of the securities market
Sexual risk, the non systematic risk unique to individual securities, and the fund manager's failure to realize the fund at a reasonable price in a timely manner
Liquidity risk of gold assets to pay investors' redemption money (including but not limited to the liquidity of specific investment objects
Poor risk, huge redemption risk, use of swing pricing or side pocket mechanism and other liquidity risk management tools
Risk, etc.), operational risk generated in the process of fund investment, and credit risk caused by settlement default and investment in bonds
Use risk, the unique risk caused by the fund's investment object and investment strategy, etc.
The Fund may participate in the trading of stock index futures, which adopts the margin trading system
It is easy to be leveraged. In case of adverse market conditions, small changes in the stock index may cause investors' equity
Suffer great losses. The daily debt free settlement system is adopted for stock index futures. If the settlement is not made within the specified time
If the deposit is sufficient, the position will be forced to be closed according to the regulations, which may cause significant losses to the investment.
The Fund may participate in treasury bond futures trading, which adopts the margin trading system
It is easy to be leveraged. When the yield of treasury bonds with corresponding maturity changes unfavourably, it may lead to investors' equity
Suffer great losses. The daily debt free settlement system is adopted for treasury bond futures
If the deposit is sufficient, the position will be forced to be closed according to the regulations, which may cause significant losses to the investment.
The Fund may choose to transfer some funds to
Assets invested in Hong Kong stocks or choose not to invest fund assets in Hong Kong stocks
It is not necessary to invest in Hong Kong stocks. The Fund's assets invested in Hong Kong stocks will face Hong Kong
The unique wind brought by the differences in investment environment, investment object, market system and trading rules under the stock exchange mechanism
Insurance, including the risk of large fluctuations in the stock price of the Hong Kong stock market (the Hong Kong stock market implements T+0 reverse trading, and
There is no limit on the rise and fall of shares, and the stock price of Hong Kong stocks may show a more violent price wave than that of A-shares
Dynamic), exchange rate risk (exchange rate fluctuations may cause losses to the fund's investment income), trading under the Hong Kong Stock Connect mechanism
Possible risks caused by daily incoherence (when the mainland opens and Hong Kong markets are closed, Hong Kong Stock Connect cannot trade normally,
If Hong Kong shares cannot be sold in time, it may bring some liquidity risk. Please refer to the recruitment instructions for specific risks
Relevant contents of the book "Risk Disclosure".
The investment scope of the Fund includes depositary receipts, except for other funds that only invest in stocks in Shanghai and Shenzhen markets
In addition to the common risks, the Fund will also face special risks of investing in depositary receipts. For specific risks, see
Relevant contents of "risk disclosure" in the prospectus.
The Fund can invest in the stock of the Science and Technology Innovation Board, and meet with the investors under the mechanism of the Pro Science and Technology Innovation Board
And trading rules, including but not limited to market risk, stock price fluctuation risk
Dynamic risk, credit risk, concentration risk, systematic risk, policy risk, delisting risk and other risks
Insurance, etc. The Fund may choose to invest some of its assets in
Science and technology innovation board stocks or choose not to invest fund assets in science and technology innovation board stocks. Fund assets are not necessarily invested in science and technology
Emerging stocks.
In order to hedge credit risk, the Fund may invest in credit derivatives
Temporary liquidity risk, repayment risk and price fluctuation risk. For specific risks, please refer to "Risk" in the Prospectus
Risk disclosure ".
The Fund is an initiating fund. On the corresponding date three years after the effective date of the Fund Agreement, if the net assets of the Fund
If the value is less than 200 million yuan, the fund contract will be automatically terminated, and the fund may not be extended by holding a general meeting of fund share holders
During the term of the gold contract, the fund share holders face the risk of compulsory liquidation of the fund.
If the Fund Contract continues to exist three years after it comes into effect, the fund share holding will occur for 50 consecutive working days
If the number of people is less than 200 or the net asset value of the Fund is less than 50 million yuan, the Fund will
The provisions of the Gold Contract shall enter into the liquidation procedure and be terminated without convening a general meeting of fund share holders for deliberation. investment
People will face the risk of uncertainty that the fund contract may be terminated.
The Fund is an equity fund, whose expected risk and expected return are higher than those of hybrid funds and bond funds
And money market funds.
When the Fund holds specific assets and there are or potential large redemption applications, the Fund Manager shall perform corresponding
After the procedure, the side pocket mechanism can be started. See the relevant sections of the fund contract and prospectus for details. pocket
During the implementation of the mechanism, the fund manager will mark the fund abbreviation specially and will not apply for the side pocket account
Purchase and redemption. Please read the relevant content carefully and pay attention to the special features of the Fund when using the side pocket mechanism
Determine the risk.
The Fund Manager undertakes to manage and apply the Fund in accordance with the principles of due diligence, honesty, prudence and diligence
Gold property, but does not guarantee that the investment in the Fund will be profitable, nor does it guarantee the minimum return.
The selling face value of the Fund units is RMB 1.00. Under the influence of market fluctuations
The net gold value may be lower than the selling face value, and the investors of the Fund may suffer losses.
The past performance of the Fund does not predict its future performance.
The performance of other funds managed by the Fund Manager does not constitute a guarantee for the performance of the Fund.
catalog
1、 Introduction one
2、 Interpretation two
3、 Fund Manager eight
4、 Fund Custodian eighteen
5、 Relevant service agencies twenty-three
6、 Fund raising twenty-five
7、 Effectiveness of the Fund Contract thirty
8、 Subscription and redemption of fund units thirty-two
9、 Investment of the Fund forty-four
10、 Fund property fifty-four
11、 Valuation of Fund Assets fifty-five
12、 Income and distribution of the fund sixty-one
13、 Fund fees and taxes sixty-three
14、 Accounting and auditing of funds sixty-six
15、 Fund information disclosure sixty-seven
16、 Side pocket mechanism seventy-five
17、 Risk disclosure seventy-eight
18、 Change and termination of fund contract and liquidation of fund assets eighty-six
19、 Summary of Fund Contract eighty-eight
20、 Summary of Fund Custody Agreement one hundred and five
21、 Services for Fund Unitholders one hundred and twenty-two
22、 Other matters to be disclosed one hundred and twenty-four
23、 How to Store and View the Prospectus one hundred and twenty-five
24、 Documents for future reference one hundred and twenty-six
1、 Introduction
This Prospectus is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as "the Fund")
Law of the People's Republic of China on Public Offering of Securities Investment Funds
Measures for the Supervision and Administration of Securities Investment Fund Sales Agencies (hereinafter referred to as "Sales Measures")
Administrative Measures for Information Disclosure of Securities Investment Funds (hereinafter referred to as "Information Disclosure Measures")
Provisions on Liquidity Risk Management of Open ended Securities Investment Funds (hereinafter referred to as "Liquidity Risk Management")
Provisions) and other relevant laws and regulations, as well as Taikang Semiconductor Quantitative Stock Selection Stock Sponsored Securities Investment Fund
Fund Contract (hereinafter referred to as "Fund Contract").
This Prospectus describes the investment of Taikang Semiconductor's quantitative stock selection stock initiated securities investment fund
All necessary matters related to the investor's investment decisions, such as investment objectives, strategies, risks and rates
You should read this prospectus carefully before making an investment decision.
The Fund Manager undertakes that this Prospectus does not contain any false records, misleading statements or material omissions
And bear legal responsibility for its authenticity, accuracy and integrity.
The Fund is applied for raising in accordance with the information specified in this Prospectus. The Fund Manager is not entrusted
Entrust or authorize any other person to provide information not specified in this prospectus, or make
Any explanation or explanation.
This Prospectus is prepared in accordance with the Fund contract of the Fund and registered with the CSRC. Fund contract
It is a legal document that stipulates the rights and obligations between the parties to the fund contract. Acquired by the fund investor according to the fund contract
Fund units, that is, they become the fund unit holders and the parties to the fund contract, and their behavior of holding fund units
That is to say, they acknowledge and accept the Fund Contract, and in accordance with the Fund Law, the Fund Contract and other relevant regulations
Stipulate rights and obligations. The fund investors want to know the rights and obligations of the fund unit holders,
The fund contract should be consulted in detail.
2、 Interpretation
In this prospectus, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: Taikang Semiconductor Quantitative Stock Selection Equity Sponsored Securities Investment Fund
2. Fund Manager: Taikang Fund Management Co., Ltd
3. Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
4. Fund contract: Taikang Semiconductor Quantitative Stock Selection Equity Sponsored Securities Investment Fund
The Fund Agreement and any effective amendments and supplements to the Fund Agreement
5. Custody Agreement: refers to the "Taikang Semiconductor Volume" signed between the Fund Manager and the Fund Custodian for the Fund
Custody Agreement for the Securities Investment Fund of Chemical Stock Selection Stock Sponsored Securities and any effective amendment to the Custody Agreement
supplement
6. Prospectus or this Prospectus: Taikang Semiconductor Quantitative Stock Selection Stock Sponsorship Certificate
Securities Investment Fund Prospectus and its updates
7. Summary of fund product information: Taikang Semiconductor Quantitative Stock Selection Stock Sponsored Securities Investment Base
Gold Fund Product Information Summary and its updates
8. Announcement on the sale of fund shares: Taikang Semiconductor Quantitative Stock Selection Stock Sponsored Securities Investment Base
Announcement on Sale of Gold Fund Units
9. Laws and regulations: refer to the laws, administrative regulations, normative documents
Judicial interpretations, administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
10. Fund Law: refers to the Standing Committee of the Tenth National People's Congress
Adopted at the fifth session of the NPC and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting of the meeting, implemented since June 1, 2013
The 14th Meeting of the Standing Committee of the Second National People's Congress
Decision of the People's Republic of China on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the CSRC on August 28, 2020 and implemented on October 1 of the same year
The Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies issued by the Ministry of Finance and the promulgating authority from time to time
Revision of
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019, and September 1, the same year
Implemented and approved by the Decision of the CSRC on Amending Some Securities and Futures Regulations on March 20, 2020
The revised Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds and the regulations issued by the promulgating authority from time to time
revise
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Management Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
14. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017, the same year
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1 and promulgated
As amended from time to time by the Authority
15. China Securities Regulatory Commission: China Securities Regulatory Commission
16. Banking regulatory authority: refers to the People's Bank of China and/or the State Administration of Financial Supervision and Administration
17. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume obligations under the Fund Contract
The legal subjects of the Fund, including the Fund Manager, the Fund Custodian and the Fund Unitholders
18. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
19. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal person, public institution legal person and society legally registered and existing or established and existing with the approval of relevant government departments
Groups or other organizations
20. QFII: refers to qualified foreign institutional investors and RMB qualified foreign institutions
The Measures for the Administration of Domestic Securities and Futures Investment of Investors and relevant laws and regulations require the use of funds from overseas to
Foreign institutional investors investing in domestic securities and futures, including qualified foreign institutional investors and qualified RMB
Foreign institutional investors
21. Investors, investors: individual investors, institutional investors, qualified foreign investors and sponsors
The fund provider and other investors allowed by laws and regulations or the CSRC to purchase securities investment funds
combined term
22. Fund share holder: refers to the investment legally obtained from fund shares in accordance with the fund contract and prospectus
people
23. Fund sales business: it refers to the opening of fund trading accounts for investors, the promotion of funds, and the handling of funds
Sale, subscription, redemption, conversion, custody transfer, fixed investment and provision of fund transaction account letter
Information inquiry and other activities
24. Sales agency: Taikang Fund Management Co., Ltd. and the CSRC
Other conditions stipulated by the Fund Management Committee, obtaining the qualification of fund sales business and signing the fund sales service with the fund manager
Agreement, the institution handling fund sales business
25. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including
Establishment and management of investor's fund account, registration of fund shares, confirmation, liquidation and settlement of fund sales business
Calculate and distribute dividends on behalf of others, establish and keep the register of fund share holders and handle non trading transfer, etc
26. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is Taikang Fund Management Co., Ltd
Limited company or agency entrusted by Taikang Fund Management Co., Ltd. to handle registration business
27. Fund account: refers to the fund manager's account opened by the registration institution for investors, which records their holdings
Account for the balance of fund units under management and their changes
28. Fund transaction account: it refers to the account opened by the sales agency for the investor to record the investor's passing through the sales machine
Fund shares arising from the organization's handling of subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in amounts and balances
29. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract,
The fund manager has completed the fund filing formalities with the CSRC and obtained the written confirmation of the CSRC
date
30. Fund contract termination date: refers to the date when the fund contract termination causes specified in the fund contract occur
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of liquidation
31. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, with the longest
Not more than 3 months
32. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
33. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
34. T day: refers to that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
open house
35. T+n day: refers to the nth working day from T day (excluding T day), and n is a natural number
36. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units (such as
In the event that the Stock Exchange of Hong Kong is suspended from business on statutory holidays or for other reasons or the trading of Hong Kong Stock Connect is suspended,
The Fund Manager has the right to suspend the subscription and redemption of fund units and make an announcement according to the actual situation)
37. Opening Hours: refers to the time period during which the fund accepts subscription, redemption or other transactions on the open day
38. Business Rules: refers to the Open ended Fund Business Rules of Taikang Fund Management Co., Ltd
The business rules on the registration of open-ended securities investment funds managed by the Fund Manager shall be
Jointly abide by with investors
39. Subscription: during the fund raising period, investors apply for
Please purchase fund shares
40. Subscription: after the Fund Contract comes into effect, the investor applies for
Please purchase fund shares
41. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the provisions of the Fund Contract and the Prospectus
The act of converting fund units into cash under specified conditions
42. Fund conversion: refers to the Fund Unitholders' effective announcement at that time in accordance with the Fund Agreement and the Fund Manager
To apply for converting the fund units of a fund managed by the fund manager into funds
Behavior of other fund units managed by the manager
43. Custody transfer: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
44. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency, and the agreement on each application
On the purchase date, the amount of deduction and the method of deduction, the sales agency shall, on the agreed deduction date of each period, place the amount of deduction in the bank account designated by the investor
An investment method for automatically completing deduction and accepting fund purchase applications in the account
45. Massive redemption: refers to the net redemption application of the Fund on a single open day (the total number of redemption application units
Add the total number of transferred out application units in fund conversion and deduct the total number of subscription application units and transferred in in fund conversion
The balance after the total number of applied shares) exceeds 10% of the total fund shares on the previous open day
46. RMB: refers to RMB
47. Fund income: refers to dividend, dividend, bond interest, price difference of securities, silver
Savings on bank deposit interest, other legal income realized and costs and expenses arising from the use of fund assets
48. Total value of fund assets: refers to various securities owned by the fund, principal and interest of bank deposits, and fund receivables
Total value of funds and other assets
49. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
50. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
51. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets
Value and net value of fund units
52. Fund share category: The Fund divides fund shares into different categories of A and C. Investing
If the investor collects subscription/subscription fees when subscribing/subscribing to the fund without drawing sales service fees, it is called Class A fund share
Amount; When an investor subscribes/subscribes for fund shares, he/she does not charge subscription/subscription fees, but rather derives from the fund assets of this category
If the sales service fee is accrued in, it is called Class C fund share
53. Promoter Fund: refers to the fund raised
The fund manager, the shareholders of the fund manager, the senior managers of the fund manager or the fund manager
The personnel promise to subscribe for a certain amount of securities investment fund and hold it for a certain period
54. Originating capital: refers to the capital used for subscribing the Fund and sourced from the shareholders of the Fund Manager and fund management
Personal capital, funds of senior managers or fund managers of the fund manager. Initiate capital subscription
The amount of the Fund shall not be less than 10 million yuan, and the holding period of the fund units subscribed by the initiating capital shall not be less than three
year
55. Originating fund provider: refers to the fund subscribed with the launching fund and committed to subscribe with the launching fund
Shareholders of the Fund Manager, the Fund Manager and the Senior Manager of the Fund Manager who have held gold units for no less than three years
Managers or fund managers
56. Regulated media: national reports for information disclosure that meet the conditions specified by the CSRC
Internet websites (including the website of the fund manager and the website of the fund custodian) specified in the Information Disclosure Measures
Website, CSRC fund electronic disclosure website) and other media
57. Sales service fee: refers to the amount withdrawn from the fund property for the marketing, sales and
Service fees for fund share holders
58. Liquidity restricted assets: refer to assets that cannot be used due to laws and regulations, supervision, contracts or operational barriers
Assets realized at a reasonable price, including but not limited to reverse repurchase with maturity of more than 10 trading days
Fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares, and negotiable securities
Limited new shares, non-public shares, asset-backed securities, inability to transfer due to the issuer's debt default, or
Traded bonds, etc
59. Credit derivatives: refer to those that comply with the relevant business rules of the stock exchange or the inter-bank market and are specifically used for
Credit derivatives for managing credit risk
60. Credit protection buyer: also called credit protection buyer, refers to the party receiving credit risk protection
61. Credit protection seller: also called credit protection provider, refers to the party providing credit risk protection
62. Nominal principal: also called transaction nominal principal, it is a credit derivatives transaction to provide credit risk protection
The amount of protection. All payments and settlements are based on this amount
63. Swing pricing mechanism: when the Fund is subject to large purchase and redemption, the net amount of fund units will be adjusted
The market shock cost of the fund's adjusted portfolio is allocated to the investors who actually subscribe and redeem,
So as to reduce the adverse impact on the interests of stock fund share holders and ensure that the legitimate rights and interests of investors are not damaged
Harm and get fair treatment
64. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of account settlement is to effectively isolate and defuse risks and ensure that investors are treated fairly,
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account and the special account
The account is called side pocket account
65. Specific assets: including: (I) There is no active market price to refer to and the valuation technology is still adopted
Assets with significant uncertainty in fair value; （2） Measured at amortized cost and provision for asset impairment
Assets that still lead to significant uncertainty of asset value; （3） Significant inaccuracy in the value of other assets
Qualitative assets
66. Force majeure: refers to objective events that the parties to the fund contract cannot foresee, avoid and overcome
piece
67. Hong Kong Stock Connect: refers to the mainland investors entrust mainland securities companies to pay through the mainland and Hong Kong stock markets
The trading mechanism for the trading of stocks listed on the Stock Exchange of Hong Kong within the specified scope by the Easy Interconnection Mechanism, or
Modification or adjustment of the trading mechanism by the authority
3、 Fund manager
（1） Overview of the Fund Manager
Name: Taikang Fund Management Co., Ltd
Date of establishment: October 12, 2021
Domicile: Room 302, 1-10, Floor 3, No. 156, Fuxingmennei Street, Xicheng District, Beijing
Office address: 3/F and 5/F, Taikang International Building, No. 2, Wudinghou Street, Xicheng District, Beijing
Approval authority and approval document number: China Securities Regulatory Commission, China Securities Regulatory Commission [2021]
No. 2839
Legal representative: Jin Zhigang
Organizational form: other limited liability companies
Registered capital: 120 million yuan
Tel: 010-89620088
Contact: He Wei
Equity structure: Taikang Asset Management Co., Ltd. accounts for 80% of the company's registered capital; Jiaxing Chentaizi
Property management partnership (limited partnership) accounts for 4.3% of the company's registered capital; Jiaxing Shuntai Asset Management Partnership
The enterprise (limited partnership) accounts for 4.4% of the registered capital of the company; Jiaxing Qitai Asset Management Partnership (Limited)
Partnership) accounting for 4.4% of the registered capital of the Company; Jiaxing Yutai Asset Management Partnership (Limited Partnership)
4.4% of the company's registered capital; Jiaxing Chongtai Asset Management Partnership (limited partnership) accounts for the registered capital of the company
2.5%.
（2） Key personnel of the Fund Manager
1. Board members
Mr. Chen Yilun: Chairman, Chairman of the Nomination and Remuneration Committee, bachelor's degree. Current Taikangbao
Member of the Management Committee of Insurance Group Co., Ltd., Director and Deputy General Manager of Taikang Asset Management Co., Ltd
Member of the Management and Operation Management Committee, Vice Chairman of Taikang Asset Management (Hong Kong) Co., Ltd., Beijing Taikang
Chairman of Investment Management Co., Ltd. Jingyang Buyi, Majiang County, Qiandongnan Miao and Dong Autonomous Prefecture, Guizhou Province
Deputy secretary of the probationary league committee of the township people's government, analyst of Goldman Sachs (Asia) Co., Ltd., and successively served as Taikang Assets
Senior manager and director of investment in relevant business areas of management limited liability company, Taikang Life Insurance Co., Ltd
Head of the investment management department of the company, CEO of Taikang Asset Management (Hong Kong) Co., Ltd., Taikang Insurance Group
Head of Investment Management Department of Tuan Co., Ltd., Director and Vice Chairman of Taikang Fund Management Co., Ltd.
Mr. Jin Zhigang: Director, Master of Economics, EMBA in Finance. Current Taikang Fund Management Co., Ltd
Director, general manager and financial officer of the company. Worked in China Aerospace Industry Corporation and Taikang Life Insurance Co., Ltd
Asset Management Center of Taikang Asset Management Co., Ltd., and successively served as Assistant General Manager of Fixed Income Department of Taikang Asset Management Co., Ltd
Manager, General Manager, Fixed Income Director and Head of Fixed Income Investment Center, Deputy General Manager and Public Offering Business Department
person in charge.
Ms. Li Hong: Director, Chairman of the Audit and Risk Management Committee, Master of Finance. Current Taikang
Financial director of Asset Management Co., Ltd. and director of Beijing Taikang Investment Management Co., Ltd. Former post
Head of Budget Department of Planning and Finance Department of Pacific Property Insurance Corporation, Planning and Finance Department of Pacific Property Insurance Inner Mongolia Branch
Department Manager, Head of Finance Department of Planning and Finance Department of Pacific Property Insurance Corporation, Finance Department of Pacific Asset Management Corporation
General Manager and Deputy General Manager of Operation Department, Director of Pacific Hong Kong Investment Company.
Mr. Chen Yuyu: Independent Director, member of the Nomination and Remuneration Committee, Doctor of Economics. Current Beijing University
Professor of Economics, Guanghua School of Management, Director of the Institute of Economic Policy, Peking University, and concurrently held the post of Haode Technology Co., Ltd
External director of the limited company, independent director of Guangdong Xinhui Meida Nylon Co., Ltd., love life insurance shares
External supervisor of a limited company. Mr. Chen Yuyu once served in the Macro Department of the National Economic System Reform Commission.
Mr. Luo Yucheng: Independent Director, member of Nomination and Remuneration Committee, member of Audit and Risk Management Committee
Member, Bachelor of Economics. Currently, he is the partner and vice president of ShineWing Certified Public Accountants, and also serves as Sunshine Hengchangwu
Director of Industrial Services Co., Ltd. Mr. Luo Yucheng was once the financial manager of China National Science Equipment Import and Export Corporation
Gao, Chief Trade Representative of Moscow Representative Office of China National Science Equipment Import and Export Corporation, Toronto Yongdao Accounting Company
Level auditor, manager of CITIC Yongdao Certified Public Accountants, etc.
Mr. Yang Dong: Independent Director, member of the Audit and Risk Management Committee, Doctor of Law. Current Chinese
Director of Human Resources Department, Law Professor, Doctoral Supervisor, Distinguished Professor of "Changjiang Scholar" of Ministry of Education, and
Member of the communication economy expert of the Ministry of Industry and Information Technology, standing member of the Blockchain Special Committee of the Chinese Computer Society (CCF)
Member of the Innovation and Entrepreneurship Teaching Steering Committee of the Ministry of Education, and the Supreme People's Procuratorate for civil and administrative litigation supervision cases
Member Jia, the sixth party style, government style and police style supervisor of the Ministry of Public Security, and member of the national Internet financial security technology expert
Member, Vice President of Securities Law Research Association of China Law Society. Mr. Yang Dong once served as the legal exchange between China and Japan in the Ministry of Commerce
Representative of the Project Office, Vice President of the Law School of Renmin University of China.
2. Employee supervisor
Ms. Pang Shuizhen: employee supervisor, member of the investment decision-making committee, master of technical economy and management. incumbent
Head of the centralized trading room of Taikang Fund Management Co., Ltd. He used to be a member of Beijing Youruichi Investment Management Co., Ltd
Yi Ren, trader of Bank of Dongguan Co., Ltd., fixed income trader of Taikang Assets Centralized Trading Room
The person in charge of the centralized trading room of the Public Offering Division.
3. General Manager and other senior managers
Mr. Jin Zhigang: Director, General Manager, Financial Officer. Master of Economics, EMBA in Finance. once
Served in the Asset Management Center of China Aerospace Industry Corporation and Taikang Life Insurance Co., Ltd
Assistant General Manager, General Manager, Fixed Income Director and Fixed Income Director of Kang Asset Management Co., Ltd
Head of the Income Investment Center, Deputy General Manager and Head of the Public Offering Division.
Mr. Wu Hui: Deputy General Manager, Head of Marketing Department, Head of Shanghai Branch, Senior Master of Business Administration
Scholars. He used to be the manager of the transaction department of Zhengzhou Fengchan Road Business Department of China Galaxy Securities Co., Ltd., and the manager of Changsheng Fund Management
General Manager Assistant of Beijing Branch, General Manager of Zhengzhou Branch, Director of Marketing and Sales Headquarters, Fang
Vice General Manager of Zhengfubang Fund Management Co., Ltd., Market of Public Offering Business Department of Taikang Asset Management Co., Ltd
Department head, etc.
Mr. Chen Weiguang: Chief Inspector, Head of the Supervision and Audit Department, Doctor of Applied Economics. He once served as Hunan Yong
Staff member of Personnel and Education Section of Local Taxation Bureau of prefecture and city, Investor Investigation Center of China Securities Investor Protection Fund Corporation
Deputy Director, Deputy County Chief of Susong County People's Government of Anhui Province (temporary poverty alleviation), member service of China Securities Association
Director of the First Department, Office and Member Management Department, Chairman of Zhongju Asset Management Co., Ltd., Nordisk Fund Management
Chief Inspector of the Company, Head of Public Offering Compliance of Taikang Asset Management Co., Ltd. and Supervisor of Public Offering Business Department
The person in charge of the Audit Department.
Mr. Zhu Wei: Chief Information Officer, Head of Information Technology Department, Bachelor of Computer Science and Technology. Former post
Project Manager of Information Technology Department of Huaxia Bank, Department Manager of E-Banking Department of Huaxia Bank, Mobile Gold of Hengfeng Bank
Head of Finance Department, Head of Business Analysis and Development of Public Offering and BBC Support Department of Taikang Asset Management Co., Ltd
Head of supervision and department, public offering chief information officer and head of information technology department of public offering business unit, etc.
Ms. Su Xiaoya: head of risk control, head of risk control department, member of investment decision-making committee, international
Master of Law. He was a lawyer of Beijing Junzejun Law Firm and a senior of Taida Manulife Fund Management Co., Ltd
Legal officer, deputy manager of the supervision and audit department of Yingda Fund Management Co., Ltd. (department head), Guokai Taifu
Deputy General Manager of the Supervision and Audit Department (Legal Compliance Department) of Fund Management Co., Ltd. (presiding over the work of the department), Beijing
Leader of the public offering fund preparation team of Tianhe Sichuang Investment Management Co., Ltd., Taikang Asset Management Co., Ltd
Head of the Risk Control Department of the Raising Business Unit.
4. Fund Manager of the Fund
Mr. Wei Jun, Doctor of Quantitative Economics. Joined Taikang Public Offering in May 2019, and the current amount of Taikang Fund
Head of Chemical Investment Department. Since December 27, 2019, Taikang CSI 300 Trading Open Index
Fund manager of securities investment fund. From June 30, 2020 to now, he has served as Taikang CSI 300 open trading
Fund manager of index securities investment fund feeder fund. Served as Taikang CSI 500 since September 18, 2020
Fund manager of ETF. From July 7, 2021 to now, he has served as Taikang Zhongzheng
Fund Manager of Smart Electric Vehicle Trading Open Index Securities Investment Fund. August 27, 2021 to present
Served as fund manager of Taikang CSI Mainland Low Carbon Economy Theme Trading Open Index Securities Investment Fund. two thousand and twenty-one
From December 6, 2006 to now, he has served as Taikang Guozheng Public Health and Health Trading Open Index Securities Investment Fund
Fund manager. From August 1, 2022 to now, he has been engaged in Taikang CSI 500 transactional open index securities investment
Fund manager of the feeder fund. From September 27, 2022 to February 17, 2023, served as Taikang Zhongzheng Xinneng
Fund Manager of Source Power Battery Index Securities Investment Fund. Served as Taikang Zhongzheng from June 14, 2023 to now
Fund manager of sci-tech entrepreneurship 50 index sponsored securities investment fund. Since August 17, 2023
Fund Manager of Taikang CSI 500 Index Enhanced Sponsored Securities Investment Fund. From October 26, 2023 to
He is now the fund manager of Taikang CSI 1000 Index Enhanced Sponsored Securities Investment Fund. November 3, 2023
From now on, he has served as the fund manager of Taikang Quanlin Quantitative Value Selection Hybrid Securities Investment Fund. January 2024
Since the 31st, he has served as the initiator of Taikang Guozheng Public Health and Health Trading Open Index Securities Investment Fund
Feeder Fund Manager. From March 15, 2024 to now, he has served as Taikang Zhongzheng's low volatility trading opening bonus
Fund manager of index securities investment fund. He has successively served as quantitative researcher and fund of Guangfa Fund Management Co., Ltd
Manager assistant, fund manager, deputy general manager of quantitative investment department, etc.
5. List of members of the Investment Decision making Committee
Mr. Jin Zhigang, chairman of the Investment Decision making Committee, is currently the director and general manager of Taikang Fund Management Co., Ltd
The resume of the person in charge of management and finance is the same as above.
Mr. Gui Yueqiang, member of the Investment Decision making Committee, is currently in the Equity Investment Department of Taikang Fund Management Co., Ltd
person in charge. In August 2015, he joined Taikang Public Offering and served as the head of equity investment of the Public Offering Division. Currently, he is Thai
Head of Equity Investment Department of Comfund. From December 8, 2015 to now, he has served as Taikang's flexible allocation and mixing of new opportunities
Fund manager of type I securities investment fund. Served as Taikang Hongtai Return Hybrid Securities since June 8, 2016
Investment fund manager. From November 28, 2016 to September 22, 2020, served as Taikang Strategy Optimizer
Fund manager of active allocation hybrid securities investment fund. From June 15, 2017 to now, I have served as Taikang Xingtai Payback
Fund manager of Shanghai Hong Kong Shenzhen hybrid securities investment fund. Served from June 20, 2017 to July 2, 2020
Taikang Hengtai Return Flexible Allocation Hybrid Securities Investment Fund Fund Manager. December 13-2020, 2017
On January 10, 2006, he served as the fund manager of Taikang Jingtai Return Hybrid Securities Investment Fund. January 19, 2018
From January 20 to January 10, 2020, he served as the fund manager of Taikang Balanced Preferred Hybrid Securities Investment Fund. May 2018
From June 30 to now, he has been the fund manager of Taikang Yinian Hybrid Securities Investment Fund. June 13, 2018 - 2020
On July 24, 2006, he served as the fund manager of Taikang Yixiang Hybrid Securities Investment Fund. From August 23, 2018 to
At present, he is the fund manager of Taikang Hongshi 3-month regular open hybrid securities investment fund. May 2020
From February 20 to February 7, 2023, served as a one-year holding period hybrid securities investment fund for Taikang Zhaotai Zun
Manager. From August 14, 2020 to now, he has served as Taikang blue chip advantage one-year holding period equity securities investment fund
Fund manager. From December 22, 2020 to now, he has served as Taikang Advantage Enterprise Hybrid Securities Investment Fund
Manager. From December 14, 2021 to now, served as Taikang Dingtai one-year holding period hybrid securities investment fund
Manager Jin. He used to be an engineer of the Research Institute of Petroleum and Chemical Industry, and a deputy of the Fund Management Department of Xinhua Fund Management Co., Ltd
Director, fund manager, etc.
Ms. Jiang Lijuan, member of the Investment Decision making Committee, is currently a fixed income investor of Taikang Fund Management Co., Ltd
Head of the Capital Department. In July 2008, he joined Taikang Assets and served successively as a trader in the centralized trading room and the fixed income department
Fixed Income Investment Manager. In November 2014, he joined Taikang Public Offering as a fixed income fund manager and public offering
Head of fixed income investment of GS Division. He is now the head of fixed income investment department of Taikang Fund. June 2015
From September 19 to now, he has served as the fund manager of Taikang Payroll Yibao Money Market Fund. September 23, 2015 - 2020
On January 6, he served as the fund manager of Taikang New Return Flexible Allocation Hybrid Securities Investment Fund. December 2015
From August to December 27, 2016, he served as the fund manager of Taikang New Opportunity Flexible Allocation Hybrid Securities Investment Fund.
From February 3, 2016 to now, he has served as the fund manager of Taikang Robust and Profit increasing Bond Securities Investment Fund. 2016
From June 8 to now, he has served as the fund manager of Taikang Hongtai Return Hybrid Securities Investment Fund. January 22, 2017
He has been the fund manager of Taikang Jintai Return 3-month Regular Open Hybrid Securities Investment Fund since July. two thousand and seventeen
Since June 15, 2006, he has been the fund manager of Taikang Xingtai Return Shanghai Hong Kong Shenzhen Hybrid Securities Investment Fund. two thousand and seventeen
From August 30 to May 9, 2019, served as Taikang Annual Bonus Pure Bond One year Regular Open Bond Securities Investment
Fund Manager. From September 8, 2017 to March 26, 2020, he served as Taikang cash housekeeper in the money market
Fund Manager. From May 30, 2018 to now, he has served as the fund manager of Taikang Yinian Hybrid Securities Investment Fund
Li. Served as Taikang Yixiang Hybrid Securities Investment Fund from June 13, 2018 to June 9, 2023
Manager. From August 24, 2018 to January 14, 2020, he served as Taikang Hongshi, a three-month regular open hybrid
Fund Manager of Sponsored Securities Investment Fund. Served as Taikang from December 25, 2019 to January 11, 2021
Fund manager of Runhe two-year regular open bond securities investment fund. Served as Thailand since May 20, 2020
Kang Zhaotai is the fund manager of one-year holding period hybrid securities investment fund. Since April 7, 2021
Served as the fund manager of Taikang Herun Hybrid Securities Investment Fund. Served as Taikang Haoze since June 2, 2021
Fund manager of hybrid securities investment fund.
Ms. Su Xiaoya, member of the Investment Decision making Committee, is currently the risk control principal of Taikang Fund Management Co., Ltd
Head of Risk Control Department, resume is the same as above.
Ms. Pang Shuizhen, member of the Investment Decision making Committee, is now the employee supervisor of Taikang Fund Management Co., Ltd
The person in charge of the centralized trading room has the same resume as above.
6. None of the above personnel has close relatives.
（3） Responsibilities of the Fund Manager
1. Raise funds according to law, handle or entrust other institutions recognized by the CSRC as the basis for handling
The sale, subscription, redemption and registration of gold units.
2. Go through the fund filing procedures.
3. The Fund shall be managed and used in the principle of good faith, prudence and diligence from the effective date of the Fund Contract
Property. The different fund assets under management shall be managed and accounted for separately for securities investment.
4. Determine the fund income distribution plan in accordance with the provisions of the fund contract, and distribute the funds to fund share holders in a timely manner
Distribution income.
5. Conduct fund accounting and prepare fund financial accounting report.
6. Prepare quarterly report, interim report and annual report.
7. Calculate and publish the net fund value information.
8. Perform information disclosure and reporting in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
Business.
9. Convene a general meeting of fund unit holders in accordance with the provisions.
10. Keep records, account books, statements and other relevant materials of fund property management business activities no less than
The minimum period stipulated by laws and regulations.
11. In the name of the Fund Manager, on behalf of the Fund Unitholders, to exercise litigation rights or implement
Other legal acts.
12. Other duties stipulated by laws and regulations and the CSRC.
（4） Commitment of the Fund Manager
1. The Fund Manager promises not to engage in any act in violation of the Fund Law, and promises to establish and improve the internal risk
The insurance control system shall take effective measures to prevent the following behaviors:
(1) Mix its own property or other people's property with the fund property for securities investment.
(2) Treat the different fund assets under its management unfairly.
(3) Underwriting securities.
(4) Lending or providing guarantee to others in violation of regulations.
(5) To engage in investments that may make the Fund property bear unlimited liability.
(6) Other acts prohibited by laws, administrative regulations and the CSRC.
2. The Fund Manager undertakes not to engage in any other act prohibited by the securities laws and regulations.
3. The Fund Manager promises to strengthen personnel management, strengthen professional ethics, and urge and restrict employees to comply with the national standards
Relevant laws, regulations, rules and industry norms of China, honesty, credit, diligence and responsibility, and will not engage in the following activities:
(1) Ultra vires or illegal operation.
(2) Violation of fund contract or custody agreement.
(3) Deliberately damage the legitimate rights and interests of fund share holders or other fund related institutions.
(4) Disclose false information in the materials, including those submitted to the CSRC.
(5) Reject, interfere, obstruct or seriously affect the supervision of the CSRC according to law.
(6) Neglect of duty and abuse of power.
(7) Divulging business secrets related to securities and funds that have come to his knowledge during his term of office and have not been disclosed according to law
Information such as fund investment content and fund investment plan, or using this information to engage in or express or imply that others will
Related transaction activities.
(8) Assist, accept entrustment or conduct securities trading for other organizations or individuals in any other form.
(9) Violate the business rules of the stock exchange, and manipulate the market by means of counter attacking, counter dumping, position dumping, etc
Price disturbs the market order.
(10) Derogate your peers to improve yourself.
(11) Intentionally containing false, misleading and fraudulent elements in public information disclosure and advertising.
(12) Seeking business development by improper means.
(13) It goes against social morality and damages the image of securities investment fund personnel.
(14) Other acts prohibited by laws and administrative regulations.
4. Fund manager commitment
(1) In accordance with the relevant laws, regulations, rules and the provisions of the Fund Contract, the principle of diligence and prudence
Seeking the best interests for fund share holders.
(2) Do not take advantage of their positions to seek benefits for themselves, employees or any third party.
(3) Do not disclose business secrets related to securities and funds learned during the term of office, which have not been disclosed according to law
Of the fund investment content, fund investment plan and other information, or use this information to engage in or express or imply others
Engaging in relevant trading activities.
(4) Do not conduct securities trading for other organizations or individuals in any form.
（5） Internal control system of fund manager
In order to strengthen the company's internal control, promote honest, legal and effective operation, and protect the interests of fund holders,
To safeguard the legitimate rights and interests of the Company and its shareholders, the Fund Manager has established a scientific, rigorous and efficient internal
Control system.
1. Overall objective of the Company's internal control
(1) Ensure that the company's operation strictly complies with relevant national laws and regulations and industry regulatory rules, and consciously
Form the management idea and management concept of law-abiding operation and standardized operation.
(2) Prevent and resolve business risks, improve the efficiency of operation and management, and ensure the steady operation of business
And the safety and integrity of entrusted assets to achieve the sustainable, stable and healthy development of the department and the company.
(3) To ensure the authenticity, accuracy, completeness and timeliness of the fund, company finance and other information.
2. Principles followed by the company's internal control
(1) Principle of soundness. Internal control covers all businesses, departments or institutions and people at all levels of the company
Including decision-making, implementation, supervision, feedback and other aspects.
(2) Principle of effectiveness. Establish reasonable internal control procedures through scientific internal control means and methods to maintain
Effective implementation of internal control.
(3) The principle of independence. The responsibilities of each department and position of the company remain relatively independent, and the company funds
The operation of assets, self owned assets and other assets are separated from each other.
(4) The principle of mutual restriction. Each department and post set up by the company has clear rights and responsibilities and checks and balances with each other.
(5) Cost effectiveness principle. The company adopts scientific management methods to reduce operating costs,
Improve economic efficiency and achieve the best internal control effect with reasonable control cost.
3. System of internal control
The internal control system consists of articles of association, internal control outline, basic management system, departmental business rules, etc
Partial composition. The internal control outline is the refinement and expansion of the internal control principles and the outline of various basic management systems
To be responsible for the overall management. The basic management system includes risk control system, investment management system, fund accounting system, credit
Information disclosure system, supervision and audit system, information technology management system, performance evaluation and assessment system and emergencies
Treatment system, etc. The department business rules are based on the basic management system
Specific description of responsibilities, post setting, post responsibilities, operation rules, etc.
4. Main contents of internal control
(1) Corporate investment decision-making business
Investment decisions shall strictly comply with the relevant provisions of laws and regulations, and comply with the investment objectives
Investment scope, investment strategy, investment portfolio and investment restrictions; Perfect the investment decision-making authorization system
Define investment authority, strictly abide by investment restrictions, and prevent decision-making beyond authority; Investment decisions should have sufficient investment
Capital basis, important investments should be supported by detailed research reports and risk analysis, and have decision records; Establish investment
Asset risk assessment and management system, making investment decisions within the set limit of risk authority; Establish scientific investment
Performance evaluation system of asset management, including the situation of investment portfolio, whether it conforms to the characteristics of fund products and decision-making procedures
Fund performance attribution analysis, etc.
(2) Corporate research business
The research work should be independent and objective; Establish a rigorous research business process to form a scientific and effective
Research methods; Establish an alternative database system for investment objects, and the research department will fully study
Establish and maintain alternative database based on research; Establish a business communication system for research and investment to maintain smooth communication
Flow channel; Establish a research report quality evaluation system.
(3) Corporate trading business
The centralized trading system shall be adopted for fund trading, and the fund manager shall not directly issue investment instructions or
Direct transaction; The company has established a transaction monitoring system, an early warning system and a transaction feedback system to improve relevant
Safety facilities; The investment order shall be reviewed and confirmed to be legal, compliant and complete before execution
To order violations of laws and regulations or other abnormal situations, the relevant departments and personnel shall be reported in a timely manner; The company implements fair
Transaction distribution system to ensure that the interests of different investors can be treated fairly; Establish perfect transaction records
System, daily portfolio list, etc. should be checked and archived in a timely manner; Establish scientific transaction performance evaluation
System.
(4) Information disclosure
The Company has established a sound information disclosure system in accordance with laws, regulations and relevant provisions of the CSRC to ensure that
The information disclosed publicly is true, accurate, complete and timely; The company has corresponding department or position responsible information
Disclosure, organization, review and release of information; The company strengthened the inspection and evaluation of the company's information disclosure
Price, put forward improvement measures for existing problems in a timely manner, and put forward handling suggestions for errors in information disclosure, and
Investigate the responsibilities of relevant personnel; Personnel who have inside information of the company shall not disclose it before public disclosure
Rong.
(5) Information technology
According to the requirements of national laws and regulations, the company follows the principles of safety, practicality and operability, and strictly
Formulate the management system of the information system.
The design and development of information technology systems should meet the requirements of national and financial industry software engineering standards
Write complete technical data; When realizing electronic business, security system and corresponding control mechanism should be set up, and
Ensure the auditability of the computer system; Before the information technology system is put into operation, it needs to go through the demand department and the user department
And the compliance department.
(6) Accounting
The company takes the fund as the accounting entity, and establishes accounts and accounts independently to ensure that different funds are well known
Register registration, account setting, fund transfer, account book recording and other aspects are mutually independent. Fund accounting and the company
The accounting is independent of each other.
(7) Supervisory audit
The company has an inspector general, who is a senior manager and is directly responsible to the board of directors
Review, supervise and inspect the operation and management of the staff and the compliance of their practices.
The company sets up a supervision and audit department to carry out supervision and audit and compliance management, and is responsible to the chief inspector. common
The Division guarantees the independence and authority of the supervision and audit department. The company defines the supervision and audit department and internal positions
Specific responsibilities: provide sufficient supervision, audit and compliance management personnel, and strictly supervise, audit and compliance management personnel
And strictly supervise the operation procedures and organizational discipline of audit and compliance management.
5. Statement of Fund Manager on Internal Control System
(1) The Company promises that the above disclosure of internal control system is true and accurate;
(2) The company promises to continuously improve its internal control system according to market changes and business development.
4、 Fund Custodian
（1） Overview of the Fund Custodian
The custodian of the Fund is Shanghai Pudong Development Bank Co., Ltd. (hereinafter referred to as "Shanghai Pudong Development Bank")
Bank), the basic information is as follows:
Name: Shanghai Pudong Development Bank Co., Ltd
Registered address: No. 12, Zhongshan East 1st Road, Shanghai
Office address: No. 689, Beijing East Road, Shanghai
Legal representative: Zheng Yang
Time of establishment: October 19, 1992
Business scope: approved by the People's Bank of China and the China Banking Regulatory Commission, the company's main business
The main tasks include: absorbing public deposits; Issue short-term, medium-term and long-term loans; Settlement; Handling bills
Discount; Issuance of financial bonds; Issuing, cashing and underwriting government bonds as an agent; Buying and selling government bonds; with
Business lending; Provide letter of credit service and guarantee; Acting for collection and payment and insurance business; Safe deposit box industry
Service; Foreign exchange deposit; Foreign exchange loans; Foreign exchange remittance; Foreign currency exchange; International settlement; Interbank foreign exchange borrowing; Outside
Acceptance and discount of bills of exchange; Foreign exchange borrowing; Foreign exchange guarantee; Settlement and sales of foreign exchange; Buying and selling stocks as an agent
Foreign currency securities other than foreign currency securities; Self operated foreign exchange trading; Foreign exchange trading on behalf of customers; Credit investigation, consultation and witness industry
Service; Offshore banking; Securities investment fund custody business; National social security fund custody business; Midmeridian
Other businesses approved by the People's Bank of China and the China Banking Regulatory Commission.
Organizational form: limited liability company
Registered capital: 29.352 billion yuan
Duration: continuous operation
Approval document and document number of fund custody qualification: CSRC Zhengjian Jiji Zi [2003] No. 105
Contact: Zhu Ping
Tel: (021) 616188888
Shanghai Pudong Development Bank has carried out asset custody business since 2003, which is the earliest bank asset custody business
One of the joint-stock commercial banks. After 20 years of steady operation and business development
Zhanjiang has maintained a rapid growth, and all business indicators are at a good level among joint-stock commercial banks.
The Head Office of Shanghai Pudong Development Bank established the Fund Custody Department in 2003 and renamed it Asset Custody in 2005
Department, renamed Asset Custody and Pension Business Department in 2013, optimized and adjusted the organizational structure in 2016,
It was renamed Asset Custody Department, and currently has a securities custody office, a customer asset custody office, a pension business office
Six functional divisions: Internal Control Management Division, Business Guarantee Division, Head Office Asset Custody Operation Center (including Hefei Branch)
Room.
At present, Shanghai Pudong Development Bank has possessed customer fund custody, fund trust custody and securities investment funds
Financial custody, global asset custody, insurance fund custody, special account financial custody of funds, customer assets of securities companies
Custody, customer asset custody of futures companies, private securities investment fund custody, private equity custody, banking management
A number of custody products, such as financial product custody and enterprise annuity custody, have formed a complete product system, which can meet the requirements of multi receiving
The asset custody demand of domain customers and domestic and overseas markets.
（2） Key personnel
Zheng Yang, male, born in 1966, holds a postgraduate degree, a doctor's degree, and is a senior economist. Former country
Deputy Director of the Research Division of the Economic Regulations Department of the Economic and Trade Commission; Director of the Development Department of China Machinery&Electric Equipment Tendering Center, the seventh bidding
Head of Business Division; Deputy Director of the Capital Account Department of the State Administration of Foreign Exchange; People's Bank of China Shanghai Branch Party Committee
Member, Vice President, Deputy Director of Shanghai Branch of the State Administration of Foreign Exchange; Shanghai Headquarters Party Committee of the People's Bank of China
Member, Deputy Director and Director of Foreign Exchange Management Department; Deputy Secretary of Shanghai Municipal Party Committee of Financial Work, Director of Shanghai Municipal Financial Office; upper
Secretary of the Party Committee of Shanghai Municipal Financial Work and Director of Shanghai Municipal Financial Office; Secretary of the Party Committee of Shanghai Municipal Finance Work, Municipal Local Finance
Director of the Supervision Bureau (Municipal Financial Work Bureau). He is now the Secretary of the Party Committee and Chairman of Shanghai Pudong Development Bank.
Pan Weidong, male, born in 1966, master's degree candidate, senior economist. Former Ningbo Securities Company
Deputy Manager of Business Department I; The General Manager of the Assets and Finance Department of Shanghai Pudong Development Bank Ningbo Branch concurrently serves as the Director of Beilun Office
Vice President of Ningbo Branch; General Manager of Product Development Department of Shanghai Pudong Development Bank; Shanghai Pudong Development Bank Kunming
Branch President and Secretary of the Party Leadership Group; Shanghai Financial Service Office holds a temporary post and serves as the head of the Financial Institutions Division; Shanghaiguo
Member of the Party Committee and General Manager Assistant of Shanghai International Group, member of the Party Committee and Deputy General Manager of Shanghai International Group, Shanghai International Trust
Secretary of the Party Committee and Chairman of the Board of Directors of the Company; Member of the Party Committee, Executive Director, Vice President of Shanghai Pudong Development Bank
Chief Financial Officer. He is now the Deputy Secretary of the Party Committee, Vice Chairman and President of Shanghai Pudong Development Bank, and Shanghai International Trust
Chairman of the board of directors of the limited company.
Li Guoguang, male, born in 1967, is a postgraduate. Successively served as Tianjin Branch of Shanghai Pudong Development Bank
General Manager of the Assets and Finance Department, Assistant President and Vice President of Tianjin Branch, Deputy General Manager of the Head Office Capital Headquarters, and Head Office Assets
Director of the Liability Management Committee, General Manager of the Head Office's Liquidation Department, Secretary of the Party Committee and President of Shenyang Branch. incumbent
Head of Asset Custody Department of Shanghai Pudong Development Bank Head Office.
（3） Operation of fund custody business
As of March 31, 2023, the custody scale of Shanghai Pudong Development Bank's securities investment fund is
1237.98 billion yuan, and 397 custodian securities investment funds.
（4） Internal control system of fund custodian
1. The internal control objective of Shanghai Pudong Development Bank is to ensure that the relevant national regulations are strictly observed in business activities
Laws and regulations, supervision rules of regulatory authorities and rules and regulations of Shanghai Pudong Development Bank have formed law-abiding operation and regulation
Fan Yunbo's management thought. To ensure the steady operation of business, the safety and integrity of fund assets
Ensure the authenticity, accuracy and integrity of business activity information and protect the legitimate rights and interests of fund share holders.
2. The internal control organizational structure of Shanghai Pudong Development Bank is: the Head Office Legal Compliance Department is the internal control of the whole bank
The leading management department of the system shall guide the business department to establish and maintain the internal control system of asset custody business. total
The Bank's Risk Monitoring Department is the leading management department of the Bank's operational risk. Guide business departments to carry out asset custody business
Operational risk management and control. The Head Office's Asset Custody Department has an Internal Control Management Division. The Internal Control Management Division is entrusted by the whole bank
The specific management and implementation organization of the internal control of the business line, and the full-time internal control supervisors are responsible for the custody business
And independently exercise the responsibility of supervision and audit.
3. Internal control system and measures: Shanghai Pudong Development Bank has established a sound internal control system.
The internal control system runs through the whole process of decision-making, implementation and supervision of asset custody business, and penetrates into all business processes and
The operation phase covers the organizational structure, positions and personnel at all levels engaged in asset custody. Internal control to prevent wind
Insurance and compliance operation are the starting point, and all business processes reflect the requirements of "internal control priority".
Specific internal control measures include: fostering employees to establish internal control priority, system first, and full staff risk control
Risk management concept, create a strong internal control culture atmosphere, and make risk awareness penetrate into the organizational structure and business posts
And personnel. Develop a business authorization management system with clear rights and responsibilities, and define job responsibilities and various items
Various business management systems including operating procedures, employee professional ethics, business data backup and confidentiality;
Establish a strict and perfect asset isolation and asset custody system, and trust assets, assets of custodians and different trust assets
Independent operation and separate accounting shall be carried out between enterprises; Establish complete and effective emergency response for various emergencies or failures
Plan, regularly organize disaster recovery drills, and establish a major event reporting system; Establish health in the fund operation office area
Full security monitoring system, using technical means such as audio and video recording to achieve risk control; Regularly check the business situation
Bank self inspection, internal audit and other measures were taken to monitor, and business monitoring was carried out through special/comprehensive audit and other measures,
Investigate potential risks.
（5） Methods and procedures for the Fund Custodian to supervise the Fund Manager's operation of the Fund
1. Supervision basis
The Fund Custodian shall carry out supervision in strict accordance with relevant policies and regulations, as well as the Fund contract and custody agreement.
The supervision basis specifically includes:
(1) Securities Law of the People's Republic of China;
(2) Fund Law;
(3) Operational Measures;
(4) Sales Measures;
(5) Fund Contract and Custody Agreement;
(6) Other provisions of laws, regulations and policies.
2. Supervision content
Shanghai Pudong Development Bank, according to the fund contract and custody agreement
Strictly supervise the investment scope, investment proportion and investment restrictions of the management fund, and timely remind the fund manager
Risk of non-compliance.
3. Monitoring methods
(1) The Asset Custody Department sets up accounting supervision posts, and is staffed with corresponding business personnel, within the scope of authorization
Independent exercise of supervision over the investment transactions of the Fund Manager, standardize the operation of the Fund, and maintain the investment of the Fund
The legitimate rights and interests of people shall not be interfered by any external force;
(2) In daily operation, all quantifiable supervision indicators are managed by the accounting supervision post
The automatic processing program supervises and realizes the automatic tracking and early warning of the system;
(3) For non quantitative indicators, investment orders, various statements and reports provided by the manager
Methods of work supervision.
4. Handling method of supervision results
(1) The Fund Custodian shall regularly and irregularly report the supervision results of the Fund Manager's investment operation
The report shall be submitted to the fund manager and the CSRC. Regular reports include weekly fund monitoring reports. Irregular
Reports include prompt letters, temporary daily reports and other temporary reports;
(2) If the Fund Custodian finds that the Fund Manager is operating in violation of laws and regulations, it shall submit it by telephone, email or in writing
The Fund Manager shall be notified by letter of instruction, specifying the violations and the time limit for correction. Fund within the specified period
The custodian will review the fund manager's violations. If the fund manager fails to correct the violations,
The Fund Custodian will report to the CSRC. If the fund manager is found to have major violations in investment operations,
The Fund Custodian shall immediately report to the CSRC and notify the Fund Manager to make corrections within a time limit;
(3) For the inspection of the CSRC and the People's Bank of China on the supervision of fund investment operation
Timely provide relevant information and data.
5、 Relevant service agencies
（1） Fund unit selling institution
1. Direct selling mechanism
(1) Direct sales center counter
Name: Taikang Fund Management Co., Ltd
Registered address: Room 302, 1-10, Floor 3, No. 156, Fuxingmennei Street, Xicheng District, Beijing
Office address: 3/F and 5/F, Taikang International Building, No. 2, Wudinghou Street, Xicheng District, Beijing
Legal representative: Jin Zhigang
National unified customer service telephone: 4001895522
Fax: 010-89620100
Contact: Qu Chen
Tel.: 010-89620091
Website: www.tkfunds.com.cn
(2) Investors can also use the fund manager's direct selling electronic trading system (including online trading system
Mobile client of the fund manager, WeChat official account of the fund manager and other information separately announced by the fund manager
Electronic trading system) to handle the account opening and subscription of the Fund.
For online transactions, please log in: https://newtrade.tkfunds.com.cn/
APP: fund manager's mobile client
WeChat official account: tkfunds
2. Other sales organizations
The Fund Manager may, in accordance with the Fund Law, the Operating Measures, the Sales Measures and the Fund Agreement
Select other qualified sales institutions to sell the Fund and publish them on the Fund Manager's website.
（2） Registration Authority
Name: Taikang Fund Management Co., Ltd
Registered address: Room 302, 1-10, Floor 3, No. 156, Fuxingmennei Street, Xicheng District, Beijing
Office address: 3/F and 5/F, Taikang International Building, No. 2, Wudinghou Street, Xicheng District, Beijing
Legal representative: Jin Zhigang
National unified customer service telephone: 4001895522
Fax: 010-89620077
Contact: Chen Jin
（3） Law firm issuing legal opinion
Name: Shanghai Tongli Law Firm
Registered address: 19/F, Times Financial Center, 68 Yincheng Middle Road, Shanghai
Office address: 19/F, Times Financial Center, 68 Yincheng Middle Road, Shanghai
Person in charge: Han Jiong
Tel.: 021-31358666
Fax: 021-31358600
Handling lawyers: An Dong, Lu Qi
Contact: Lu Qi
（4） Accounting firm auditing fund assets
Name: PricewaterhouseCoopers Zhongtian Certified Public Accountants (special general partnership)
Registered address: DBS Bank Building, 1318 Lujiazui Ring Road, China (Shanghai) Pilot Free Trade Zone
Room 01, Unit 507
Office address: Floor 42, Qiantan Center, No. 588, Dongyu Road, Pudong New Area, Shanghai, China
Executive partner: Li Dan
Handling CPA: Zhao Yu, Chen Yushan
Tel: 021-23233950
Fax: 021-23238800
Contact: Zhao Yu
（5） Capital verification agency
Name: KPMG Huazhen Certified Public Accountants (Special General Partnership)
Registered address: 8/F, East Building 2, Oriental Plaza, No. 1, East Chang'an Street, Beijing
Office address: 8/F, East Tower 2, Oriental Plaza, No. 1, East Chang'an Street, Beijing
Executive partner: Zou Jun
Handling CPA: Zuo Yanxia, Jia Junyu
Tel: 010-85085000
Fax: 010-85085111
Contact: Zuo Yanxia
6、 Fund raising
（1） In accordance with the Fund Law, the Operation Measures, the Sales Measures, the Information Disclosure Measures
Fund contract and other relevant provisions. The fund raising application has been granted with the Chinese Securities on December 7, 2023
The CSRC's ZJXK [2023] No. 2768 document approved the offering registration.
（2） Fund type, operation mode and duration
Type of the Fund: Equity Securities Investment Fund
Operation mode of the Fund: contractual open-ended
Duration of the Fund: irregular.
（3） Raising period
The raising period of the Fund shall not exceed 3 months, which shall be calculated from the date of the sale of the Fund units
For the time of sale, please refer to the Fund Unit Offering Announcement of the Fund.
The Fund Manager may appropriately extend or shorten the sale of the Fund during the raising period according to the sale of the Fund
And make timely announcement.
（4） Way of raising
Through the fund sales outlets of each sales agency or other methods provided by the fund manager and sales agency
For public offering, please refer to the announcement of fund unit offering and the website of the fund manager for the specific list of sales agencies.
（5） Raising objects
Individual investors, institutional investors, contract investors who can invest in securities investment funds in accordance with laws and regulations
Foreign investors, sponsors, laws and regulations or the CSRC allow to purchase securities investment funds
Other investors of gold.
（6） Subscription arrangements
1. Subscription time
The specific business time for investors to subscribe for the Fund units shall be determined by the Fund Manager and the Fund Sales Agency
For confirmation, please refer to the Fund Unit Offering Announcement of the Fund.
2. Subscription procedure
Investors can go through fund subscription procedures through the fund sales outlets of each sales agency. Investor account opening
The original valid ID card and other materials required by the sales institution shall be provided to apply for opening an open-ended fund account.
The documents to be submitted and the specific procedures to be handled by investors for subscription shall be agreed between the fund manager and the sales agency. See
See the Fund Unit Offering Announcement of the Fund.
3. Subscription method and confirmation
(1) The Fund shall be subscribed in amount.
(2) The acceptance of the subscription application by the sales agency does not mean that the application is necessarily successful, but only represents the sales
The institution did receive the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application
Please refer to the confirmation of subscribed shares. Investors should timely inquire and properly exercise their legal rights. Otherwise
Any loss incurred by the investor shall be borne by the investor.
(3) Investors can subscribe for fund units for many times during the raising period, and the subscription fee is based on each subscription application form
It is calculated separately, but the accepted subscription application cannot be revoked.
(4) If the subscription application is confirmed to be invalid, the Fund Manager shall pay the subscription amount paid by the investor
The principal shall be returned to the investor.
4. Subscription limit
(1) When subscribing, investors shall pay in full in the way specified by the sales agency.
(2) During the offering period, investors can subscribe for many times, and a single investor can subscribe cumulatively during the subscription period
There is no upper limit on the amount, unless otherwise stipulated by laws and regulations, the CSRC or the fund contract.
(3) Investors can directly sell electronic trading systems (including online trading systems, funds
Mobile client of the manager, WeChat official account of the fund manager and other electronic information separately announced by the fund manager
Trading system, etc.) or other sales institutions of the Fund subscribing for Class A fund units or Class C fund units
The first minimum subscription amount (including subscription fee, the same below) for each fund account is 1 yuan, and each additional minimum subscription amount
The amount is 1 yuan. If the fund manager or sales institution has other provisions, such provisions shall prevail.
Where an investor subscribes Class A fund units or Class C fund units through the counter of the fund manager's direct marketing center,
The minimum initial subscription amount of a single fund account is 100000 yuan, and the minimum additional subscription amount is 1000 yuan
Yuan. If the fund manager has other provisions, such provisions shall prevail.
(4) The subscription application submitted by the investor within the specified time on T day can usually arrive at the original subscription on T+2 day
The purchase outlet queries the confirmation of the subscription application.
(5) For example, a single investor of the Fund (the Fund Manager, senior managers of the Fund Manager or the Fund
The cumulative number of fund units subscribed reaches or exceeds the fund
50% of the total shares, the Fund Manager has the right to limit the subscription application of the investor. Fund manager receives
If a certain subscription application or certain subscription application may lead investors to evade the above 50% ratio requirement in disguised form
The administrator has the right to reject all or part of such subscription applications. Number of fund shares subscribed by investors
The same as that confirmed by the registration authority after taking effect.
5. Subscription fee
Class A fund units of the Fund will be charged with fund subscription fees at the time of subscription, while Class C fund units of the Fund will not
Collect subscription fees. The specific cost arrangement of Class A fund units is shown in the table below.
Fee category Subscription amount of Class A fund units Subscription rate of Class A fund units
Subscription rate of non pension customers M ＜ 10000001.00%
1 million ≤ M ＜ 5 million 0.60%
M ≥ 5 million yuan, 1000 yuan/transaction
Subscription rate of pension customers M ＜ 10000000.30%
1 million ≤ M ＜ 5 million 0.18%
M ≥ 5 million yuan, 1000 yuan/transaction
Note: (1) M is the subscription amount;
(2) Pension customers who implement specific subscription rates include: the National Social Security Fund and places where they can invest in funds
Social security fund, enterprise annuity single plan, collective plan and specific customer asset management entrusted by the enterprise annuity council
Plan, basic endowment insurance fund, enterprise annuity pension products, occupational annuity plan, pension target fund, pension security
Manage products. If there are new pension fund types recognized by the pension fund supervision department in the future, the fund manager will recruit
When the prospectus is updated or an interim announcement is issued to include it in the scope of pension clients;
(3) Pension customers must subscribe through the fund manager's direct sales counter.
The subscription fee of the Fund shall be borne by the investors who subscribe for Class A fund units of the Fund
The subscription fee shall not be included in the fund property. Subscription fees are used for marketing, sales, registration, etc. of the Fund
Various expenses incurred during the raising period. Investors may subscribe to the Fund for many times, and the subscription fee shall be based on each subscription application
Calculated separately.
6. Calculation of subscribed shares
The selling face value of the Fund units is RMB 1.00.
(1) Calculation method for subscription units of Class A fund units
When the subscription fee is applicable to the proportional rate, the calculation method of subscription shares is as follows:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=subscription amount - net subscription amount
Subscription unit=(net subscription amount+subscription interest)/1.00
When the subscription fee applies to a fixed amount, the calculation method of subscription shares is as follows:
Subscription fee=fixed amount
Net subscription amount=subscription amount - subscription fee
Subscription unit=(net subscription amount+subscription interest)/1.00
The calculation of subscribed shares shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off
The gains or losses arising from this error shall be borne by the fund property.
For example, an investor (not a pension client) invested 10000 yuan to subscribe for Class A fund shares of the Fund,
If the interest obtained by the subscription fund during the subscription period is 5 yuan, the fund units available to it are calculated as follows:
Net subscription amount=10000/(1+1.00%)=9900.99 yuan
Subscription fee=10000 － 9900.99=99.01 yuan
Subscribed shares=(9900.99+5)/1.00=9905.99
That is, investors (non pension clients) invest 10000 yuan to subscribe for Class A fund shares of the Fund,
Plus the interest earned by the subscription fund during the subscription period, 9905.99 Class A fund shares can be obtained.
(2) Calculation method for subscription units of Class C fund units
Subscription unit=(subscription amount+subscription interest)/1.00
The calculation of subscribed shares shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off
The gains or losses arising from this error shall be borne by the fund property.
For example, an investor invests 10000 yuan to subscribe for Class C fund shares of the Fund
If the interest obtained from the purchase of funds is 5 yuan, the available Class C fund shares are calculated as follows:
Subscribed shares=(10000+5)/1.00=10005.00 shares
That is, the investor invests 10000 yuan to subscribe for Class C fund shares of the Fund, plus the subscription capital
10005.00 Class C fund shares can be obtained from the interest obtained during the purchase period.
（7） Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the specific amount of interest and the specific amount of interest transfer share shall be subject to the records of the registration authority.
（8） Fund deposit and expenses during the raising period
The funds raised during the fund raising shall be deposited into a special account. Before the end of the fund raising, no one shall
It has to be used. Information disclosure fees, accountants' fees, lawyers' fees and other fees during the fund raising period shall not
It shall be disbursed from the fund assets.
（9） Initiate capital subscription
The amount subscribed by the fund's initiating fund shall not be less than 10 million yuan, and the fund units subscribed by the initiating fund
The holding period shall not be less than 3 years. The initiating capital refers to the shares used to subscribe for the Fund and sourced from the Fund Manager
The capital of East Capital, the fund manager's own capital, the fund manager's senior managers or fund managers
Gold.
See the announcement issued by the Fund Manager at that time for the subscription of the Fund's launching fund.
7、 Effectiveness of the Fund Contract
（1） Conditions for Fund Filing
Within three months from the date of the sale of the Fund units, the amount of the Fund subscribed with the launching fund is not
Less than 10 million yuan, and the holding period of the fund units committed to be subscribed by the initiator is not less than 3 years
Under such conditions, the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and
Within 10 days, a legal capital verification agency shall be employed to verify the capital. The capital verification report shall include information about the sponsor and its shares
The Bank specifically stated that within 10 days from the date of receipt of the capital verification report, it should go through the fund filing procedures with the CSRC.
If the fund raising meets the conditions for fund filing, the fund manager shall complete the fund filing procedures and obtain
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not take effect. base
The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
The fund manager shall deposit the funds raised during the fund raising into a special account, and before the end of the fund raising,
No one can use it.
（2） Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by investors within 30 days after the expiration of the fund raising period, plus the bank
Current deposit interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Dan.
（3） Number of fund share holders and asset size within the duration of the fund
On the corresponding date three years after the effective date of the fund contract, if the net asset value of the fund is less than 200 million yuan
The same shall be automatically terminated, and the term of the Fund Contract shall not be extended by convening a general meeting of Fund Unitholders.
If the Fund Contract continues to exist three years after it comes into effect, the fund share holding will occur for 20 consecutive working days
Where the number of persons is less than 200 or the net asset value of the fund is less than 50 million yuan, the fund manager shall
Disclosed in periodic reports; The number of fund unit holders is less than 200 for 50 consecutive working days or
If the net asset value of the Fund is less than 50 million yuan, the Fund will enter into liquidation procedures and terminate in accordance with the provisions of the Fund contract
No need to convene a general meeting of fund share holders for deliberation.
If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
8、 Subscription and redemption of fund units
（1） Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales agency will be managed by the fund manager
Listed in the updated prospectus or other relevant announcements. The Fund Manager may change, increase or decrease as the case may be
The sales agency shall be publicized on the fund manager's website. Fund investors shall handle fund sales at the sales institution
Purchase and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency.
（2） Opening day and time of subscription and redemption
1. Open Day and Opening Hours
Investors shall handle the subscription and redemption of fund units on the open day, and the open day of subscription and redemption of the Fund
It is the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange (in case of statutory festival of the Stock Exchange of Hong Kong)
In case of business suspension or trading suspension of Hong Kong Stock Connect due to holidays or other reasons, the Fund Manager has the right to
The subscription and redemption business of fund units is suspended and announced), and the specific handling time is Shanghai Securities Exchange
The trading hours of the Exchange and Shenzhen Stock Exchange on normal trading days, but the Fund Manager shall
Except for the suspension of subscription and redemption as required by the CSRC or the provisions of the fund contract.
After the fund contract comes into effect, if there is a new securities/futures trading market or a securities/futures exchange
In case of occasional changes or other special circumstances, the Fund Manager will, as the case may be, make corresponding changes to the aforesaid opening days and hours
However, it shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date.
2. Start date of subscription and redemption and business handling time
The Fund Manager may, in accordance with the actual situation, decide the specific date for the Fund to begin to apply for subscriptions
The time of business handling shall be specified in the announcement of subscription start.
The Fund Manager shall handle the redemption within 3 months from the effective date of the Fund Contract
The processing time shall be specified in the announcement of redemption commencement.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
Announce the start time of subscription and/or redemption on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
The fund manager may not handle the subscription of fund units
Redemption or conversion. The investor puts forward the subscription, redemption or conversion on a date and time other than that specified in the fund contract
If the application is made and the registration authority confirms to accept, the subscription and redemption price of the fund units shall be the next open day for such funds
The price of share subscription and redemption.
（3） Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices of various funds calculated after the closing of the application day
Calculate on the basis of net amount;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager;
4. Redemption follows the principle of "first in, first out", that is, it is carried out in the order of investors' subscription and purchase
Ordinal redemption;
5. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure that
The legitimate rights and interests of investors shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles if permitted by laws and regulations. Fund manager
It must be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
（4） Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must propose within the specific business handling time on the opening day according to the procedures specified by the sales agency
Application for subscription or redemption.
2. Payment of subscription and redemption funds
When subscribing for fund units, the investor must pay the subscription amount in full
Establishment of purchase; The subscription takes effect when the fund share registration authority confirms the fund share.
The redemption is established when the fund unit holder submits the redemption application; When the fund share registration institution confirms the redemption,
Redemption takes effect. After the investor's redemption application takes effect, the fund manager will pay within T+7 days (including that day)
Redemption proceeds. In case of huge redemption or deferred payment of redemption amount specified in the fund contract
The payment method shall be handled with reference to the relevant provisions of the fund contract. In case of delay in data transmission of the exchange or trading market
Communication system failure, data exchange system failure or other causes beyond the control of the Fund Manager and the Fund Custodian
If the business process is affected, the time of redemption payment shall be postponed accordingly.
The Fund Manager may adjust the above rules if permitted by laws and regulations. Fund manager
It must be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
3. Confirmation of application for subscription and redemption
The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the day of subscription
Or the redemption application date (T day). Under normal circumstances, the Fund's registration authority has
Validation. For the valid application submitted on T day, the investor can go to the sales network after T+2 day (including that day)
Click the counter or inquire about the confirmation of the application in other ways specified by the sales agency. If the subscription is unsuccessful or invalid,
The subscription amount shall be returned to the investor.
The acceptance of the application for subscription and redemption by the sales agency does not mean that the application is necessarily successful, but only represents the sales machine
The organization has indeed received the application for subscription and redemption. The confirmation of subscription and redemption shall be subject to the confirmation result of the registration authority.
For the confirmation of the application, the investor shall timely inquire and properly exercise its legal rights.
To the extent permitted by laws and regulations, the Fund registration authority may, in accordance with relevant business rules
The Fund Manager will make an announcement in accordance with relevant regulations before the adjustment is implemented.
（5） Quantity limit of subscription and redemption
1. Investors can directly sell electronic trading system (including online trading system, fund management
Manager's mobile client, fund manager's WeChat official account and other electronic exchanges separately announced by the fund manager
Easy system, etc.) or other sales institutions of the Fund apply for Class A fund units or Class C fund units
The minimum amount of the first subscription (including subscription fees, the same below) of the fund account is 1 yuan, and the minimum amount of each additional subscription
It is 1 yuan. If the fund manager or sales institution has other provisions, such provisions shall prevail.
Where an investor subscribes Class A fund units or Class C fund units through the counter of the fund manager's direct marketing center,
The minimum initial subscription amount of a single fund account is 100000 yuan, and the minimum additional subscription amount is 1000 yuan
Yuan. If the fund manager has other provisions, such provisions shall prevail.
2. The investor is not subject to the minimum subscription amount when converting the fund income distributed in the current period into fund units
System.
3. Fund unit holders may redeem all or part of their fund units, and a single redemption may not
Less than 1 copy. If the fund unit balance of the account in the sales institution is less than 1, it must be redeemed at one time
All fund shares of the Fund. When a certain transaction business (such as redemption, fund conversion, etc.) leads to a single transaction account
When the fund unit balance of an account is less than 1, the fund manager can initiate a one-time self financing
Redemption in full.
4. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. The specific provisions are detailed in
See the updated prospectus or related announcements.
5. The fund manager may stipulate the upper limit of a single investor's single day or single subscription amount. Please
See the updated prospectus or related announcements.
6. The Fund Manager may specify the total size limit of the Fund and the upper limit of the net subscription ratio per day, as detailed in
Please refer to the updated prospectus or relevant announcements for the upper limit of scale or proportion.
7. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the upper limit of the net subscription proportion of a single day of the Fund
Measures such as rejecting large amount subscription, suspending fund subscription, etc. shall be taken to effectively protect the legitimate rights and interests of holders of stock fund units.
The fund manager can take the above measures to control the fund size based on the needs of investment operation and risk control
System. See the relevant announcement of the Fund Manager for details.
8. The Fund Manager may adjust the above specified subscription amount and redemption if permitted by laws and regulations
Limit on the number of shares. The fund manager must comply with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment
It shall be announced on the specified media.
（6） Calculation method of subscription units and redemption amount
1. Calculation method of subscription shares:
Fund subscription fees shall be charged for Class A fund units of the Fund at the time of subscription; Investors can subscribe for capital for many times
For funds, the subscription rate shall be calculated separately according to each subscription application. There is no subscription fee for Class C fund units of the Fund.
The specific cost arrangement is shown in the table below.
Fee type Subscription amount of Class A fund units Subscription rate of Class A fund units
Non pension customer subscription rate M ＜ 1 million 1.20%
1 million ≤ M ＜ 5 million 0.80%
M ≥ 5 million yuan, 1000 yuan/transaction
Subscription rate of pension customers M ＜ 10000000.36%
1 million ≤ M ＜ 5 million 0.24%
M ≥ 5 million yuan, 1000 yuan/transaction
Note: (1) M is the subscription amount;
(2) Pension customers who implement specific subscription rates include the National Social Security Fund and places where funds can be invested
Social security fund, enterprise annuity single plan, collective plan and specific customer asset management entrusted by the enterprise annuity council
Plan, basic endowment insurance fund, enterprise annuity pension products, occupational annuity plan, pension target fund, pension security
Manage products. If there are new pension fund types recognized by the pension fund supervision department in the future, the fund manager will recruit
When the prospectus is updated or an interim announcement is issued to include it in the scope of pension clients;
(3) Pension customers must apply through the fund manager's direct sales counter.
1) Class A fund shares
When the subscription fee applies to the proportional rate, the calculation method of the subscription share is as follows:
Net subscription amount=subscription amount/(1+subscription rate)
Subscription fee=Subscription amount - Net subscription amount
Subscription units=net subscription amount/net value of Class A fund units on the date of subscription
When the subscription fee applies to a fixed amount, the calculation method of the subscription share is as follows:
Subscription fee=fixed amount
Net subscription amount=subscription amount - subscription fee
Subscription units=net subscription amount/net value of Class A fund units on the date of subscription
The above calculation results are rounded to 2 decimal places
The losses shall be borne by the fund property.
For example, an investor (non pension client) invested 50000 yuan to subscribe for Class A fund shares of the Fund,
Assuming that the net value of Class A fund units on the day of subscription is 1.0500 yuan, the subscription units available are:
Net subscription amount=50000/(1+1.20%)=49407.11 yuan
Subscription fee=50000 － 49407.11=592.89 yuan
Subscription shares=49407.11/1.0500=47054.39
That is, the investor (non pension client) invests 50000 yuan to subscribe for Class A fund shares of the Fund
Assuming that the net value of Class A fund units on the day of subscription is 1.0500 yuan, they can get 47054.39 Class A funds
Share.
2) Class C fund shares
Subscription units=subscription amount/net value of Class C fund units on the date of subscription
The above calculation results are rounded to 2 decimal places
The losses shall be borne by the fund property.
For example: an investor invests 50000 yuan to subscribe for Class C fund shares of the Fund, assuming that Class C shares are subscribed on the day of subscription
If the net value of fund units is 1.0500 yuan, the subscription units available are:
Subscription shares=50000/1.0500=47619.05
That is, the investor invests 50000 yuan to subscribe for Class C fund shares of the Fund, assuming that Class C fund shares are subscribed on the day of subscription
If the net value of gold shares is 1.0500 yuan, they can get 47619.05 Class C fund shares.
2. Calculation of redemption amount
Redemption rates of Class A fund units and Class C fund units increase with the time limit for investors to hold fund units
And decreasing. The specific redemption rate structure is shown in the table below.
Class A Fund Units Class C Fund Units
Holding period redemption rate Holding period redemption rate
Y ＜ 7 days 1.50% Y ＜ 7 days 1.50%
7 days ≤ Y ＜ 30 days 0.75% 7 days ≤ Y ＜ 30 days 0.50%
30 days ≤ Y ＜ 180 days 0.50% Y ≥ 30 days 0.00%
Y ≥ 180 days 0.00%
Note: Y is the holding period
The redemption amount shall be calculated as follows:
Redemption amount=number of redeemed shares × net value of certain fund units on the redemption date
Redemption fee=redemption amount × redemption rate
Net redemption amount=redemption amount - redemption fee
The above calculation results are rounded to 2 decimal places
The losses shall be borne by the fund property.
For example: an investor redeems 10000 Class A fund units of the Fund for a holding period of 60 days
The redemption rate is 0.50%. Assuming that the net value of Class A fund units on the redemption day is 1.2500 yuan, it can get
The redemption amount of is:
Redemption amount=10000 × 1.2500=12500.00 yuan
Redemption fee=12500.00 × 0.50%=62.50 yuan
Net redemption amount=1250.00-62.50=12437.50 yuan
That is, investors redeem 10000 Class A fund units of the Fund, with a holding period of 60 days, and the corresponding redemption
The rebate rate is 0.50%, assuming that the net value of Class A fund units on the redemption day is 1.2500 yuan, then it can get
The redemption amount is 12437.50 yuan.
For example: an investor redeems 10 million Class C fund units of the Fund for 20 days
The redemption rate should be 0.50%. Assuming that the net value of Class C fund units on the redemption day is 1.2500 yuan, then it can
The redemption amount obtained is:
Redemption amount=10000000 × 1.2500=12500000.00 yuan
Redemption fee=12500000.00 × 0.50%=62500.00 yuan
Net redemption amount=12500000.00-62500.00=12437500.00 yuan
That is, investors redeem 10 million Class C fund units of the Fund for a holding period of 20 days, corresponding to
The redemption rate of is 0.50%. Assuming that the net value of Class C fund units on the redemption day is 1.2500 yuan
The received redemption amount is 12437500.00 yuan.
3. The calculation of the net value of various fund units of the Fund shall be kept to 4 decimal places, and the first decimal place
The five digits shall be rounded off, and the resulting gains or losses shall be borne by the fund property. Net amount of various fund units on T day
The value is calculated after the close of the day and announced within T+1 days. In case of special circumstances, after performing appropriate procedures,
The calculation or announcement can be delayed appropriately. In order to avoid the interests of fund share holders from being affected by the decimal point of the net value of fund shares
The retention accuracy is adversely affected, and the fund manager can improve the accuracy of the net value of fund shares, without the need to
The net amount precision adjustment shall be announced.
4. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned.
The redemption fee charged to investors with a continuous holding period of less than 30 days shall be fully included in the fund property
Production; The redemption fee charged to investors whose continuous holding period is equal to or longer than 30 days and less than 3 months will not
Less than 75% of the total redemption fee shall be included in the fund property; For continuous holding period equal to or longer than 3 months but less than 6 months
The redemption fee charged by the investors of months shall not be less than 50% of the total redemption fee and shall be included in the fund property. Every of the above
A month is calculated as 30 days. Redemption fees not included in the fund property shall be paid for registration fees and other necessary expenses
Renewal.
5. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract, and at the latest
In accordance with the relevant provisions of the Information Disclosure Measures, the new rate or charging method shall be applied in the specified media before the implementation date of the new rate or charging method
Announcement on.
6. The fund manager may, without violating the provisions of laws and regulations and the fund contract
Make fund promotion plans and carry out fund promotion activities regularly or irregularly. Promotion activities in the fund
During the period, after performing the necessary procedures as required by the relevant regulatory authorities, the fund manager may apply a sales rate of
Special offer.
7. In case of large amount purchase or redemption of the Fund, the Fund Manager may use the swing pricing machine
To ensure the fairness of fund valuation, and the specific handling principles and operating specifications comply with relevant laws, regulations and
Provisions of regulatory authorities and self-discipline rules.
（7） Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
1. The fund cannot operate normally due to force majeure.
2. When the valuation of fund assets is suspended as stipulated in the fund contract.
3. The securities, futures exchanges and foreign exchange markets are suspended abnormally during trading hours, resulting in the absence of the fund manager
Calculate the net asset value of the fund on the current day by using the method.
4. When accepting a certain application or some applications for subscription may affect or damage the interests of existing fund share holders.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It may have a negative impact on the performance of the Fund, or other circumstances may damage the interests of existing Fund Unitholders.
6. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After the subscription, the fund manager shall suspend accepting the application for fund subscription.
7. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor (Fund Management
Managers, senior managers of fund managers, fund managers and other personnel as sponsors of funds)
There are cases where the proportion of fund shares reaches or exceeds 50%, or the concentration ratio of 50% is evaded in disguised form.
8. The subscription application exceeds the total fund size, the upper limit of the net subscription ratio per day, and
1. The maximum amount of a single day or single subscription by an investor.
9. The abnormal conditions of the fund manager, fund custodian, fund sales agency or registration agency lead to
The gold sales system, fund registration system or fund accounting system cannot operate normally.
10. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription in any of the above items 1, 2, 3, 5, 6, 9 and 10
When suspending the acceptance of an investor's application for subscription, the fund manager shall, in accordance with the relevant provisions, temporarily publish it on the prescribed media
Announcement of suspension of subscription. In case of any of the situations mentioned in Items 7 and 8 above, the Fund Manager may adopt the proportional confirmation method
The Fund Manager has the right to refuse all or part of the subscription application
Please. If the above item 7 is cancelled or changed due to the adjustment of laws, regulations and regulatory requirements, fund management
After performing appropriate procedures, the above contents may be modified without convening a general meeting of fund unit holders. If cast
If the investor's application for subscription is rejected, the rejected subscription funds shall be returned to the investor. Cancellation in case of suspension of subscription
In addition, the Fund Manager shall resume the subscription business in a timely manner.
（8） Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption
Payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. When the valuation of fund assets is suspended as stipulated in the fund contract.
3. The securities, futures exchanges and foreign exchange markets are suspended abnormally during trading hours, resulting in the absence of the fund manager
Calculate the net asset value of the fund on the current day by using the method.
4. Huge redemption occurs for two or more consecutive open days.
5. In the event that continuing to accept the redemption application will damage the interests of existing fund unit holders
The manager may suspend accepting the redemption application of the fund unit holder.
6. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After recognition, the Fund Manager shall postpone the payment of redemption funds or suspend the acceptance of fund redemption applications.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
When one of the above circumstances occurs and the Fund Manager decides to suspend the redemption or postpone the payment of redemption money, the Fund
The Manager shall report to the CSRC for filing as required, and the Fund Manager shall pay in full the confirmed redemption application;
If the payment cannot be made in full for the time being, the payable part shall be distributed according to the proportion of the application amount of a single account in the total application amount
To the redemption applicant, the unpaid part can be postponed. In case of the situation mentioned in item 4 above
Handling of relevant terms of the same. When applying for redemption, fund share holders may choose in advance that they may not receive
It shall be cancelled in part. When the suspension of redemption is eliminated, the Fund Manager shall resume the redemption business in a timely manner
Handling and announcement.
（9） Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of the Fund units within a single open day of the Fund (the total number of redemption application units plus the Fund
After deducting the total number of subscription application units from the total number of transfer out application units during conversion and the transfer in application units during fund conversion
If the balance after the total amount exceeds 10% of the total fund shares on the previous opening day, it is deemed that a huge redemption has occurred.
2. Treatment method of huge redemption
In case of a huge redemption of the fund, the fund manager can decide according to the current asset portfolio of the fund
Full redemption or partial deferred redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption ratio accepted by the fund manager on the same day shall not be less than 10% of the total fund shares on the previous open day
Under the premise of, the remaining redemption applications can be postponed. For the redemption application on that day, it should be based on a single account
The proportion of redemption application amount in the total redemption application amount, and the redemption unit accepted on that day shall be determined; For the non redeemable part
The investor can choose to postpone or cancel the redemption when submitting the redemption application. Those who choose to postpone redemption,
Will automatically transfer to the next business day to continue redemption until all redemption; If redemption is selected, the current day
Some redemption applications that have not been accepted will be cancelled. The deferred redemption application is together with the redemption application on the next open day
Processing, no priority and the redemption amount is calculated based on the net value of such fund units on the following opening day
By analogy, until all redemption. If the investor does not make a clear choice when submitting the redemption application, the investor does not
The redeemable part will be automatically postponed.
(3) In the event that a single fund unit holder applies to redeem more fund units than before on a single open day
1. When 20% of the total fund shares on an open day, the fund manager may
The redemption application shall be postponed, specifically: the redemption proportion accepted by the fund manager on the same day shall not be lower than the previous one
On the premise of 10% of the total fund shares on the release day, if the redemption application of other redemption applicants can be fully completed on the same day
The redemption application of this individual holder shall be confirmed in proportion to the extent that the redemption application can still be accepted,
The remaining unconfirmed redemption applications of this single holder are postponed; Such as redemption application of other redemption applicants
If it cannot be fully confirmed on that day, the redemption application of other redemption applicants shall be confirmed in proportion,
The unconfirmed redemption application shall be postponed together with all redemption applications of this single holder. For non
For the redeemable part, the investor can choose to postpone or cancel the redemption when submitting the redemption application. Select extension
In case of redemption, it will be automatically transferred to the next business day to continue to redeem until it is fully redeemed; Select to cancel redemption
Some redemption applications that were not accepted on that day will be revoked. Deferred redemption application and redemption on the next open day
The applications shall be processed at the same time, and the redemption money shall be calculated based on the net value of such fund units on the following open day without priority
Well, and so on, until all redemption. If the investor fails to make a clear choice when submitting the redemption application,
The part that the investor fails to redeem will be automatically postponed.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can postpone the payment
The redemption money shall not exceed 20 working days and shall be announced on the specified media.
3. Announcement of massive redemption
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall mail, fax or call
Other methods specified in the Prospectus shall notify the fund share holders within three trading days, stating the relevant processing party
And publish an announcement on the specified media within 2 days.
（10） Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall specify the media within the specified period
The suspension notice is published on the website.
2. The Fund Manager may, according to the time of suspension of subscription or redemption
Relevant regulations, publish the announcement of reopening subscription or redemption on the specified media at the latest on the reopening day; also
The time for reopening subscription or redemption can be specified in the announcement of suspension according to the actual situation, and there will be no further time at that time
Announce the reopening.
（11） Fund conversion
The Fund Manager may decide to open the Fund and
For the conversion business between other funds managed by the fund manager, a certain conversion fee may be charged for fund conversion,
The relevant rules shall be formulated and announced by the Fund Manager in accordance with the relevant laws and regulations and the provisions of the Fund Agreement, and
Inform the Fund Custodian and relevant institutions in advance. However, between Class A fund shares and Class C fund shares of the Fund
Mutual conversion is not allowed temporarily.
（12） Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
The resulting non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations. other
Non transaction transfer refers to the situation that non transaction transfer is required in accordance with laws and regulations and the provisions of the registration authority
Shape. Under any of the above circumstances, the subject receiving the transfer must be legally able to hold shares of the Fund
Amount of investors.
Inheritance refers to the death of the fund unit holder, and the fund units held by him shall be inherited by his legal successor;
Donation means that fund share holders donate their legally held fund shares to welfare foundations or societies
Association; Judicial enforcement means that the judicial authority holds
Fund units are forcibly transferred to other natural persons, legal persons or other organizations. Basis must be provided for non transaction transfer
The relevant information required by the gold registration authority shall be subject to the fund registration machine for the qualified non transaction transfer application
It shall be handled in accordance with the provisions of the Fund Registration Authority and charged in accordance with the standards prescribed by the Fund Registration Authority.
（13） Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
A sales agency may collect the transfer custody fee according to the prescribed standards.
（14） Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be separately formulated by the Fund Manager
Line regulations. The investor can agree on the amount of deduction in each period when handling the fixed investment plan
The amount must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
The minimum subscription amount of the investment plan.
（15） Freezing and unfreezing of fund shares
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law, and
Freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations.
If the fund shares are frozen, the rights and interests generated by the frozen part will be frozen together, and the frozen part will remain
Participate in income distribution. Unless otherwise specified by laws and regulations or regulatory authorities.
（16） Pledge of fund units
If relevant laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses,
The Fund Manager will formulate and implement corresponding business rules, and there is no need to hold a general meeting of fund share holders at that time, but
It shall be announced in advance.
（17） Conversion of fund shares
On the premise that there is no material adverse impact on the interests of fund share holders
The administrator may convert the fund units upon consensus without convening a general meeting of fund unit holders for deliberation.
（18） Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in "Side pocket" of this Prospectus
Mechanism or relevant announcements.
9、 Investment of the Fund
（1） Investment objectives
The Fund uses quantitative investment methods to select relevant stocks in the semiconductor industry, striving to achieve long-term stability
The return on investment that exceeds the performance benchmark.
（2） Investment scope
The investment scope of the Fund is mainly financial instruments with good liquidity, including domestic legal public development
Stocks listed for trading (including the main board, GEM and other stocks allowed by the CSRC to be invested by funds
Depositary Receipts), Hong Kong stocks, stock index futures, treasury bond futures, and bond assets (including treasury bonds
Government bonds, financial bonds, corporate bonds, corporate bonds, publicly issued subordinated bonds, convertible bonds, exchangeable bonds
Bonds, pure bonds of convertible bonds with separate transactions, central bank notes, medium-term notes, short-term corporate bonds of securities companies
Bonds, short-term financing bonds, ultra short-term financing bonds, etc.), asset-backed securities, bond repurchase, bank deposits
Money market instruments, inter-bank certificates of deposit, credit derivatives, laws and regulations or funds allowed to invest by the CSRC
Other financial instruments.
The proportion of the Fund's investment portfolio is: the proportion of the Fund's investment in stocks accounts for 80% - 95% of the Fund's assets,
Among them, the proportion of shares invested in Hong Kong Stock Standard shall not exceed 50% of stock assets, and the proportion of shares invested in semiconductor industry shall not exceed 50%
The proportion of relevant stocks shall not be less than 80% of non cash fund assets; Deduct stock index futures contracts at the end of each trading day
And treasury bond futures contracts, which should be kept in cash or have a maturity of less than one year
Government bonds shall not be less than 5% of the net asset value of the fund, of which cash does not include settlement provisions, deposits
Receivable subscription amount, etc. If laws and regulations change the investment proportion limit of investment varieties, the Fund Manager shall
After proper procedures, the investment proportion of the above investment varieties can be adjusted.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform appropriate
After the procedure, it can be included in the scope of investment.
（3） Investment strategy
1. Definition of semiconductor industry
The semiconductor industry is the core of the information industry and the key force leading a new round of scientific and technological revolution and industrial transformation
Quantity is a strategic, basic and leading industry supporting economic and social development and building a digital China. recent years
In recent years, the state has successively introduced a number of policies to support and encourage the development of the semiconductor industry.
The Fund's definition of semiconductor industry includes listed companies in the following industries:
1) Upstream supporting industries of semiconductor industry chain, including semiconductor materials, semiconductor equipment and electronic design
Automation software and integrated circuit modules. Semiconductor materials are divided into wafer manufacturing materials and packaging materials
In wafer manufacturing and packaging, protection and fixation of chip products. Semiconductor equipment is divided into wafer manufacturing equipment and sealing equipment
Install test equipment, which is respectively used for front wafer processing and manufacturing and rear packaging and testing. Electronic design automation software
It refers to the large-scale integrated circuit chip that is designed, manufactured, sealed and tested with computer assistance
Industrial software. Integrated circuit module refers to the verified, reusable and
Modules with specific functions are usually developed by a third party. Electronic design automation software suppliers and integrated circuits
The module supplier provides the automation software tools required for chip design and the core functions required for chip construction
Energy module can help semiconductor design to shorten the design cycle and reduce development costs. Investment involved above
Investment fields include nonferrous metals related to semiconductor materials, basic chemical industry, and semiconductor equipment related
Mechanical equipment industry, software development and digital chip design related to electronic design automation and integrated circuit modules
Design industry.
2) The manufacturing industry in the middle of the semiconductor industry chain mainly produces various semiconductor products. Semiconductor products can
It can be divided into integrated circuits, optoelectronic devices, discrete devices and sensors. Main producers of semiconductor products
The process includes chip design, wafer manufacturing and packaging test. The investment fields involved above are mainly
Including the electronics industry related to semiconductor products.
3) Downstream application enterprises with semiconductor as the main competitive factor, including computer, consumer electronics
Industrial electronics, photovoltaic modules, aerospace, intelligent vehicles, communication equipment, Internet of Things and other semiconductor industry chains
Listed companies whose core business is downstream application products.
In the future, with the development of technology and the change of industrial structure, the scope of semiconductor industry will change
The Fund will adjust the above identification and
It shall be confirmed and announced in the prospectus update.
2. Allocation strategy of major categories of assets
The Fund will use the rich experience and accumulation of the Fund Manager in macroeconomic analysis over the years to
The equity investment decision analysis system (MVPCT system) built by the fund manager regularly evaluates the macro-economy and investment
And assess and prospect the global and domestic economic development. On this basis, judge future market investment
The changes in the capital environment and the main driving factors and variables of market development, using Taikang's quantitative asset allocation model,
According to the expected returns and risks of three major categories of assets, namely stocks, bonds and money market instruments
And adjust the optimal allocation proportion.
MVPCT system is a comprehensive
The system's equity asset analysis framework. The system includes macro economy, valuation level, national policy and capital
And technical aspects to comprehensively analyze the equity market environment and form a judgment on the stock market trend in the next stage,
The quantitative scoring results are used as the basis for decision-making on the position level of human benefit assets under fund management. At present, the system
It has become one of the stable decision-making systems for the allocation of large categories of assets.
3. Stock investment strategy
(1) Industry configuration strategy
The Fund adopts a combination of qualitative and quantitative methods through macro, industry meso and other indicator data
Each sub industry of conductor industry (including integrated circuit design, integrated circuit manufacturing, integrated circuit sealing and testing, semi
Conductor equipment, semiconductor materials, etc.) to determine the current position and future of each sub industry
Development direction, adjust the allocation proportion of sub industries.
(2) Individual stock investment strategy
The Fund selects individual stocks mainly through the multi factor model independently researched by the fund manager, combined with the risk model
Control the portfolio risk and transaction cost model to optimize the transaction cost of the portfolio, and finally generate it through the portfolio optimization model
Portfolio to pursue performance levels that exceed performance benchmarks.
The stock investment adopts a variety of quantitative stock selection techniques, and combines them with qualitative analysis.
1) Quantitative stock selection strategy
The quantitative stock selection strategy mainly uses the following three types of quantitative models to evaluate asset pricing and control
Risk and optimized transactions. According to the model results, the fund manager conducts portfolio investment in combination with the specific market environment.
Excess return model: based on the research results of the Fund Manager's quantitative investment research platform, the Fund adopts
Quantify the multi factor stock model for investment. The quantitative multi factor model is based on the financial data and market of listed companies
Trading data, which can predict stock returns through quantitative means in the semiconductor industry related stock field
As a factor, the index of
Factors with negative relationship numbers score the stocks comprehensively, and select individual stocks to form a portfolio according to the scoring results. fund
The factor sources of the manager's multi factor model are mainly earnings, growth, value, scale, analyst expectations, and quantity
Price and other alpha factors, mainly from the bottom to the top, supplemented by the top to the bottom, to screen assets with low prices
Invest to obtain excess returns and try to avoid overpriced assets.
Risk model: This model predicts and controls the portfolio's exposure to various risk factors through risk, such as
Market, industry, style, etc., to enhance the diversification of the portfolio and reduce the risk of concentrated shareholding of the portfolio, the same as
It also helps to stabilize the necessary exposure of the portfolio to various sub sectors of the semiconductor industry.
Cost model: the model is based on the market transaction activity, market impact cost, stamp tax
Commission and other data can predict the transaction cost of the Fund, effectively control the turnover rate of the Fund, and save the investment of the Fund
Cost, the purpose of optimizing portfolio performance.
2) Qualitative analysis
In addition to adopting quantitative stock selection technology, fund managers also need to comprehensively consider the industrial environment
In terms of policy environment, market pattern, technical advantages, etc., choose those with good fundamentals and sustainable development potential
The high-quality individual stock subject carries out the active investment of the Fund.
3) Portfolio construction and optimization
Based on the expected return and risk characteristics of a single security in the fund portfolio, the risk return index of the portfolio is
Optimize the action mode, and pursue the maximization of fund returns at a reasonable risk level. At the same time, monitor the
Valuation level: sell securities when the market price is significantly higher than its intrinsic reasonable value.
(3) Stock investment strategy of Hong Kong Stock General Standard
The Fund's assets are invested in Hong Kong stocks through the Hong Kong Stock Connect, which will focus on the following categories of Hong Kong Stock Connect stocks,
As an important supplement to A-share subject matter:
1) Leading enterprises in the industry that are consistent with the theme of the Fund and have strong competitiveness in technology or products and the market;
2) Subject matter listed in Shanghai and Hong Kong at the same time that conforms to the theme of the Fund, Hong Kong stock market is in the process of valuation and AH share discount
Attractive investment targets in terms of premium, dividend yield, etc.
(4) Investment strategy of depositary receipts
The Fund can invest in depositary receipts. On the basis of in-depth research, the Fund will conduct qualitative analysis and determine
In the combination of quantitative analysis, depositary receipts with high investment value are selected for investment.
4. Bond investment strategy
According to the needs of fund liquidity management and strategic investment, the Fund will carry out treasury bonds, financial bonds
Investment in fixed income securities such as industrial bonds and convertible bonds/exchangeable bonds. The bond investment strategy includes:
Term management strategy, term structure allocation strategy, riding strategy, interest margin strategy, credit strategy, and individual bond selection strategy
Wait a minute. Under the premise of strict risk control, by allocating different types and maturities of bonds
Yield of gold and non stock assets. Including:
For short-term corporate bonds of securities companies, the Fund will purchase short-term corporate bonds of securities companies
Line screening, comprehensively consider and analyze the corporate background, competitive position, governance structure, profitability
Solvency, bond yield and other factors to determine investment decisions. The Fund will invest or have invested in the certificate
Conduct liquidity analysis and monitoring on short-term corporate bonds of bond companies, and properly control the overall duration of bond portfolios
To prevent liquidity risk.
For convertible bonds, considering the characteristics of both equity securities and fixed income securities
The Fund will select the company with good basic quality
The corresponding underlying securities have higher rising potential convertible bonds for investment, and the option pricing model is adopted
The investment value is assessed by the type of equivalent quantitative valuation tool and purchased at a reasonable price. Exchangeable bonds and convertible bonds
The difference between bonds is that the shares exchanged during the exchange period are not newly issued shares, but held by the issuer
Shares of other listed companies. Exchangeable bonds are also of equity and debt nature
The investment value analysis of the company's stocks and the pure debt value analysis of exchangeable bonds comprehensively carry out investment decisions.
5. Asset backed securities investment strategy
Through the issuance terms of asset-backed securities, market interest rates, composition, quality and support of supporting assets
Research on factors such as the cash flow of assets and the level of prepayment rate, and evaluate the
Credit risk, interest rate risk, liquidity risk and prepayment risk, selected after risk adjustment
High variety investment.
6. Investment strategy of other financial instruments
(1) Trading Strategies of Stock Index Futures
In participating in stock index futures trading, the Fund will, in accordance with the principle of risk management,
Under the premise of risk control, participate in the trading of stock index futures cautiously and appropriately. The Fund is conducting stock index futures trading
Yizhong will analyze the profitability, liquidity and risk characteristics of stock index futures, and mainly select good liquidity and trading
Active futures contracts, through studying the development trend of spot and futures markets, use pricing models to conduct
Reasonable valuation, prudent use of stock index futures, adjustment of portfolio risk exposure, and timely adjustment of portfolio positions
To reduce portfolio risk and improve the operational efficiency of the portfolio.
(2) Trading Strategy of National Debt Futures
The Fund will appropriately participate in treasury bond futures trading based on the principle of prudence, and will, in accordance with the principle of risk management
For the purpose of hedging. The Fund Manager will fully consider the profitability, liquidity and risk characteristics of treasury bond futures,
Use treasury bond futures to hedge systematic risks, risks with flat and steep yield curves
Hedge the risk of interest rate fluctuations in key terms; Leverage financial derivatives to reduce investment groups
The purpose of the overall risk.
(3) Investment strategy of credit derivatives
The Fund will invest in credit derivatives for the purpose of risk hedging in accordance with the principles of risk management. Base
Jin will prudently carry out credit derivatives investment according to the investment strategy of the targeted bonds and other fixed income varieties held by Jin,
Reasonably determine the investment amount and duration of credit derivatives. The Fund will strengthen its investment in credit derivatives
Risk management of counterparties and founding institutions, reasonably dispersing the concentration of counterparties and founding institutions,
Conduct necessary due diligence on the financial status, solvency and leverage level of the counterparty and the founding institution
Check the strict access management.
（4） Performance Benchmark
China Securities All refers to semiconductor products and equipment index yield × 90%+Hang Seng index yield × 5%+banks
Current deposit interest rate (after tax) × 5%
The CSI Full Index of Semiconductor Products and Equipment was compiled by CSI Index Co., Ltd
The base date is 31 days, and the base point is 1000 points. The semiconductor products and equipment industry in the sample shares of CSI are selected
Stock composition to reflect the overall performance of the industry's stocks, with good industry representation. The Fund adopts
"China Securities refers to semiconductor products and equipment index", "Hang Seng Index" and "bank demand deposit interest rate (after tax)"
They are used as the benchmark for the investment of domestic stocks, Hong Kong stocks, and cash assets, and their weights are
It is set at 90%, 5% and 5% respectively, which can make the performance benchmark and the investment style and proportion of the fund
Be consistent so that the performance benchmark can truly and objectively reflect the risk return characteristics of the fund.
If the laws and regulations change in the future, or the relevant data preparation unit stops calculating and preparing the relevant index
Or change the name of the index, or there are other more representative, scientific and objective performance comparison bases in the securities market
When it applies to the Fund, the Fund Manager may, in accordance with the principle of safeguarding the legitimate rights and interests of fund share holders,
Benchmarking performance after consultation with the Fund Custodian and following appropriate procedures as required by the regulatory authorities
It is unnecessary to hold a general meeting of fund share holders to make corresponding adjustments.
（5） Risk return characteristics
The Fund is an equity fund, whose expected risk and expected return are higher than those of hybrid funds and bond funds
And money market funds.
The Fund can invest in the Hong Kong stock market through the trading interconnection mechanism between the mainland and the Hong Kong stock market,
In addition to the general investment risks such as market fluctuation risks similar to domestic securities investment funds
The Fund is also exposed to exchange rate risk, investment risk in Hong Kong stock market
Special risks such as the risk of market transaction interconnection mechanism investment.
（6） Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The Fund's investment in stocks accounts for 80% - 95% of the Fund's assets, including investment in Hong Kong Stock Connect
The proportion of underlying stocks 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, deduct the trading insurance required to be paid for stock index futures contracts and treasury bond futures contracts
After the security deposit, the cash or government bonds with a maturity date of less than one year shall be kept no less than 5% of the net asset value of the fund,
Cash does not include provisions for settlement, deposits and subscription receivables;
(3) The Fund holds the market value of securities issued by a company (the same company in China and Hong Kong
A+H shares listed at the same time) 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
A+H shares listed simultaneously in China and Hong Kong), not more than 10% of the securities;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(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
10% of the size of the asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall be re evaluated
All of them will be sold within 3 months from the date of release of the level report;
(10) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(11) All open-ended funds managed by the Fund Manager hold tradable funds issued by a listed company
Shares shall not exceed 15% of the tradable shares of the listed company; All investment groups managed by the Fund Manager
The number of tradable shares jointly held by a 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 the net assets of the Fund
15% of the value; Due to fluctuations in the securities market, stock suspension of listed companies, changes in fund size and other fund managers
If the fund does not meet the limit of this proportion due to other factors, the fund manager shall not actively increase the liquidity restricted capital
Investment in assets;
(13) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the fund contract
bring into correspondence with;
(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:
1) At the end of any trading day, the value of the stock index futures contracts purchased held shall not exceed the fund assets
10% of net worth; At the end of any trading day, the value of treasury bond futures contracts held shall not exceed that of the fund
15% of net asset value;
2) At the end of any trading day, the value of purchased stock index futures and treasury bond futures contracts and securities held
The sum of the market value of securities shall not exceed 95% of the net asset value of the fund. Among them, securities refer to stocks, bonds (not
Including government bonds with a maturity date of less than one year), asset-backed securities, redemptory financial assets for sale (excluding quality
Pledged repo), etc;
3) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed
20% of the total market value of the stock; At the end of any trading day, the value of futures contracts for selling treasury bonds held shall not exceed
30% of the total market value of bonds held by the Fund;
4) The trading amount of stock index futures contracts traded (excluding closing positions) in any trading day shall not exceed
20% of the net asset value of the Fund on the previous trading day; National debt traded in any trading day (excluding closing positions)
The transaction amount of the futures contract shall not exceed 30% of the net asset value of the fund on the previous trading day;
5) Total market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold (netting
It shall comply with the relevant provisions of the fund contract on the proportion of stock investment; Bonds held by the Fund (not
Including the market value of government bonds with a maturity date of less than one year and the value of futures contracts for buying and selling government bonds, total (
(difference calculation) shall comply with the relevant provisions of the fund contract 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 the corresponding protected debt in the Fund
100% of the face value of the coupon;
(18) The total principal of various credit derivatives invested by the Fund in the same credit protection seller shall not
More than 10% of the net asset value of the Fund;
(19) The proportion limit of the Fund's investment in depositary receipts shall be subject to the shares listed and traded in China
Consolidated calculation of shares traded on internal listing;
(20) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Due to market fluctuations in securities and futures, mergers of securities issuers, changes in fund size, and other fund managers
If the investment proportion of the Fund is not in line with the investment proportion specified in Items (17) and (18) above due to factors other than
The manager shall make adjustment within 3 months.
Except for (2), (9), (12), (13), (17) and (18) above
Fluctuations, mergers of securities issuers, changes in fund size and other factors outside the fund manager cause the fund investment ratio
If the investment proportion does not conform to the above provisions, the Fund Manager shall make adjustment within 10 trading days, but
Except for special circumstances stipulated by the CSRC. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or in accordance with the adjusted provisions, provided that
Announcement in advance.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) 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.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Disclosure of regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
If laws, administrative regulations or regulatory authorities cancel the above prohibitive provisions, the Fund Manager shall perform appropriate
After the procedure, it may not be subject to the above provisions.
（7） Principles and methods for the Fund Manager to exercise the rights of shareholders or creditors on behalf of the Fund
1. The Fund Manager shall independently exercise the rights of shareholders or creditors on behalf of the Fund in accordance with the relevant provisions of the State, and ensure that
Protect the interests of fund share holders;
2. Do not seek to control the listed company;
3. It is conducive to the safety and appreciation of fund assets;
4. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
（8） Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to convene a fund
Deliberation at the general meeting of unit holders.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance comparison benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal changes of specific assets of side pocket accounts
See the "Side Pocket Mechanism" section of this Prospectus for details of cash and payments and other matters that have a significant impact on investors' rights and interests
Provisions of.
10、 Property of the Fund
（1） Total Fund Assets
The total value of fund assets refers to all kinds of securities owned by the fund, principal and interest of bank deposits, and fund receivables
And other assets.
（2） Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
（3） Account of fund property
The Fund Custodian shall open capital accounts and securities accounts for the Fund in accordance with relevant laws, regulations and normative documents
And other special accounts required for investment. Special fund account opened, fund manager and fund custody
The property accounts owned by the fund sales agency, the fund registration agency and other fund property accounts are independent.
（4） Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody by the gold custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Some assets bear their own legal liabilities, and their creditors shall not apply for freezing or withholding of the Fund's assets
Pledge or other rights. Unless otherwise disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets shall not be disposed of
Points.
The Fund Manager and the Fund Custodian were dissolved, dissolved or declared bankrupt according to law
In case of liquidation, the fund assets shall not belong to its liquidation assets. Assets of fund manager management and operation fund assets
The generated creditor's rights may not offset the debts generated by its inherent assets; Different bases for fund manager management and operation
The creditor's rights and liabilities arising from the fund assets of the fund shall not offset each other. Liabilities not due to the fund property itself,
It shall not enforce the fund assets.
11、 Valuation of Fund Assets
（1） Valuation date
The valuation date of the Fund is the trading date of the relevant securities/futures trading places of the Fund and national laws
The non trading day on which the laws and regulations require the disclosure of the net value of the fund.
（2） Valuation object
Stocks, depositary receipts, stock index futures contracts, treasury bond futures contracts, credit derivatives
Assets and liabilities such as asset-backed securities, bonds, bank deposit principal and interest, receivables, and other investments.
（3） Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with
Accounting Standards and relevant regulations of regulatory authorities.
1. For investment varieties with active market and the same asset or liability quotation available
If there is a quotation, the quotation shall be applied to the asset without adjustment, except for the exceptions specified in the accounting standards
Or fair value measurement of liabilities. There is no quotation on the valuation date and there is no impact on fair value measurement after the most recent transaction date
In case of major events, the quoted price on the latest trading day shall be used to determine the fair value. There is sufficient evidence to show that the valuation date
Or if the quotation on the latest trading day cannot truly reflect the fair value, the quotation shall be adjusted to determine the fair price
Value.
The fair value of the same assets or liabilities shall be used if they are the same as the above investment varieties but have different characteristics
And consider the influence of different characteristic factors in the valuation technology. Feature refers to the sale or use of assets
If the limit is for the asset holder, the limit should not be made in the valuation technology
Consider the characteristics. In addition, the fund manager should not consider the risk of
Premium or discount.
2. For investment varieties that do not have an active market, they should be suitable for the current situation and have sufficient
The fair value is determined by valuation techniques supported by data and other information. Use valuation techniques to determine fair value
The observable input value shall be used preferentially, only when the observable input value of relevant assets or liabilities cannot be obtained or
The unobservable input value can be used only when it is impracticable.
3. In case of major changes in the economic environment or major events affecting the securities price of the securities issuer,
If the impact of the potential valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%, the valuation should be
Adjust and determine the fair value.
（4） Valuation method
1. Valuation of non fixed income products listed on stock exchanges
The market price (closing price) of the non fixed income varieties listed on the stock exchange on the valuation date
Valuation; There is no transaction on the valuation date, and there is no significant change in the economic environment or securities issuance after the latest trading day
If there is no major event affecting the securities price, the bank shall be valued at the market price (closing price) of the most recent trading day;
If the economic environment has changed significantly after the recent trading day or the securities issuer has affected the securities price
For major events, the current market price and major change factors of similar investment varieties can be referred to to adjust the recent trading market
Price to determine the fair price;
2. Valuation of fixed income products listed on stock exchanges
(1) For the non equity fixed income varieties that have been listed or listed for transfer, select the third-party valuation basis
The estimated full price of the corresponding varieties provided by the quasi service agency on the current day.
(2) For the fixed income varieties with rights that have been listed or listed for transfer, select the third-party valuation benchmark
The unique or recommended full valuation price of the corresponding varieties provided by the service agency on the current day.
For fixed income varieties including the investor's right to put back, if the right to put back is exercised
Select the unique full valuation price or push of the corresponding varieties provided by the third-party valuation benchmark service agency during the collection date
Recommend the full valuation price, and fully consider the impact of the issuer's credit risk changes on the fair value. Sell back registration
The proposal that the put back right is not exercised after the deadline (inclusive) of the period shall be valued at the price corresponding to the long outstanding period.
(3) There is an active market for publicly issued convertible bonds listed on the exchange market
For bonds including equity conversion, the closing price on the valuation date is selected as the full valuation price for bonds subject to full price trading; Implement net
The full valuation price of the bonds traded at the price of the market shall be the closing price on the valuation date plus the accrued interest per hundred yuan before tax.
(4) The Fund shall take the full valuation price of the valuation varieties as the valuation basis, and the Fund Manager shall, in accordance with relevant laws
Tax related treatment according to laws and regulations.
3. The securities in the unlisted period shall be handled according to the following circumstances:
(1) The new shares issued for stock dividend, conversion, allotment and public issuance shall be listed on the stock exchange on the valuation date
The valuation method of the same stock; If there is no transaction on that day, the market price (closing price) of the latest day shall be used for valuation;
(2) For the initial public offering of unlisted shares, the fair value shall be determined using valuation techniques;
(3) For the fixed income varieties that are not listed or transferred without listing and there is no active market, the valuation method is adopted
The fair value shall be determined by value technology, and the fund manager shall conduct tax treatment in accordance with relevant laws and regulations.
(4) The shares with a certain period of restricted sale shall be specified at the time of issuance, including but not limited to non-public issuance of shares
During the initial public offering of shares, the company's shareholders offered shares to the public, and obtained shares with limited sales period through block trading
Notes, excluding tradable restricted stocks such as suspended trading, newly issued unlisted, pledged bonds in repurchase transactions, etc
The fair value is determined according to the relevant regulations of the governing body or industry association.
4. The Fund's investment in stock index futures contracts and treasury bond futures contracts is generally conducted at the settlement price on the valuation day
Valuation, if there is no settlement price on the valuation day, and there is no significant change in the economic environment after the latest trading day, adopt
Valuation of settlement price on the latest trading day.
5. If the same security is traded in two or more markets at the same time, it shall be separately evaluated according to the market in which the security is located
Value.
6. Valuation method of credit derivatives
Credit derivatives are valued according to the valuation price of the day provided by the third-party valuation agency, but the fund management
The valuation responsibility that a person should bear according to law is not exempted by the entrustment responsibility.
If the selected third-party valuation agency fails to provide the valuation price, relevant laws and regulations and enterprise accounting standards shall apply
The fair value shall be determined by reasonable valuation techniques.
7. If the valuation involves the exchange rate of Hong Kong dollar and other major currencies against RMB, the Chinese people on the valuation date of the fund shall
The central parity rate of RMB exchange rate published by the People's Bank of China or its authorized institution shall prevail.
8. The valuation of the Fund's investment depositary receipts shall be calculated in accordance with the stocks listed and traded in China.
9. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, value at the price that best reflects the fair value.
10. In case of large purchase or redemption, the Fund Manager may adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
11. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Undertake. The fund manager is the fund accounting responsible party of the Fund
If no agreement can be reached after full discussion on the basis of equality between relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
（5） Valuation procedures
1. The net value of various fund units is calculated by dividing the net asset value of such fund by the current
The daily balance of such fund units shall be calculated to the nearest 0.0001 yuan and rounded to the fifth decimal place.
The Fund Manager may establish an emergency adjustment mechanism for the accuracy of net worth in the case of large redemption. If the state otherwise stipulates,
From its provisions.
The Fund Manager shall calculate the net asset value of the Fund and the net value of various fund units on each working day, and
Notice.
2. The Fund Manager shall evaluate the assets of the Fund every working day. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the fund contract. After the fund manager evaluates the fund assets every working day,
The net value results of various fund units shall be sent to the Fund Custodian, and after the Fund Custodian has verified that there is no error, the fund shall be managed by the Fund
The manager shall be announced to the public.
（6） Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When the net value of any type of fund unit is within 4 decimal places (including the 4th decimal place)
If the value is wrong, it will be deemed as the net value of fund units is wrong.
The parties to the fund contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
"Valuation error handling principle" shall pay compensation and bear compensation liability.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors;
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
If the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall bear the corresponding liability for compensation
Ren. The party responsible for the valuation error shall confirm the correction to the relevant parties to ensure that the valuation error has been obtained
To correct.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the liability for valuation error
Party A shall compensate the loss of the injured party, and shall, within the scope of the amount of compensation paid
People have the right to demand the delivery of unjust enrichment; If the party who has obtained the unjust enrichment has wronged this part
If the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of unjust gains it has received
The difference between the total return of interest and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the fund manager shall immediately correct it and notify
The Fund Custodian shall take reasonable measures to prevent further expansion of losses.
(2) When the error deviation of the net value of various fund units reaches 0.25% of the net value of such fund units
The manager shall notify the fund custodian and report to the CSRC for filing; The error deviation reaches the net amount of such fund units
When the value is 0.5%, the fund manager shall make an announcement and report to the CSRC for filing.
(3) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions.
（7） Suspension of valuation
1. The securities, futures trading market and foreign exchange market involved in the Fund's investment meet legal holidays or
When the business is suspended for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the fund contract.
（8） Recognition of net fund value
The fund manager is responsible for calculating the net asset value of the fund and the net value of various fund units, and the fund custodian is responsible for
Review. The Fund Manager shall calculate the net asset value of the Fund on each trading day and
The net value of Class A fund units shall be sent to the fund custodian. Issued after the Fund Custodian reviews and confirms the net value calculation results
It shall be sent to the fund manager, who shall publish the net value of the fund.
（9） Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the main pocket account assets shall be valued and
Disclose the net fund value information of the main pocket account, and suspend the disclosure of the net share value of the side pocket account.
（10） Handling of special cases
When the Fund Manager and the Fund Custodian conduct valuation according to Item 9 of the valuation method, the error caused is not
It is treated as the net value of fund units in error.
Third party institutions such as securities, futures exchanges, foreign exchange markets, registration and clearing companies and deposit banks
The data sent is incorrect, or due to force majeure or other reasons, although the Fund Manager and the Fund Custodian have adopted
If necessary, appropriate and reasonable measures are taken for inspection, but the error is not found, the resulting fund
The Fund Manager and the Fund Custodian shall be exempted from liability for compensation in case of asset valuation errors. But the fund manager and the fund trust
The administrator shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
12、 Fund income and distribution
（1） Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
As for the balance after expenses, the realized income of the fund refers to the balance of the fund profit minus the gains and losses from changes in fair value.
（2） Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
（3） Principle of fund income distribution
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or reinvestment of cash dividends automatically into corresponding types of fund units; If investors do not choose,
The Fund's default income distribution method is cash dividends;
2. After the distribution of fund income, the net value of various fund units cannot be lower than the par value; That is, the benchmark of fund income distribution
The net value of various fund units on the day minus the amount of income distribution per unit of such fund units cannot be lower than the par value;
3. Each fund unit of the same category of the Fund has the same distribution right;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In the case of no material adverse effect on the interests of fund share holders, the Fund Manager may
Adjust the above fund income distribution principles as appropriate after reaching an agreement with the fund custodian under the premise of regulations, without the need to
A general meeting of fund share holders shall be convened for deliberation, but the change shall be announced in the prescribed media before the implementation date of the change.
（4） Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund income as of the base date of income distribution
Distribution object, distribution time, distribution amount and proportion, distribution method, etc.
（5） Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Disclosure Measures are announced in the specified media.
（6） Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. Dang Tou
When the cash dividend of the investor is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund shall register
A bookkeeping institution may automatically convert the cash dividends of fund share holders into corresponding fund shares. Dividend reinvestment
The calculation method of capital shall be in accordance with the Business Rules.
（7） Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. For details, see "Side
Bag mechanism ".
13、 Fund fees and taxes
（1） Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Sales service fees for Class C fund units;
4. Unless otherwise specified by laws and regulations and the CSRC, the Fund Contract shall be
Information disclosure fees;
5. Accounting fees, attorney fees, arbitration fees and legal fees related to the Fund after the Fund Contract takes effect;
6. Expenses for the general meeting of fund share holders;
7. Securities and futures trading expenses of the Fund;
8. Bank transfer fees of the Fund;
9. Account opening and maintenance fees of relevant accounts of the Fund;
10. All reasonable expenses arising from investment in Hong Kong stocks;
11. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
（2） Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is calculated at the annual fee rate of 1.00% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
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 financial data that is consistent with the fund manager will be automatically checked according to the designated account within 5 working days at the beginning of the next month
Path for payment. In case of legal holidays, rest days, etc., the payment date shall be postponed. After automatic deduction of expenses,
The Fund Manager shall check, and in case of any discrepancy in data, it shall contact the Fund Custodian for settlement through consultation.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is calculated at the annual fee rate of 0.10% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
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 financial data that is consistent with the fund manager will be automatically checked according to the designated account within 5 working days at the beginning of the next month
Path for payment. In case of legal holidays, rest days, etc., the payment date shall be postponed. After automatic deduction of expenses,
The Fund Manager shall check, and in case of any discrepancy in data, it shall contact the Fund Custodian for settlement through consultation.
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 previous
The annual fee rate of 0.40% of the net asset value of the one-day Class C fund units 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 financial data that is consistent with the fund manager will be automatically checked according to the designated account within 5 working days at the beginning of the next month
Path for payment. The sales service fee shall be collected by the registration authority, and the registration authority shall pay according to the relevant contract after receiving it
Paid to the fund sales agency. In case of legal holidays, rest days, etc., the payment date shall be postponed. Automatic deduction of expenses
After that, the Fund Manager shall check, and in case of any discrepancy in data, it shall contact the Fund Custodian for settlement through consultation.
The sales service fee is mainly used for the sale of funds and the services of fund share holders.
Items 4-11 of the above "(I) Types of fund expenses" shall be paid according to relevant regulations and corresponding agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, which shall be paid by the Fund Custodian from the Fund assets.
（3） Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
（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,
However, it can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but not charged
For management fees, see the provisions of the "side pocket mechanism" section of this prospectus or relevant announcements.
（5） Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
14、 Accounting and auditing of the Fund
（1） Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the Fund Contract takes effect less than 2 months, it can be incorporated into the next accounting year
Annual disclosure;
3. The bookkeeping base currency for fund accounting is RMB yuan, and the bookkeeping unit is RMB yuan;
4. The accounting system shall implement the relevant national accounting system;
5. The Fund establishes accounts and accounts independently;
6. The Fund Manager and the Fund Custodian shall respectively keep complete accounting accounts and vouchers and conduct daily
Accounting and preparation of fund accounting statements in accordance with relevant regulations;
7. The Fund Custodian shall check with the Fund Manager on the accounting and statement preparation of the Fund every month
And confirmed in writing.
（2） Annual audit of the Fund
1. The Fund Manager's engagement of mutual independence with the Fund Manager and the Fund Custodian is consistent with the requirements of the People's Republic of China
The annual financial statements of the Fund prepared by the accounting firm and its certified public accountants as prescribed by the Securities Law of the Republic of China
Bank audit.
2. An accounting firm shall obtain the prior consent of the fund manager to change its certified public accountant.
3. The Fund Manager shall notify the Fund Custodian if it believes that there is sufficient reason to change the accounting firm. more
The change of accounting firm shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
15、 Information disclosure of the Fund
（1） The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Liquidity Risk Management Regulations, Fund Contract and other relevant regulations.
（2） Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the convening fund unit holders
Natural persons, legal persons and non -
Legal organization.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and in accordance with the law
Disclose fund information in accordance with regulations and the provisions of the CSRC, and ensure the authenticity, accuracy
Completeness, timeliness, simplicity and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, submit the fund letter that should be disclosed
The information is passed through national newspapers and periodicals (hereinafter referred to as "regulated newspapers and periodicals") that meet the requirements of the CSRC and the Information
Internet websites (hereinafter referred to as "regulated websites") and other media specified in the Disclosure Measures, and ensure that the Fund
Investors can consult or copy publicly disclosed information at the time and in the manner agreed in the Fund Contract
Materials.
（3） The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory words of any natural person, legal person or unincorporated organization;
6. Other acts prohibited by the CSRC.
（4） The information publicly disclosed by the Fund shall be in Chinese. If the foreign language version is used at the same time, the fund
The obligor of information disclosure shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
The text shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the currency unit is RMB
Yuan.
（5） Publicly disclosed fund information
The publicly disclosed fund information includes:
1. Fund Prospectus, Fund Contract, Fund Custody Agreement, Fund Product Information Summary
(1) The Fund Contract defines the rights and obligations of the parties to the Fund Contract
The rules and specific procedures for convening the general meeting of fund share holders, specifying the characteristics of the fund products and other matters related to fund investment
Legal documents on matters of major interests of the investors.
(2) The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information disclosure
Disclose the services of fund share holders. Information of the Fund Prospectus after the Fund Contract takes effect
In case of major changes, the Fund Manager shall update the Fund Prospectus and publish it within three working days
On the specified website; If other information in the prospectus changes, the fund manager shall update it at least annually
once. If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
(3) The Fund Custody Agreement defines the relationship between the Fund Custodian and the Fund Manager
Legal documents of rights and obligations in operation supervision and other activities.
(4) The fund product information summary is the summary document of the fund prospectus, which is used to provide investors with
A concise summary of the Fund. After the Fund Contract comes into effect, the information in the fund product information summary is significant
In case of any change, the fund manager shall update the summary of fund product information within three working days and publish it in the Regulations
Fixed websites and websites or business outlets of fund sales institutions; In case of any change in other information of the fund product profile,
The Fund Manager shall be updated at least once a year. If the operation of the fund is terminated, the fund manager will no longer update the fund products
Data summary.
After the application for fund raising has been registered by the CSRC, the fund manager shall, within three days of the sale of the fund units
The announcement of the sale of fund units, the indicative announcement of the prospectus and the indicative announcement of the fund contract
It shall be published in the required newspapers and periodicals, and the fund unit sale announcement, fund prospectus, fund product information summary
The Fund Contract and the Fund Custody Agreement shall be published on the specified website, in which the summary of fund product information shall also
Published on the website or business outlet of the fund sales agency; The Fund Custodian shall simultaneously
The gold custody agreement is published on the specified website.
2. Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units on the specific matters concerning the sale of fund units, and
The prospectus was published on the specified media on the day of disclosure.
3. Announcement on the Effectiveness of the Fund Contract
The Fund Manager shall, on the next day after receiving the filing documents confirmed by the CSRC
The effectiveness announcement of the Fund Contract is posted on the website.
The announcement on the effectiveness of the fund contract will explain the fund raising situation and the fund manager and the senior manager of the fund manager
Fund shares held by managers, fund managers and other personnel, as well as the shareholders of the fund manager, and the commitment period
And so on.
4. Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of various fund units and the cumulative net value of fund units shall be disclosed at least once a week on the specified website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day after the opening day, disclose various types of funds on the open day through the specified website, fund sales agency website or business outlets
Net value of gold units and cumulative net value of fund units.
The Fund Manager shall disclose the information on the prescribed website no later than the next day after the last day of the half year and the year
Net value of various fund units and accumulated net value of fund units on the year and the last day of the year.
5. Subscription and redemption price of fund units
The Fund Manager shall specify various types of funds in the Fund Contract, Prospectus and other information disclosure documents
Calculation method of subscription and redemption price of gold shares and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the fund sales institution shall consult or copy the aforesaid information.
6. Regular reports of the Fund, including annual reports, interim reports and quarterly reports of the Fund
The Fund Manager shall complete the annual report of the Fund within three months from the end of each year
The annual report is published on the specified website, and the advisory announcement of the annual report is published on the specified newspaper. Fund year
The financial accounting report in the report shall be certified by an accountant who complies with the Securities Law of the People's Republic of China
Audit by the firm.
The Fund Manager shall, within two months from the end of the first half of the year, prepare the interim report of the Fund and
The interim report is published on the specified website, and the suggestive announcement of the interim report is published on the specified newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter,
Publish the quarterly report on the specified website, and publish the suggestive announcement of the quarterly report on the specified newspaper.
If the Fund Contract takes effect less than two months ago, the Fund Manager may not prepare the current quarterly report
Periodic report or annual report.
In the report period, if a single investor holds 20% or more of the total fund shares
In order to protect the interests of other investors, the fund manager should at least report "influence the decisions of investors" on a regular basis
The investor's category, holding shares and proportion at the end of the reporting period, and reporting period
Changes in shares held within the Fund and the unique risks of the Fund, except for special circumstances recognized by the CSRC.
During the continuous operation of the Fund, the Fund Manager shall disclose in the Fund's annual report and interim report
Fund portfolio assets and liquidity risk analysis.
The Fund Manager shall disclose the Fund Manager
The fund manager's senior managers, fund managers and other personnel, as well as the fund manager's shareholders' shares
Term and changes in the period.
7. Interim report
In the event of a major event of the Fund, the relevant information disclosure obligor shall, in accordance with the provisions of the Measures for Information Disclosure
The temporary report shall be prepared according to the relevant regulations and published on the specified newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
(1) The convening and decisions of the general meeting of fund share holders;
(2) The Fund Contract is terminated and the Fund is liquidated;
(3) Conversion of fund operation mode and fund merger;
(4) Change the fund manager, fund custodian, fund share registration agency, and change the fund to an accountant
office;
(5) The fund manager entrusts the fund service institution to handle the registration, accounting and valuation of fund shares on its behalf
The Fund Custodian entrusts the Fund Service Institution to handle the accounting, valuation and review of the Fund on its behalf;
(6) The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
(7) The Fund Manager changes the actual control of shareholders holding more than 5% of the equity and the Fund Manager
Change of controller;
(8) The fund raising period is extended or the fund raising is terminated in advance;
(9) Senior management of the fund manager, fund manager and special fund custody department of the fund custodian
The person in charge of the department changes;
(10) The directors of the fund manager have changed by more than 50% in the last 12 months
The main business personnel of the special fund custody department of the Fund Custodian and the Fund Custodian have changed by more than 100% in the last 12 months
Thirty percent;
(11) Litigation or arbitration involving fund management business, fund property and fund custody business;
(12) The fund manager or its senior managers and fund managers are subject to
In case of major administrative punishment or criminal punishment, the Fund Custodian or the head of its special fund custody department shall
Conduct related to business management subject to major administrative punishment and criminal punishment;
(13) The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, unless otherwise stipulated by the CSRC;
(14) Fund income distribution matters;
(15) Accrual standard and calculation of management fee, custody fee, sales service fee, subscription fee, redemption fee, etc
The mode of presentation and rate have changed;
(16) The valuation error of the net value of fund units of any type of fund units reaches 100% of the net value of such fund units
Zero point five;
(17) The Fund begins to handle subscription and redemption;
(18) The Fund is redeemed in large amount and postponed;
(19) The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
(20) The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
(21) Major events involving adjustment of fund subscription and redemption events or potential impact on investors' redemption
Hour;
(22) The Fund Manager adopts the swing pricing mechanism for valuation;
(23) The fund manager changes the valuation technology;
(24) The Fund launches new businesses or services;
(25) Adjust the setting of fund share categories;
(26) 30, 40 and 45 consecutive working days after the Fund has been established for 3 years
The number of fund share holders is less than 200 or the net asset value of the fund is less than 50 million yuan per day;
(27) The fund information disclosure obligor believes that it may affect the rights and interests of fund unit holders or fund units
Other matters that have a significant impact on prices or other matters specified by the CSRC.
8. Clarification announcement
During the term of the Fund Contract, any news appearing in any public media or circulating in the market may
It can mislead the price of fund units or cause large fluctuations, and may damage the holding of fund units
If someone has rights and interests, the relevant information disclosure obligor shall immediately make public clarification on the information after it is known.
9. Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund unit holders shall be reported to the CSRC for record and announced in accordance with the law.
10. Information disclosure during the implementation of the side pocket mechanism
Where the Fund implements the side pocket mechanism, relevant information disclosure obligors shall, in accordance with laws, regulations and fund contracts
And the provisions of the Prospectus, see the provisions of the "side pocket mechanism" section of this Prospectus for details.
11. Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to conduct a review of the fund assets in accordance with the law
Bank liquidation and make liquidation report. The fund assets liquidation team shall publish the liquidation report on the specified website,
And publish the suggestive announcement of the liquidation report on the prescribed newspapers and periodicals.
12. Information disclosure of investment in non-public offering of shares
The Fund Manager shall, within 2 trading days after the Fund invests in the non-public offering of shares
The media will be required to disclose the name, quantity, total cost, book value and total
The proportion of the cost and book value in the net asset value of the fund, and information about the lock up period.
13. Information disclosure of participating in stock index futures trading
The Fund Manager shall, in accordance with the requirements of laws and regulations, regularly report quarterly reports, interim reports, annual reports, etc
The prospectus (update) and other documents disclose the trading of stock index futures, including trading policies, positions
Profit and loss, risk indicators, etc., and fully reveal the impact of stock index futures trading on the overall risk of the fund and whether
Whether it conforms to the established trading policies and objectives.
14. Information disclosure of participating in treasury bond futures trading
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports and prospectuses
New) and other documents, including trading policies, positions, profits and losses, and risks
And fully reveal the impact of treasury bond futures trading on the overall risk of the fund and whether it conforms to the established
Trading policies and trading objectives.
15. Information disclosure of investment asset-backed securities
The Fund Manager shall make regular reports on quarterly reports, interim reports, annual reports, etc
And the prospectus (update) and other documents to disclose the transactions of asset-backed securities. The Fund Manager shall
The annual report and interim report of the Fund disclose the total amount of asset-backed securities held by the Fund and the market value of asset-backed securities as the basis
Proportion of net assets and details of all asset-backed securities during the reporting period; Disclose it in the quarterly report of the fund
The total amount of asset-backed securities held, the proportion of the market value of asset-backed securities in the net assets of the fund and the ratio of
Details of the top 10 asset-backed securities ranked by the proportion of market value to the net assets of the fund.
16. Information disclosure of investment in Hong Kong stocks
The Fund Manager shall make regular reports on the annual report, interim report and quarterly report of the Fund
And the prospectus (update) and other documents according to the then effective laws and regulations or the requirements of regulators
The investment in the underlying stocks of SGCC.
17. Information disclosure of short-term corporate bonds of investment securities companies
The Fund Manager shall timely publish temporary announcements, regular reports, prospectuses (updates) and other documents
Disclose the situation of the Fund's investment in short-term corporate bonds issued by securities companies.
18. Information disclosure of investment credit derivatives
The Fund shall disclose the details of credit derivatives in the regular report, prospectus (update) and other documents
Investment, including investment strategy, position, etc., and fully reveal the impact of investment in credit derivatives on the overall fund
The impact of risk and whether it conforms to the established investment objectives and strategies.
19. Other information specified by the CSRC.
（6） Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system, designate special departments and
Senior management is responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information of the CSRC
The disclosure content and format standards and other laws and regulations.
The Fund Custodian shall comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net asset value of the fund, the net value of various fund units, and the purchase and redemption of fund units prepared by the fund manager
Price, regular fund report, updated prospectus, summary of fund product information, fund liquidation report, etc
Review and review the publicly disclosed fund information, and confirm it in writing or electronically to the fund manager.
The Fund Manager and the Fund Custodian shall choose one of the prescribed newspapers to disclose the information of the Fund.
The fund manager and the fund custodian shall submit the funds to be disclosed to the fund electronic disclosure website of the CSRC
Information, and ensure the authenticity, accuracy, integrity and timeliness of the information submitted.
The Fund Manager and the Fund Custodian may, in addition to disclosing information on the prescribed media according to law
Disclose information in other public media, but other public media shall not disclose information earlier than the specified media, and
The content of the same information disclosed on different media shall be consistent.
In addition to disclosing information as required by laws and regulations, fund managers and fund custodians can also focus on investment
From the perspective of providing useful information when making decisions, we should ensure that investors are treated fairly, not mislead investors, and not affect the
Under the premise of normal investment operation, independently improve the quality of information disclosure services. The specific requirements shall meet the requirements of
Relevant provisions of the CSRC and self regulatory rules. In case of information disclosure fees arising from the aforesaid independent disclosure, such fees shall not
It may be disbursed from the fund assets.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
Business institutions shall prepare working papers and keep relevant files at least 10% after the termination of the Fund Contract
Years.
（7） Storage and reference of information disclosure documents
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with the relevant laws and regulations
The regulations require that information be kept in their respective residences for public reference and reproduction.
（8） Suspend or delay the disclosure of fund information
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
1. Force majeure;
2. The securities/futures trading market and foreign exchange market involved in the Fund's investment meet legal holidays or other reasons
The business is suspended due to reasons;
3. Suspension of valuation
4. Laws and regulations, the Fund Contract or the situation stipulated by the CSRC.
16、 Side pocket mechanism
（1） Implementation conditions of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to convene a fund
General meeting of unit holders.
The Fund Manager shall issue a temporary announcement in a timely manner after the side pocket mechanism is activated, and employ the side pocket machine in a timely manner
The accounting firm giving its opinion on the opening day of the side pocket mechanism aims at the specific assets held by the fund on the opening day of the side pocket mechanism
Issue special audit opinions.
（2） Subscription and redemption of fund units during the implementation of side pocket mechanism
1. On the day when the side pocket mechanism is activated, the fund manager and the fund service institution shall
On the basis of account shares, confirm the corresponding side pocket account list and shares of fund share holders; On the enabling side
The subscription application received by the side pocket mechanism on the same day shall be handled according to the share of the main pocket account after the side pocket mechanism is activated; On
For the redemption application received by the side pocket mechanism on the same day, only the redemption application of the main pocket account is processed and the redemption amount is paid. base
The fund manager shall make full disclosure to investors according to law.
2. During the implementation of the side pocket mechanism, the fund manager does not handle the subscription, redemption and transfer of side pocket account shares
Replacement; At the same time, the fund manager shall redeem the shares of the main account in accordance with the fund contract and the prospectus
And determine whether to suspend the subscription according to the operation of the main bag account.
3. The subscription and redemption provisions in the "Subscription and Redemption of Fund Units" section of this Prospectus are applicable to
Bag account shares. See the Fund Manager for the specific arrangements of subscription and redemption during the implementation of the side pocket mechanism
Relevant announcements of the cloth.
（3） Fund investment during the implementation of side pocket mechanism
During the implementation of the side pocket mechanism, the portfolio proportion, investment
Capital strategy, portfolio restrictions, performance benchmarks, risk return characteristics and other agreements are only applicable to the main bag account. base
When calculating various investment operation indicators and fund performance indicators, the fund manager shall take the main pocket account assets as the benchmark.
In principle, the fund manager shall complete the investment in the main pocket account within 20 trading days after the side pocket mechanism is activated
The adjustment of the asset portfolio shall be subject to the circumstances specified by the CSRC, such as the restriction of asset liquidity.
The fund manager shall not conduct other investment operations in the side pocket account except for the realization of specific asset disposal
Work.
（4） Fund valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the Fund Manager and the Fund Custodian shall evaluate the assets of the main pocket account
And disclose the net fund value of the main pocket account, and suspend the disclosure of the net share value of the side pocket account. Side pocket account meeting
The accounting shall comply with the relevant requirements of the Accounting Standards for Business Enterprises.
（5） Income distribution of funds during the implementation of side pocket mechanism
Where the Fund implements the side pocket mechanism, the shares in the main pocket account meet the conditions for the distribution of the fund contract income
The fund manager can distribute the income of the main bag account. The side pocket account does not carry out income distribution.
（6） Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the disposal of assets in the side pocket account can be transferred from the side pocket account
Expenditures in assets can only be disbursed after the specific assets of the side pocket account are realized. Relevant fees can be charged or reduced as appropriate
No, but the management fee of side pocket account shall not be charged. Consulting and audit fees incurred due to the use of the side pocket mechanism are attributable to
The Fund Manager shall undertake.
（7） Disposal, realization and payment of specific assets in side pocket account
After the liquidity of specific assets is restored by means of marketability, transferability and resumption of transactions, the Fund Manager shall
The realization plan shall be formulated in accordance with the principle of maximizing the interests of fund share holders to realize the disposal of side pocket assets. nothing
On whether the assets in the side pocket account have been fully realized, the fund manager should promptly report to the fund corresponding to the side pocket account
The unit holder shall pay the corresponding amount of the realized part.
After all the assets in the side pocket account have been realized, the Fund Manager shall timely hire the person who meets the requirements of the People's Republic of China
The accounting firm specified in the Securities Law of the People's Republic of China shall audit and disclose special audit opinions.
（8） Information disclosure of side pocket mechanism
1. Temporary announcement
When the side pocket mechanism is activated, specific assets are disposed, and the side pocket mechanism is terminated, and other events that may affect investors
The Fund Manager shall issue an interim announcement in a timely manner after an event that has a significant impact on its interests.
2. Net fund value information
The Fund Manager shall follow the net value information of the Fund as specified in the "Information Disclosure of the Fund" section of the Prospectus
The method and frequency of disclosure are to disclose the net value of fund units and the cumulative net value of fund units of the main bag account units. Implementation side
The Fund will suspend the disclosure of the net value of fund units and the accumulated net value of fund units in the side pocket account during the period of the pocket mechanism.
3. Periodic reports
During the implementation of the side pocket mechanism, the fund accounting statements in the fund periodic report only need to be carried out for the main pocket account
organization. Relevant information of the side pocket account is disclosed separately in the periodic report, including but not limited to:
Progress of specific asset disposal; Net realizable value or reference range of net value of specific assets, such net value or net value
The value range does not represent the final realization price of a specific asset, and is not used as the final change of the fund manager to a specific asset
Commitment of current price.
（9） If laws and regulations or regulatory agencies and industry associations have other provisions on the side pocket mechanism, such provisions shall prevail.
If the content of the side pocket mechanism in this prospectus is inconsistent with the laws, regulations and relevant provisions in effect at that time,
Subject to the laws, regulations and relevant provisions at that time, the Fund Manager and the Fund Custodian have reached consensus and fulfilled
After due process, on the premise of no material adverse impact on the interests of fund share holders
Some of the contents are modified, adjusted or supplemented without the need to convene a general meeting of fund share holders for deliberation.
17、 Risk disclosure
（1） Main risks of investing in the Fund
The investment risks of the Fund include portfolio risk, management risk, compliance risk and the fund
Some investment risks, operational risks and other risks.
1. Portfolio risk
The risk of investment portfolio mainly includes market risk, credit risk and liquidity risk.
(1) Market risk
The fluctuation of the securities market price caused by various factors will make the Fund's assets face potential
The market risk of the Fund comes from the fluctuation of the market price of the Fund's stock assets and bond assets.
(2) Credit risk
The bond issuer defaults, refuses to pay the due principal and interest, or the credit quality of the bond issuer decreases
The risk that leads to the decline of bond price, and the credit risk also includes the securities transaction caused by the default of the securities counterparty
Cut risk.
(3) Liquidity risk
Liquidity risk means that the fund manager fails to realize the fund assets at a reasonable price in time to pay for the investment
The liquidity risk management aims to ensure the liquidity and investment of the fund portfolio assets
The matching and balance of investors' redemption needs.
1) Fund subscription and redemption arrangements
See the relevant provisions of "VIII. Subscription and redemption of fund units" in this prospectus.
2) Liquidity risk assessment of the proposed investment market, industry and assets
The investment market of the Fund mainly includes securities/futures exchanges, national inter-bank bond market and other liquidity
Good standard trading place, and the main investment objects are financial instruments with good liquidity (including domestic
Legally issued and listed stocks, bonds and money market instruments), and the Fund is based on the original
There is no feature of high concentration in the industry and individual bonds, and the Fund's
The liquidity risk is moderate.
3) Liquidity risk management measures in the case of huge redemption
In case of a huge redemption of the fund, the fund manager can decide according to the current asset portfolio of the fund
Full redemption or partial deferred redemption. At the same time, if the Fund has a huge redemption and a single holder's redemption application
If the total fund share exceeds a certain proportion of the previous open day, the fund manager has the right to take relevant measures as follows:
The single holder postponed the redemption. For details of the above, please refer to "VIII
Purchase application and redemption/(IX) Situation and handling method of massive redemption ".
4) Implementation of alternative liquidity risk management tools, procedures and potential impact on investors
In extreme circumstances, such as sharp market fluctuations and liquidity depletion, it is impossible to deal with huge redemption of investors
Under such circumstances, the Fund Manager will, on the premise of protecting the legitimate rights and interests of investors, strictly comply with laws, regulations and the Fund
According to the provisions of the contract, it is prudent to choose to postpone the handling of huge redemption applications, suspend the acceptance of redemption applications, and postpone the payment of redemption
Liquidity risk management tools such as repayment, collection of short-term redemption fees, swing pricing mechanism and side pocket mechanism are used as
Auxiliary measures. For the use of various liquidity risk management tools, the fund manager will make prudent decisions and timely
Effectively monitor and assess risks, go through internal approval procedures and negotiate with the Fund Custodian before use
To. Redemption application and redemption payment of investors in the actual application of various liquidity risk management tools
The Fund Manager will operate in strict accordance with laws and regulations and the provisions of the Fund Contract
To fully protect the legitimate rights and interests of investors.
5) The impact of implementing the side pocket mechanism on investors
The side pocket mechanism is a liquidity risk management tool that separates specific assets into special side pocket accounts
Carry out disposal liquidation and pay the fund share holders with the amount after disposal and realization after deducting the corresponding expenses
The purpose of payment is to effectively isolate and resolve risks. However, after the fund activates the side pocket mechanism, the side pocket account shares will
Stop disclosing the net value of fund units, and do not handle subscription, redemption and conversion. Only the main pocket account units are subject to
Redemption is normally open as agreed in the gold contract and prospectus, so when the side pocket mechanism is activated
After the side pocket mechanism is enabled, the holder will hold both the main pocket account share and the side pocket account share, and the side pocket account share
The amount cannot be redeemed, the realization time of the corresponding specific assets is uncertain, and the final realization price is also uncertain
Deterministic and likely to be significantly lower than the valuation of specific assets when the side pocket mechanism is activated, fund share holders
May face losses as a result.
During the implementation of the side pocket mechanism, the Fund does not disclose the net value of the side pocket account shares, even if the Fund Manager
The disclosure of the net realizable value or net value range of specific assets at the end of the reporting period in the regular report of the Fund shall not be deemed as special
The commitment to determine the final realization price of an asset. Therefore, for the fair value and final realization price of a specific asset
The fund manager does not assume any responsibility for guarantee and commitment.
The fund manager will reasonably determine the purchase policy according to the operation of the main bag account, so the side bag machine will be implemented
It is possible to suspend the subscription of the main pocket account shares after the system.
After the side pocket mechanism is enabled, the fund manager shall calculate all investment operation indicators and fund performance indicators with
The main pocket account assets are the benchmark, and the net assets of the fund caused by splitting the side pocket account assets are reduced according to relevant regulations
Less treatment as investment loss, so the performance indicators disclosed by the Fund cannot reflect the true price of specific assets
Values and changes.
2. Managing risk
In the process of fund management and operation, the research level and investment management level of the fund manager directly affect the
If the fund manager's judgment on the economic situation and the securities market is not accurate and the information obtained is not accurate
All and investment operation errors will affect the income level of the fund.
3. Compliance risk
It means that the investment operation of the Fund does not comply with the provisions of relevant laws and regulations and the requirements of the Fund Agreement
Risks.
4. The Fund's unique investment risks
(1) The Fund is an equity fund. The proportion of the Fund's investment in equity assets is 80% - 95%
The proportion of shares invested by China in Hong Kong Stock Standard shall not exceed 50% of stock assets, and it is invested in semiconductor industry
The proportion of stocks shall not be less than 80% of non cash fund assets; At the end of each trading day, the Fund deducts the stock index
The trading margin required to be paid for commodity contracts and treasury bond futures contracts shall not be less than 5% of the net asset value of the fund
Cash or government bonds with a maturity of less than one year. The Fund Manager will give full play to the advantages of professional research,
We will strengthen in-depth research on the market, the fundamentals of listed companies, and fixed income products, and continue to optimize portfolio allocation,
To control specific risks.
At least 80% of the non cash fund assets of the Fund will be invested in semiconductor industry related stocks
The specific risk of bonds is the specific investment risk that the Fund and investors mainly face, and its investment income will be affected by
To the macro economy, government industrial policies, changes in market demand, industry fluctuations and the company's own operating conditions
The growth of the selected investment target may be inconsistent with the consensus expectation of the market, resulting in the individual stock price
Risk of underperformance.
Therefore, the semiconductor industry related securities invested by the Fund may perform better than other securities in a certain period
The different securities invested result in the Fund's lower return than other funds, or higher volatility than other funds or markets
Field average level. In addition, since the Fund can also invest in other varieties, the price of these varieties may also be affected by
Various changes in the market have caused certain fluctuations, resulting in specific risks and affecting the overall fund
Investment income.
(2) The Fund may participate in the trading of stock index futures, which adopts the margin trading system
Securities and gold trading is leveraged. When there is an adverse market, a small change in the stock index may cause investment
People's rights and interests suffered great losses. The daily debt free settlement system is adopted for stock index futures
If the margin is replenished within an interval, the position will be forced to be closed as required, which may cause significant losses to the investment.
(3) The Fund can participate in treasury bond futures trading, and treasury bond futures adopt the margin trading system
The securities trading is leveraged. When the yield of treasury bonds with corresponding maturity changes unfavourably, it may lead to investment
People's rights and interests suffered great losses. The daily debt free settlement system is adopted for treasury bond futures
If the margin is replenished within an interval, the position will be forced to be closed as required, which may cause significant losses to the investment.
(4) The Fund may participate in the subscription of shares, and the issuance of new shares is affected by the issuance policy and mechanism of shares
Changes in the factors of the Bank will affect the asset allocation of the Fund, thus affecting the risk return level of the Fund. another
In addition, the uncertainty of the allotment ratio and winning lot rate of the issued shares, or the uncertainty of other offering methods
The Fund may face more uncertainties.
(5) The Fund may invest in short-term corporate bonds of securities companies. Although the fund manager has formulated investment
Capital decision-making process and risk control system, but the Fund will still face the special
Credit risk, liquidity risk and other risks.
(6) The Fund may invest in asset-backed securities. Although the fund manager will study asset support in depth
Terms of issuance of securities, market interest rate, composition and quality of supporting assets, cash flow of supporting assets
The Fund may still face the credit risk of asset-backed securities
Interest rate risk, liquidity risk, prepayment risk and other risks.
(7) The Fund may invest in tradable restricted securities. Due to the limited circulation securities have a certain lock up period
Limited. During this period, it is impossible to transfer and realize, which may have a certain negative impact on the liquidity of the fund; suffer
The impact of uncontrollable factors in the securities market, and the risk of loss of tradable restricted securities after they become tradable. all
The management fund manager has developed a strict investment decision-making process and risk control system for restricted circulation securities, but
Investors may still face various risks such as liquidity risk, legal risk and operational risk.
(8) The Fund can select the general department according to the needs of investment strategy or the changes of market environment in different allocation places
Sub fund assets are invested in Hong Kong stocks or choose not to invest fund assets in Hong Kong stocks. Fund assets are not necessarily invested
Hong Kong shares. The assets of the Fund are invested in Hong Kong stocks, meeting with the Hong Kong Stock Connect mechanism due to the investment environment, investment target, market
The unique risks brought by differences in market system and trading rules, including the risk of large fluctuations in the stock price of the Hong Kong stock market
(The Hong Kong stock market implements T+0 turnaround trading, and there is no limit on the rise and fall of individual stocks, so the stock price of Hong Kong stocks may perform
The stock price fluctuation is more violent than that of A-share), exchange rate risk (exchange rate fluctuation may affect the investment income of the fund
Loss), possible risks caused by inconsistent trading days under the Hong Kong Stock Connect mechanism (if the market is opened in the Mainland and closed in Hong Kong
Under such circumstances, Hong Kong Stock Connect cannot be traded normally and Hong Kong stocks cannot be sold in time, which may bring some liquidity risk)
Etc.
(9) The investment scope of the Fund includes depositary receipts, except for other shares invested only in Shanghai and Shenzhen markets
In addition to the common risks faced by the Fund, the Fund may also face significant fluctuations in the price of depositary receipts or even
The risk of large losses, as well as the risks related to the issuance mechanism of depositary receipts, including the relationship between holders of depositary receipts and the environment
Risks that may arise from differences in legal status and rights enjoyed by shareholders of external underlying securities issuers;
Risks that may arise from special arrangements made by holders of depositary receipts in terms of dividend distribution and voting rights; Deposit
The risk that the deposit agreement automatically binds the holders of depositary receipts; Price difference of depositary receipts due to listing in multiple places
Volatility risk; Risk of dilution of the rights and interests of holders of depositary receipts; Risk of delisting depositary receipts; Already in China
There may be risks of differences between the issuers of overseas listed underlying securities and domestic issuers in terms of continuous information disclosure supervision;
Other risks that may be caused by differences in domestic and overseas legal systems and regulatory environment.
(10) To hedge credit risk, the Fund may invest in credit derivatives and credit derivatives
It may face liquidity risk, repayment risk and price fluctuation risk.
(11) The Fund can invest in the stock of the science and technology innovation board, and meet with the investors under the mechanism of the science and technology innovation board
Unique risks caused by differences in systems and trading rules, including but not limited to market risk and stock price volatility
Risk, liquidity risk, credit risk, concentration risk, systemic risk, policy risk, delisting risk
Other risks, etc. The Fund may choose to transfer some of its assets according to the needs of its investment strategy or changes in the market environment
Invest in science and technology innovation board stocks or choose not to invest fund assets in science and technology innovation board stocks. Fund assets are not necessarily invested
Invested in the stock of science and technology innovation board.
The risks of investing in science and technology innovation board stocks include:
① Market risk
Individual stocks of science and technology innovation board are mainly from new generation information technology, high-end equipment, new materials, new energy and energy-saving environment
Baoji covers high-tech and strategic emerging industries such as biomedicine. Most enterprises are start-ups
Uncertainty exists in future earnings, cash flow and valuation, which is different from the traditional secondary market investment
The difficulty of investment has increased, and the risk of individual stock market has increased.
A wide range of price limits is set for the competitive trading of stocks on the Science and Technology Innovation Board
There is no price limit for the first five trading days after the market, and the price limit for subsequent trading days is 20%
Compared with other stocks, the market risk increases accordingly.
② Stock price fluctuation risk
The issuing price, scale and rhythm of new shares on the science and technology innovation board adhere to the market-oriented orientation, inquiry, pricing and placement
And other links are dominated by institutional investors. The issuance of new shares on the Science and Technology Innovation Board adopts the price inquiry method, and the price inquiry is in the quadrant
Seven types of professional institutional investors, such as securities companies, can not directly participate in the issue pricing. with
At that time, because the technology innovation board enterprises generally have the characteristics of new technology, uncertain prospects, large fluctuations in performance, and high risks,
There are few comparable companies in the market, and the traditional valuation methods may not be applicable. It is difficult to issue and price
There may be risk of stock price fluctuation after listing.
③ Liquidity risk
The overall investment threshold of the Science and Technology Innovation Board is relatively high, and individual investors must meet the requirements of two years of trading and 50% of the capital
The participation of individual investors in the secondary market is relatively low, and institutions hold a large number of individual shares
The overall liquidity of individual stocks is poor, and the fund portfolio is unable to realize in time and other related liquidity risks.
④ Credit risk
The pilot registration system of the Science and Technology Innovation Board is to implement strict refunding for enterprises with poor operating conditions or fraudulent financial data
There is delisting risk for individual stocks on the science and technology innovation board.
⑤ Concentration risk
The Science and Technology Innovation Board is a newly established sector, and there are few bidders at the initial stage, so investors are likely to concentrate on a small number of individual stocks,
The market may have a high degree of concentration, and the overall concentration risk exists.
⑥ Systematic risk
The enterprises on the science and technology innovation board are all highly recognized scientific and technological innovation enterprises in the market
There is convergence, so the correlation of individual stocks on the science and technology innovation board is high. When the market performance is poor, the systemic risk will be more
Remarkable.
⑦ Policy risk
Changes in the state's support and emphasis on high-tech industries will bring greater benefits to the enterprises on the science and technology innovation board
The changes in the international economic situation will also have policy implications for strategic emerging industries and individual stocks on the science and technology innovation board.
⑧ Delisting risk
The delisting system of the science and technology innovation board is more strict than that of the main board, with shorter delisting time and faster delisting speed; Delisting
Form more, the new market value is lower than the specified standard, and there are major defects in the information disclosure or standardized operation of listed companies
Circumstances leading to delisting; The implementation standard is stricter, and the continuous operation ability is obviously lost, relying only on those unrelated to the main business
Listed companies that maintain income from trade or related transactions without commercial substance may be delisted.
⑨ Other risks
Corporate governance risk. The registration system is adopted for the issuance of shares on the science and technology innovation board. The listing conditions are different from those on the main board
The equity incentive system of board listed companies is more flexible, and there may be different arrangements for voting rights.
Overseas enterprise risk. Red chip enterprises registered overseas can issue shares or depositary receipts on the science and technology innovation board
Listed companies may differ from domestic listed companies in terms of information disclosure, dividend distribution, etc.
Depositary Receipts are particularly risky. Depositary receipts represent the rights and interests of overseas underlying securities, but the holders are different
Direct holding of overseas underlying securities.
(12) The Fund is an initiating fund. The corresponding date three years after the effective date of the Fund Agreement, if the Fund assets
If the net value is less than 200 million yuan, the fund contract will automatically terminate and may not be renewed by convening a general meeting of fund share holders
During the term of the Fund contract, the Fund Unitholders face the risk of compulsory liquidation of the Fund.
If the Fund Contract continues to exist three years after it comes into effect, the fund share holding will occur for 50 consecutive working days
If the number of people is less than 200 or the net asset value of the Fund is less than 50 million yuan, the Fund will
The provisions of the Gold Contract shall enter into the liquidation procedure and be terminated without convening a general meeting of fund share holders for deliberation. investment
People will face the risk of uncertainty that the fund contract may be terminated.
5. Operational risk
In the process of fund operation, operational errors or violations are caused by defects in internal control or human factors
Risks caused by operating procedures, such as unauthorized transactions, fraud of accounting department, transaction errors, IT department
System failure and other risks.
6. The risk return characteristics of the Fund's legal documents may not be consistent with the fund risk assessment of the sales agency
Risk of
The Fund's risk return characteristics or risk profile involved in the Fund's fund contract, prospectus and other legal documents
The statement of the situation is based on the investment scope and proportion, investment strategy, general laws of the securities and futures market, etc
Narrative description. Sales institutions (including fund manager direct sales institutions and sales institutions) shall comply with relevant laws and regulations
And internal rating standards to evaluate the risk of the Fund, and the evaluation elements on which the risk rating results are based may
More and broader, which is not necessarily related to the risk return characteristics or risk status statements in the Fund's legal documents
Consistent or corresponding. At the same time, different sales organizations adopt different specific evaluation standards and methods
Different, the risk rating results of the same fund product may also be different; The sales organization may also
Requirements, market changes and the actual operation of the Fund shall adjust the risk rating of the Fund in a timely manner.
Investors are kindly informed that the risk tolerance and
Match test between product risks, and pay attention to the adjustment of the risk rating of the Fund by the sales agency in a timely manner
In addition, we make investment decisions independently.
7. Other risks
The emergence of war, natural disasters and other force majeure factors will seriously affect the operation of the securities market
Can lead to loss of fund assets. Financial market crisis, industry competition, agency default, etc. exceed fund management
Risks beyond the direct control of the individual may cause damage to the interests of the Fund or Fund Unitholders.
（2） Statement
1. The Fund is not guaranteed by any government, institution or department at any level. Investors voluntarily invest in the Fund,
The investment risk must be borne by oneself.
2. The Fund Manager promises to manage and use the Fund assets in the principle of honesty, credit and diligence, but
There is no guarantee that the Fund will be profitable or have a minimum return. The Fund's past performance and net worth
It does not predict its future performance. The fund manager reminds investors of the principle of "buyer's conceit" in fund investment
After the investment decision is made, the investment risk caused by the change of fund operation status and fund net value is left to the investors themselves
Burden.
18、 Change and Termination of Fund Contract and Liquidation of Fund Assets
（1） Changes to the Fund Contract
1. The change of the fund contract involves the provisions of laws and regulations or the fund contract shall be approved by the fund unit holders
If a resolution is passed at the meeting, a general meeting of fund unit holders shall be convened to pass the resolution. For laws and regulations
The Fund Manager and the Fund
The change shall be announced after the approval of the custodian and reported to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
After the resolution takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
（2） Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants, lawyers who meet the provisions of the Securities Law of the People's Republic of China, and the CSRC
Designated personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund 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 conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period may be extended accordingly.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
（5） Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the legal opinion shall be issued by the law firm and then submitted
The CSRC shall record and announce. The fund assets liquidation announcement shall be submitted to the CSRC in the fund assets liquidation report for filing
The Fund Assets Liquidation Group shall make an announcement within 5 working days after the case. The fund assets liquidation group shall liquidate
The report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper.
（7） Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian not less than
Low deadlines.
19、 Summary of the Fund Contract
1、 Rights and obligations of fund share holders, fund managers and fund custodians
The Fund Manager of the Fund is Taikang Fund Management Co., Ltd., and the Fund Custodian is Shanghai Pudong Development
Bank Co., Ltd.
（1） Rights and obligations of fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract
The gold investor becomes the fund share holder and the fund
The parties to the Contract until they no longer hold the fund shares of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Unless otherwise stipulated by laws and regulations or the fund contract, each fund unit of the same category has the same
And other legal rights and interests. Due to the difference in the net value of fund units between the Class A fund units and Class C fund units of the Fund,
The amount of fund income distribution and the amount of remaining fund property distribution after liquidation may be different
Same as.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) To pay the fund subscription and subscription funds and the fees prescribed by laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Provide the information required by the fund manager and regulatory authority according to law, and update and
Supplement and guarantee its authenticity;
(10) The fund units subscribed by the sponsor shall not be less than 3 years;
(11) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption or conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercising shareholders' rights against the invested company for the benefit of the fund in accordance with laws and regulations, and for the benefit of the fund
To exercise the rights arising from the investment of the Fund's assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(15) Select and replace law firms, accounting firms, securities, futures brokers or others
External institutions providing services by the Fund;
(16) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion and non trading transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the purchase and redemption prices of various fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
And reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, except those required by external professional consultants such as audit and law consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
Relevant materials shall be kept for a period not less than the minimum period stipulated by laws and regulations;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Contract cannot take effect if the Fund fails to meet the filing conditions for the Fund during the raising period,
The Fund Manager shall bear all the raising costs and pay the raised funds in the base together with the interest of the current deposit of the bank for the same period
The fund shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（3） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) In accordance with the relevant market rules, open capital accounts, securities accounts and other investment accounts for the Fund,
Clearing securities trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
To seek benefits for oneself and any third party, it is not allowed to entrust a third party to trust the fund property;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) The fund account, securities account and other accounts required for investment of the fund property shall be opened in accordance with the provisions
As agreed in the Gold Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager;
(7) Keep fund business secrets, unless otherwise specified in the Fund Law, the Fund Contract and other relevant regulations
In addition to the regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others
Except as required by the professional consultant;
(8) Review and review the net asset value of the fund calculated by the fund manager, the net value of various fund units
Purchase and redemption prices of Class II fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract; If
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state whether the Fund Custodian has taken
Appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities not lower than
The minimum period stipulated by laws and regulations;
(12) Receive and keep the register of fund unit holders from the fund manager or its entrusted registration institution;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund share holders or to cooperate with the fund manager and fund share holders to convene a general meeting of fund share holders in accordance with the law;
(16) Supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And the banking regulatory authority, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Liability will not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Unless otherwise stipulated by laws and regulations or the Fund Contract
Unless otherwise agreed, each fund unit held by the fund unit holder shall have equal voting rights.
The National People's Congress of the holders of Fund units of the Fund does not have a daily institution.
（1） Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be convened
Unless otherwise stipulated by laws and regulations, the CSRC or the fund contract:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standard of the Fund Manager and the Fund Custodian or increase the sales service rate;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund shares that individually or collectively hold more than 10% (including 10%) of the total fund shares
The amount holder (calculated based on the fund shares on the day when the fund manager receives the proposal, the same below) writes about the same matter
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
On the premise that there is no material adverse effect, the following circumstances may be modified by the Fund Manager and the Fund Custodian after consultation:,
It is not necessary to convene a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate and sales service rate of the Fund or change the charging method and add new base
Fund share category, adjust the setting or rules of fund share category, and stop the sale of existing fund share category;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules such as conversion, non transaction transfer and custody transfer;
(6) The Fund launches new businesses or services;
(7) Change the performance benchmark in accordance with the Fund Contract;
(8) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
（2） Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
The Fund Manager shall be convened and notified within 60 days from the date of the announcement, and the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
The fund share holders with more than 10% (including 10%) of the fund shares in the table have the right to convene the meeting on their own and at least in advance
30 Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law,
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
（4） Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
Other methods allowed by the institution shall be adopted, and the convening method of the meeting shall be determined by the convener. Fund Manager, Fund Manager
The Fund Custodian shall facilitate the Fund Unitholders to exercise their voting rights.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
1/2 of the total fund units, the convener may hold the fund unit holders' meeting at 3
The General Meeting of Fund Unitholders shall be reconvened within six months after the expiration of six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting refers to the meeting in which the Fund Unitholders vote on voting matters
The form specified in the notice shall be delivered to the address designated by the convener before the deadline for voting. The communication meeting shall be held in the form of meeting
Vote in the form specified in the notice.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) The convener of the meeting shall publish the notice of the meeting in accordance with the Fund Contract, and within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; If I directly give a vote or authorize another person to give a vote on behalf of the fund share holder
If the fund units held are less than half of the total fund units on the equity registration date, the convener may make an announcement in the original
Within 3 months and 6 months after the time of holding the general meeting of fund unit holders of
Convene a new general meeting of fund unit holders. The reconvened general meeting of fund unit holders shall have one-third of the representatives
One or more (including one third) holders of fund units directly issue voting opinions or authorize others to issue voting opinions
Voting opinions;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. With the permission of laws and regulations or regulatory authorities, the notice of the general meeting of fund share holders
It is stated that fund share holders can also choose to vote online, by telephone or other means, or by online
To authorize others to attend the meeting and vote on their behalf by telephone, telephone or other means, the fund share holders shall
Within the time limit specified in the notice of the meeting, the corresponding valid form shall be submitted to the convener of the meeting in the effective manner specified in the notice of the meeting
Vote or power of attorney.
（5） Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the general meeting of shareholders.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine in accordance with the procedures specified in Article (7) below
And announce the scrutineers, and then the presider of the meeting reads out the proposal. After discussion, the proposal is voted and the resolution of the meeting is formed
Discussion. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
In case of presiding over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the fund manager
If neither the authorized representative nor the authorized representative of the Fund Custodian can preside over the meeting, the fund shares attending the meeting shall hold
More than half (including half) of the voting rights held by persons and agents shall elect one fund unit holder
Someone is the chairperson of the general meeting of fund unit holders. The Fund Manager and the Fund Custodian refuse to attend
Or preside over the general meeting of fund unit holders, which shall not affect the validity of the resolutions made at the general meeting of fund unit holders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
（6） Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except as provided in the second item below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Unless otherwise agreed in the fund contract,
Change the operation mode of the Fund, change the Fund Manager or Fund Custodian, terminate the Fund Contract and the Fund
The merger of the fund and other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total number of fund units represented by the fund unit holders who issue voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has any concerns about the voting results submitted
In case of doubt, the number of votes required can be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
（8） Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be submitted to the
Announcement on specified media. If voting is conducted by means of communication, the resolution of the general meeting of fund share holders shall be announced
The full text of the notarial certificate, the notarial institution and the name of the notary must be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
（9） Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund units held by the holder shall not be less than half (including half) of the relevant fund units on the equity registration date
One);
4. The fund units held by the fund unit holders who participate in the voting of the fund unit holders' meeting are small
One half of the relevant fund units on the equity registration date, and the fund unit holders originally announced by the convener
Fund unit holdings reconvened within 6 months and 3 months after the date of the meeting
The National People's Congress shall have holders representing more than one-third (including one-third) of the relevant fund units participate in or grant
To authorize others to vote at the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder as the chairperson of the Fund Unitholder Meeting;
6. General resolutions shall be subject to half of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
During the implementation of the side pocket mechanism, the matters to be considered at the general meeting of fund share holders involve the main pocket account and the side pocket account
The fund share holders of the main pocket account and the side pocket account shall vote respectively
Each fund share in the fund has equal voting rights. If the voting matter does not involve the side pocket account, the side pocket account
No voting rights.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section
The provisions not specified in this section shall apply to the relevant provisions above.
（10） This part deals with the causes, conditions, procedures and tables of the general meeting of fund unit holders
Prerequisites and other provisions, which directly refer to laws, regulations and regulatory rules, such as future laws, regulations
If the modification of the management rules results in the cancellation or change of the relevant contents, the Fund Manager and the Fund Custodian shall reach an agreement and
After the announcement in advance, the contents of this part can be directly modified, adjusted or supplemented without the need to hold a fund share holding
It was deliberated by the General Assembly.
3、 Causes and procedures for the dissolution and termination of the Fund contract and the liquidation method of the Fund assets
（1） Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
The Fund Manager and
The Fund Custodian shall make an announcement of the change upon consent and report it to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
After the resolution takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
（2） Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a liquidation group, and the fund manager shall organize a liquidation group of the fund assets and carry out it under the supervision of the CSRC
Fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants, lawyers who meet the provisions of the Securities Law of the People's Republic of China, and the CSRC
Designated personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund 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 conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period may be extended accordingly.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
（5） Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the legal opinion shall be issued by the law firm and then submitted
The CSRC shall record and announce. The fund assets liquidation announcement shall be submitted to the CSRC in the fund assets liquidation report for filing
The Fund Assets Liquidation Group shall make an announcement within 5 working days after the case. The fund assets liquidation group shall liquidate
The report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper.
（7） Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian not less than
Low deadlines.
4、 Dispute resolution
All parties agree that all disputes arising from or in connection with the Fund Contract
If no settlement can be reached through friendly negotiation, either party has the right to submit the dispute to China's international economy
The Trade Arbitration Commission shall arbitrate in accordance with the then effective arbitration rules of the China International Economic and Trade Arbitration Commission
The place of arbitration is Beijing. The arbitral award is final and binding on all parties. except
Unless otherwise determined by the arbitration award, the arbitration fee shall be borne by the losing party.
During the dispute settlement period, the parties to the fund contract shall abide by their respective duties and continue to be faithful, diligent and responsible
To perform the obligations specified in the Fund Contract and safeguard the legitimate rights and interests of the Fund Unitholders.
The Fund Contract shall be governed by the laws of China (for the purpose of the Fund Contract, excluding the laws of Hong Kong, Macao and Taiwan).
5、 Depository of fund contracts and ways for investors to obtain fund contracts
The Fund Contract can be printed in a volume for investors to register with the Fund Manager, Fund Custodian and Sales Agency
For office and business premises.
20、 Summary of the Fund Custody Agreement
1、 Parties to the Fund Custody Agreement
The Fund Manager of the Fund is Taikang Fund Management Co., Ltd., and the Fund Custodian is Shanghai Pudong Development
Bank Co., Ltd.
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, in accordance with the provisions of relevant laws and regulations and the Fund Contract
The scope and object of investment shall be supervised. Where the Fund Contract clearly stipulates the selection criteria for the investment securities of the Fund,
The Fund Manager shall provide the Fund Custodian with a pool of investment varieties in advance or regularly so that the Fund Custodian can
Supervise whether the actual investment of the fund conforms to the provisions of the fund contract on the securities selection criteria.
The Fund will invest in the following financial instruments:
The investment scope of the Fund is mainly financial instruments with good liquidity, including domestic legal public development
Stocks listed for trading (including the main board, GEM and other stocks allowed by the CSRC to be invested by funds
Depositary Receipts), Hong Kong stocks, stock index futures, treasury bond futures, and bond assets (including treasury bonds
Government bonds, financial bonds, corporate bonds, corporate bonds, publicly issued subordinated bonds, convertible bonds, exchangeable bonds
Bonds, pure bonds of convertible bonds with separate transactions, central bank notes, medium-term notes, short-term corporate bonds of securities companies
Bonds, short-term financing bonds, ultra short-term financing bonds, etc.), asset-backed securities, bond repurchase, bank deposits
Money market instruments, inter-bank certificates of deposit, credit derivatives, laws and regulations or funds allowed to invest by the CSRC
Other financial instruments.
If the Fund Agreement has clearly stipulated the investment style or securities selection criteria of the Fund, the Fund Manager shall
Provide investment varieties in the format required by the Fund Custodian so that the Fund Custodian can use relevant technical systems to
Supervise whether the actual investment of the Fund complies with the provisions of the Fund Contract on securities selection criteria, and
Check the doubtful matters.
The Fund may not invest in investments prohibited by relevant laws, regulations, departmental rules and the Fund Contract
Financial instruments.
2. The Fund Custodian shall invest the following funds in accordance with the provisions of relevant laws and regulations and the Fund Contract
Supervision of financing proportion:
(1) In accordance with the provisions of laws and regulations and the provisions of the Fund Contract, the investment asset allocation ratio of the Fund
For example:
The Fund's investment in stocks accounts for 80% - 95% of the Fund's assets, including those invested in Hong Kong Stock Standard
The proportion of stocks shall not exceed 50% of stock assets, and the proportion of investment in semiconductor industry related stocks shall not be less than non cash
80% of the Fund's assets; At the end of each trading day, after deducting stock index futures contracts and treasury bond futures contracts
After the transaction margin of
5% of the net asset value, of which cash does not include settlement provisions, deposits and purchase receivables. If
If laws and regulations change the investment proportion limit of investment varieties, the fund manager may adjust the
The investment proportion of the above investment varieties.
If the investment portfolio does not meet the above requirements due to factors such as fund size or market changes, the fund manager
The investment portfolio of the Fund shall be adjusted within a reasonable period of time to meet the above proportion limit. Other laws and regulations
The timing shall be subject to its provisions.
If laws and regulations or regulatory authorities later allow the Fund to invest in other varieties
With the consent of the Fund Custodian, it may be included in the investment scope in accordance with the appropriate procedures prescribed by laws, regulations or regulatory authorities
And can adjust the investment scope in a timely and reasonable manner according to the then effective laws and regulations.
(2) In accordance with the provisions of laws and regulations and the provisions of the Fund Contract, the Fund's investment portfolio shall
The following investment restrictions:
1) The Fund's investment in stocks accounts for 80% - 95% of the Fund's assets, including investment in Hong Kong Stock Standard
The proportion of shares in the semiconductor industry shall not exceed 50% of the stock assets, and the proportion of shares invested in the semiconductor industry shall not be less than that of non
80% of cash fund assets;
2) At the end of each trading day, deduct the trading guarantee required to be paid for stock index futures contracts and treasury bond futures contracts
Cash or government bonds with a maturity date of less than one year shall be kept at least 5% of the net asset value of the fund after the fund is paid,
Cash does not include provisions for settlement, deposits and subscription receivables;
3) The Fund holds the market value of securities issued by a company (the same company in China and Hong Kong
The total amount of A+H shares listed at the time) 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
A+H shares listed simultaneously in China and Hong Kong), not more than 10% of the securities;
5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of net asset value;
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
10% of the size of asset-backed securities;
8) Various asset support certificates of all funds managed by the Fund Manager invested in the same original equity holder
Securities shall not exceed 10% of the total size of its various types of asset-backed securities;
9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB). base
During the period when Jin holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All sales shall be made within 3 months from the date of report release;
10) Fund assets participate in share issuance and subscription, and the amount declared by the Fund does not exceed the total capital of the Fund
The number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
11) All open-ended funds managed by the Fund Manager hold tradable shares issued by a listed company
The number of votes shall not exceed 15% of the tradable shares of the listed company; All investment portfolios managed by the Fund Manager
Holding the tradable shares issued by a 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 the net asset value of the Fund
15% of; Other than fund managers due to fluctuations in the securities market, stock suspension of listed companies, changes in fund size, etc
If the fund does not meet the limit of this proportion due to factors of
Investment;
13) The Fund, private securities asset management products and other subjects identified by the CSRC are counterparties
For reverse repurchase transactions, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the fund contract
Consistency;
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 contracts purchased held shall not exceed the fund assets
10% of net worth; At the end of any trading day, the value of treasury bond futures contracts held shall not exceed that of the fund
15% of net asset value;
b) At the end of any trading day, the value of purchased stock index futures and treasury bond futures contracts and securities held
The sum of the market value of securities shall not exceed 95% of the net asset value of the fund. Among them, securities refer to stocks, bonds (not
Including government bonds with a maturity date of less than one year), asset-backed securities, redemptory financial assets for sale (excluding quality
Pledged repo), etc;
c) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed
20% of the total market value of the stock; At the end of any trading day, the value of futures contracts for selling treasury bonds held shall not exceed
30% of the total market value of bonds held by the Fund;
d) The trading amount of stock index futures contracts traded (excluding closing positions) in any trading day shall not exceed
20% of the net asset value of the Fund on the previous trading day; National debt traded in any trading day (excluding closing positions)
The transaction amount of the futures contract shall not exceed 30% of the net asset value of the fund on the previous trading day;
e) Total market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold (netting
It shall comply with the relevant provisions of the fund contract on the proportion of stock investment; Bonds held by the Fund (not
Including the market value of government bonds with a maturity date of less than one year and the value of futures contracts for buying and selling government bonds, total (
(difference calculation) shall comply with the relevant provisions of the fund contract 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
derivative;
17) The nominal principal of credit derivatives held by the Fund shall not exceed the corresponding protected bonds in the Fund
100% of face value;
18) The total principal of various credit derivatives invested by the Fund in the same credit protection seller shall not exceed
10% of the net asset value of the excess fund;
19) The proportion limit of the Fund's investment in depositary receipts shall be subject to the shares listed and traded in China
Consolidated calculation of listed shares;
20) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Due to market fluctuations in securities and futures, mergers of securities issuers, changes in fund size, and other fund managers
If the investment proportion of the Fund is not in line with the investment proportion specified in Items (17) and (18) above due to factors other than
The manager shall make adjustment within 3 months.
In addition to the situations in 2), 9), 12), 13), 17) and 18) above, due to fluctuations in securities and futures markets
The fund investment proportion is inconsistent due to factors other than the fund manager, such as the merger of the securities issuer and the change of the fund size
If the above investment proportion is met, the fund manager shall make adjustment within 10 trading days
Except for special circumstances stipulated by the CSRC. Where laws and regulations provide otherwise, such 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
Whether all public funds under the custody of the custodian meet the above proportion limit. Fund Law and other relevant laws
If the above restrictions are cancelled by laws and regulations or regulatory authorities, the appropriate procedures stipulated by laws and regulations or regulatory authorities shall be followed and
With the consent of the Fund Custodian, the Fund shall not be subject to the above restrictions.
(3) Adjustment period of fund investment proportion allowed by laws and regulations
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Agreement
Start.
If laws, regulations or regulatory authorities make mandatory adjustments to the above investment restrictions and prohibitions
The fund shall be implemented in accordance with laws and regulations or the provisions of the regulatory authorities; Such as modification or adjustment of laws and regulations or regulatory authorities
The above investment restrictions and prohibitions, and such adjustments or modifications are not mandatory, fund management
People have the right to comply with laws, regulations or regulatory authorities
The adjusted or modified regulations shall be implemented, and the obligation of information disclosure shall be performed to investors. If the Fund increases its investment
The varieties and investment restrictions shall be subject to the laws and regulations and the provisions of the CSRC.
The Fund Manager shall work at least 2 times in advance in case of significant changes in the foreseeable asset scale
A letter was officially sent to the Fund Custodian on January 1 to explain the possible change scale of the Fund and the Company's response measures, so as to facilitate the fund custody
The supervisor shall supervise the transaction.
3. The Fund Custodian shall invest the following funds in accordance with the provisions of relevant laws and regulations and the Fund Contract
Supervision of prohibited acts:
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 Fund Manager may not be subject to the above provisions after performing the appropriate procedures prescribed by laws and regulations or the regulatory authorities
System.
4. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the Fund Contract
Investment restrictions are monitored.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of shareholders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Disclosure of regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
The Fund Manager and the Fund Custodian shall first provide each other with a list of related parties and their relationships. Fund manager
Be responsible for ensuring the authenticity, accuracy and integrity of the list of connected transactions, and be responsible for
The updated list will be sent to the Fund Custodian. After the list is changed, the fund manager shall send the fund trust in a timely manner
The new list of connected transactions will come into effect after the custodian is confirmed by the fund custodian. The Fund Custodian only
The list of fund related parties provided by the manager shall be limited for supervision.
5. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the Fund Contract
Participate in supervision of inter-bank bond market.
The Fund Manager shall provide the Fund Custodian with information that complies with laws, regulations and industry requirements
A standard, carefully selected list of inter-bank bond market counterparties applicable to the Fund, and an agreement on
The transaction settlement method applicable to the counterparty. The Fund Custodian shall, according to the inter-bank bonds provided by the Fund Manager
The list of market counterparties shall be monitored. The fund manager can regularly check the names of counterparties in the inter-bank bond market
The list and settlement method shall be updated. Before the new list is determined, it has been conducted with the counterparties eliminated this time but has not been settled
The settled transactions shall still be settled in accordance with the agreement.
The fund manager is responsible for controlling the credit risk of the counterparty, which is caused by the credit risk of the counterparty
The Fund Manager shall be responsible for recovering the losses from the relevant responsible persons. The Fund Custodian shall not be liable for
Liability and loss.
6. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the Fund Contract
Supervise the bank deposit business.
The fund manager shall strengthen the assessment and research on the deposit risk of the fund investment bank, and strictly measure and control
We will establish the risk exposure of investment bank deposits, and establish relevant investment restriction systems for different types of deposit banks. yes
In case of losses due to credit risk events in the deposit bank for the bank deposits invested by the Fund
The Fund Manager is responsible for compensation, and has the right to claim compensation from the relevant responsible person. If the Fund Custodian is operating
In accordance with the provisions of relevant laws and regulations and the agreed supervision process of the Fund Contract
The Bank shall not be liable for any loss caused by its credit risk.
7. Supervision of the Fund Custodian over the Fund's investment in restricted securities
The following refers to "restricted negotiable securities" and the "restricted liquidity assets" referred to in this Agreement and the Fund Contract
The definitions are different. For the definition of restricted liquidity assets, please refer to "Part II Definitions" of the Fund Contract
part.
The fund manager shall, in accordance with the relevant provisions of the CSRC, specify the fund in advance when investing in restricted securities
To invest in the proportion of restricted securities in circulation, formulate strict investment decision-making process and risk control system to prevent liquidity
Various risks such as sexual risk, legal risk and operational risk.
(1) The restricted negotiable securities invested by the Fund shall be non-public shares approved by the CSRC
The tradable securities, such as the offline placement part of the public offering of stocks, which are clearly defined at the time of issuance with a certain period of time, are not included
Including securities temporarily suspended due to the release of major news or other reasons, issued unlisted securities, repurchase
Negotiable restricted securities, such as pledged bonds, etc. 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 submit it
Approved by the Board of Directors. The risk disposal plan shall include but not be limited to the funds that need to be solved due to restricted investment and circulation of securities
Solutions to problems such as unbalanced investment proportion restriction, fund liquidity difficulties and related losses, and
Handling of abnormalities. The Fund Manager shall submit to the Fund Custodian prior to the initial investment in restricted securities
Relevant liquidity risk disposal plan for fund investment in non-public offering shares.
The Fund Manager shall be responsible for the liquidity risk of the Fund's investment in restricted securities and ensure that it is responsible for relevant risks
Take active and effective measures to effectively solve the liquidity problem of fund operation within a reasonable time. Ru Inge
When the cash flow of the fund is difficult due to huge redemption of funds or drastic changes in the market
The manager shall ensure to provide sufficient cash to ensure the payment and settlement of the fund. Securities guidance for the Fund due to restricted investment and circulation
The Fund Custodian shall not bear any responsibility for the liquidity risk caused by the. If the Fund is caused by the Fund Manager
In case of any loss, the Fund Custodian shall not bear any responsibility.
(3) The Fund Manager shall, within two trading days after the Fund invests in the non-public offering of shares
The Regulatory Commission requires the media to disclose the name, quantity, total cost and book value of the non-public offering stocks they invest in, so as to
And the proportion of total cost and book value in the net asset value of the fund, lock up period and other information.
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
Be responsible for the implementation and coordination of relevant work, and ensure that the Fund Custodian can make normal inquiries. In case of restricted circulation
The registration and custody of bonds cannot guarantee the Fund Custodian's normal performance of its asset custody responsibilities
The management responsibility shall be borne by the fund manager.
If the fund manager fails to comply with the relevant system, liquidity risk disposal plan and investment quota and proportion limit
If the Fund Custodian is liable for compensation due to the risk of the Fund, if the Fund Custodian has
If it earnestly performs its supervisory duties, the Fund Manager shall compensate the Fund Custodian for the losses incurred therefrom.
(4) If the Fund invests in non-public shares, the Fund Manager shall at least execute the investment order before
Submit relevant materials to the Fund Custodian in writing within two working days, and guarantee to provide relevant information to the Fund Custodian
The materials are true, accurate and complete. 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:
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 Regulations on the Fund's Investment in Non public Issuance of Stocks and Other Circulating Restricted Securities
The Notice on Issues stipulates that the Fund Manager shall supervise whether it complies with laws and regulations and review the fund management
Relevant written information provided by. Where the Fund Custodian believes that the above information may cause risks to the Fund
Require the Fund Manager to supplement the risk elimination or prevention measures before investing in restricted securities
Written explanation, and reserve the right to check the fund manager's risk management department's
Rights of risk assessment report and other materials. If the Fund Manager does not provide or if the Fund Custodian evaluates and confirms after providing
In order to avoid the risk that cannot be eliminated, the Fund Custodian has the right to refuse to execute the relevant instructions. For refusing to execute the
The Fund Custodian shall not bear any responsibility for the loss of the Fund property caused by the instruction, and shall have the right to report to 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 a timely manner
Will request resolution. 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 fund investment in private placement bonds and medium-term notes of SMEs is limited to
Carry out post supervision on the investment proportion and investment restrictions in accordance with the relevant provisions of this Agreement; No other supervision
Responsibility. In case of any abnormality, the Fund Manager shall be notified in writing in a timely manner. Fund managers should be active
Cooperate and assist the Fund Custodian in supervision and verification. Fund's private placement of bonds and medium-term notes for investment in small and medium-sized enterprises
The Fund Custodian shall not bear any responsibility for the resulting credit risk and liquidity risk. If the fund manager
The Fund Custodian shall not be liable for any loss of the Fund due to any reason.
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 must
In accordance with laws, regulations and regulations of the regulatory authorities, strict regulations on investment in private placement bonds of SMEs
The Fund Manager hereby promises to strictly implement the risk control system and liquidity risk disposal plan for bills
Risk control system and liquidity risk disposal plan.
（2） The Fund Custodian shall, in accordance with the laws and regulations and the provisions of the Fund Contract, strengthen the use of the contralateral pocket mechanism
Review and supervision of specific asset disposal and information disclosure.
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract. E.g. Fund Custodian
If it is assessed that the implementation conditions specified by the regulatory authority and agreed in the fund contract are not met, the fund manager shall not start
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
Net value calculation of gold assets, net value calculation of various fund units, receipt of funds receivable, fund expenses and income
Determination, fund income distribution, relevant information disclosure, and fund performance published in fund promotion materials
Supervise and verify according to the.
（4） The Fund Custodian finds that the investment operation and other operations of the Fund Manager violate the Fund Law
The Fund Manager shall be notified in writing in a timely manner when relevant provisions such as the Fund Contract and the Fund Custody Agreement are in place
Correct within a time limit. The fund manager shall check in time on the next working day after receiving the notice, and report to
The Fund Custodian sends a reply to explain or provide 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 change
Yes. If the Fund Manager fails to correct the violations notified by the Fund Custodian within the time limit, the Fund Custodian
It shall be reported to the CSRC.
2. The Fund Manager shall actively cooperate and assist the Fund Custodian in accordance with laws and regulations, the Fund Contract and
The supervision and verification of the Fund's business under this Custodian Agreement and the written prompts sent to the Fund Custodian must comply with the regulations
Reply to the Fund Custodian and correct within a fixed time, or explain or provide evidence on the Fund Custodian's doubts
The Fund Custodian shall report to the CSRC in accordance with the requirements of laws and regulations, the Fund Contract and this Custodian Agreement
In case of fund supervision report, the Fund Manager shall actively cooperate to provide relevant data and systems.
3. If the Fund Custodian finds that the investment order issued but not executed by the Fund Manager or according to the transaction procedure
The effective investment order violates laws, administrative regulations and other relevant provisions, or violates the Fund Contract
If it is agreed, it shall immediately notify the fund manager and report to the CSRC. The above violations of the Fund Manager
The Fund Manager shall bear the losses caused to the Fund property or the Fund Unitholders by the dishonesty.
4. The monitoring indicators that must be known after the valuation is completed or the transaction has been completed according to the transaction procedures
Investment order: the Fund Custodian finds that the investment order violates laws and regulations or the Fund Contract
It shall immediately notify the fund manager and report to the CSRC. The fund manager's above violations and dishonesty
The Fund Manager shall bear the losses caused to the Fund property or the Fund Unitholders by such acts.
5. If the Fund Custodian finds that the Fund Manager has major violations, it shall immediately report to the CSRC
The Fund Manager shall be notified to make corrections within a time limit. 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.
The Fund Manager refuses or obstructs the Fund Custodian from exercising its supervision right in accordance with the provisions of this Agreement without justified reasons,
Or prevent the Fund Custodian from carrying out effective supervision by means of delay, fraud, etc., if the circumstances are serious or the Fund is under custody
If the Fund Custodian still fails to correct after warning, the Fund Custodian shall report to the CSRC. The above violations of the Fund Manager
The Fund Manager shall bear the losses caused to the Fund property or the Fund Unitholders by the dishonesty.
3、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of the custodian duties of the Fund Custodian, including
But not limited to whether the Fund Custodian has safeguarded the Fund assets and whether it has opened separate fund accounts for the Fund assets
And securities account and other accounts required for investment, whether to review the net asset value of the fund calculated by the fund manager and
Net value of Class II fund units, whether clearing and settlement, relevant information disclosure and
Supervise fund investment and operation.
（2） The Fund Manager discovers that the Fund Custodian misappropriates the Fund assets without authorization and fails to distribute the Fund assets
Account management, failure to execute or delay in executing fund manager's fund transfer instructions without reason, disclosure of fund investment letter
In case of violation of the Fund Law, the Fund Contract, this Custodian Agreement and other relevant provisions, the Fund Manager
The Fund Custodian shall be promptly notified in writing to make corrections within a time limit, and the Fund Custodian shall check in time after receiving the notice
And send a written reply to the Fund Manager. Within the time limit, the Fund Manager has the right to notify
And urge the Fund Custodian to make corrections. The Fund Custodian fails to comply with the regulations notified by the Fund Manager
If it can be corrected within the time limit, the fund manager shall report to the CSRC. The Fund Manager discovers that the Fund Custodian
In case of any major violation, it shall immediately report to the CSRC and the banking regulatory authority, and notify the Fund
The custodian shall 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: submission
Relevant information for the Fund Manager to verify the integrity and authenticity of the custody property, and reply within the specified time
The gold manager shall also make corrections.
（4） The Fund Custodian refuses or obstructs the Fund Manager to exercise in accordance with the provisions of this Agreement without justified reasons
The right of supervision, or the use of delay, fraud and other means to impede the effective supervision of the Fund Manager, if the circumstances are serious or
If the Fund Manager still fails to correct after giving a warning, the Fund Manager shall report to the CSRC.
4、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
2. The Fund Custodian shall 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 or distribute any assets of the Fund (transfer fees and fees withheld by the Fund Custodian on its own initiative
Except for custody fees and other fees deducted according to this Agreement). The Fund Custodian shall not be outside its actual control
Account and property liability.
3. The Fund Custodian shall open capital accounts, securities accounts and investments for the Fund assets under custody in accordance with regulations
Other accounts required.
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody, and
The business and custody business of other funds shall be subject to strict separate account management to ensure the integrity and independence of fund assets.
5. Receivables generated in the process of fund subscription (purchase) and fund investment shall be managed by the fund
The person in charge is responsible for determining the date of receipt with the relevant parties and notifying the fund custodian that the fund property has not arrived on the date of receipt
The Fund Custodian shall timely notify the Fund Manager to take measures to collect the funds. This gives
If the fund causes losses, the fund manager shall be responsible for recovering the losses of the fund from the relevant parties
Necessary assistance and cooperation shall be provided for the fund manager's recovery, but the loss of fund property shall not be borne
Responsibility.
6. The Fund Custodian's deposit or custody arising from the Fund Manager's investment is outside the Fund Custodian
Fund assets of institutions, or fund assets handed over to futures companies or securities companies for clearing and settlement (including but not limited to
Not limited to funds in securities trading capital account, securities fund assets, funds in futures margin account
Futures contracts, etc.) and their earnings, due to the third party other than the parties to this agreement, such institutions or their member units
Party B shall not be liable for the losses caused to the fund assets due to fraud, negligence, negligence or bankruptcy.
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
Gold property.
（2） Verification of raised funds
During the raising period, the sales agency will transfer the subscription funds into the fund management as agreed in the sales and service agency agreement
A special fund subscription account opened by a person in a commercial bank with custody qualification. The account is opened by the fund manager and
Administration. At the expiration of the fund raising period, the total amount of fund units raised, the amount raised, and the holders of fund units
The fund manager shall employ the fund manager who meets the requirements of the Fund Law, the Operation Measures and other relevant provisions
The accounting firm specified in the Securities Law of the People's Republic of China shall verify the capital and issue a capital verification report
The sponsor and its shares shall be specifically stated, and the capital verification report issued by
The signature of more than (including 2) Chinese certified public accountants is valid. Upon completion of capital verification, the Fund Manager shall
All funds collected as assets of the Fund shall be transferred to the special asset custody account opened by the Fund Custodian for the Fund,
And ensure that the capital transferred in is consistent with the capital verification amount. The Fund Custodian shall send a written notice on the day when it receives the effective subscription funds
Confirm the receipt of funds in the form of, and fax the receipt of funds to the fund manager in a timely manner, so that both parties can account
Transaction processing.
If the Fund raising period expires and the conditions for filing of the Fund Contract are not met, the Fund Manager shall
It is required to handle refund matters.
（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
The manager shall handle the receipt and payment of funds according to legal and compliant effective instructions. The Fund Manager shall, in accordance with laws, regulations and fund custody
To provide information required for opening an account and other necessary assistance. Asset custody of the Fund
The seal of the reserved seal of the account shall be engraved, kept and used by the fund custodian.
2. All monetary income and expenditure activities of the Fund shall be conducted through the Fund Custodian or the Fund's asset custody
Household. The opening and use of the Fund's special asset custody account shall be limited to meeting the needs of conducting the Fund's business.
The special asset custody account shall not be used to deposit or withdraw cash or open online banking transfer and other functions. Except for the business needs of the Fund,
The Fund Custodian and the Fund Manager shall not open any other bank account in the name of the Fund; Neither
Use the bank account opened in the name of the Fund for activities other than the business of the Fund.
3. The management of the special asset custody account shall comply with the Administrative Measures for RMB Bank Settlement Accounts, Cash Management
Interim Regulations on Management of RMB Interest Rate, Interim Regulations on Management of Interest Rate, Payment and Settlement Measures
And other relevant provisions of the banking regulatory authority.
（4） Opening and management of fund securities accounts and securities trading capital accounts
1. The Fund Custodian shall jointly name the Fund Custodian and the Fund in China Securities Depository and Clearing Co., Ltd
The responsible company 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. Gikinto
The custodian and the fund manager shall not lend or transfer any securities account of the Fund without the consent of the other party; also
No securities account of the Fund may be used for activities other than the business of the Fund.
3. The fund custodian shall be responsible for the opening of the fund securities account and the safekeeping of the original account opening materials
The fund manager shall be responsible for the management and application of the assets.
4. The Fund Manager shall open a securities trading capital account with a securities brokerage institution for the purpose of fund assets, which shall be used for
Depository of securities trading settlement funds, recording details of changes in trading settlement funds and over-the-counter securities delivery
Easy to liquidate, and establish a third-party custody relationship with the custodian account opened by the fund custodian.
5. The Fund Custodian and the Fund Manager shall not lend or transfer securities accounts or securities trading capital accounts,
It is also prohibited to use the securities account or securities trading capital account for activities other than the business of the Fund. The Fund Connect
Transactions conducted through securities brokerage institutions shall be settled by the securities brokerage institutions as clearing participants on behalf of the Fund
Calculate.
6. The Fund Manager promises that the securities trading capital account will be the main capital account and no auxiliary capital account will be opened
Household; Do not open another bank account other than the bank custody account for the securities trading capital 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 is responsible for
Apply in the name of Jin and obtain the trading qualification to enter the national inter-bank lending market, and conduct transactions on behalf of the Fund
Transaction; The Fund Custodian shall, in accordance with the provisions of the People's Bank of China, the Central Government Securities Depository and Clearing Co., Ltd. and the inter-bank
The relevant provisions of the Market Clearing House Co., Ltd. shall be registered and settled in the name of the Fund in the central government bonds
Limited liability companies and inter-bank market clearing houses Co., Ltd. open bond custody accounts and fund settlement accounts
And carry out settlement of bond transactions in the inter-bank market on behalf of the Fund. The Fund Custodian assists the Fund Manager in completing
The inter-bank bond market access record.
（6） Opening and management of other accounts
1. Other accounts that need to be opened due to business development can be opened in accordance with the Fund Contract or relevant laws and regulations
The Fund Custodian shall be responsible for the issuance of funds
stand. The new account shall be used and managed according to relevant rules.
2. If laws, regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail
Li.
（7） Opening and management of fund investment bank deposit account
1. The Fund Manager and the Fund Custodian shall, in accordance with relevant regulations
The fund investment bank deposit business shall sign a written agreement.
2. The fixed deposit of the fund investment bank shall be signed by the fund manager and the head office of the deposit bank or its authorized branch
Conclude an overall cooperation 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 documents
The reserved seal and the official seal of the fund manager shall be affixed.
4. When the Fund invests in bank deposits, the Fund Manager shall sign a specific deposit agreement with the deposit bank,
Specify the deposit type, term, interest rate, amount, account number, reconciliation method, withdrawal method, account management, etc
detailed rules and regulations.
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 deposit invested by the Fund, the Fund Manager and the Fund Custodian shall work with the deposit bank
Establish a regular reconciliation mechanism to ensure the authenticity and accuracy of 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; his
Physical securities in China can also be deposited in China Government Securities Depository and Clearing Co., Ltd. and China Securities Depository and Clearing Co., Ltd
Shanghai Branch/Shenzhen Branch, Interbank Market Clearing House Co., Ltd. or bill business
The depository of the heart. The purchase and transfer of physical securities shall be handled by the Fund Custodian according to the instructions of the Fund Manager
Li. Damage to physical securities under the effective control of the Fund Custodian during the custody of the Fund Custodian
The Fund Custodian shall be liable for the loss. Fund Custodian to institutions other than Fund Custodian
The property corresponding to physical securities and bank time deposit certificates that are actually effectively controlled or kept shall not bear the custody responsibility.
（9） Custody of major contracts related to fund assets
The originals of the major contracts related to the Fund signed by the Fund Manager on behalf of the Fund shall be
Custodian and Fund Manager. Unless otherwise specified in this Agreement, the Fund Manager shall sign a contract with
For major contracts related to the Fund, it shall be ensured that one party of the Fund holds more than two originals so that the Fund Manager and
The Fund Custodian shall each hold at least one original. The Fund Manager shall, within 5 working days after signing the contract
The original contract shall be delivered to the Fund Custodian by personal delivery, registered mail and other safe ways. The original contract shall
Deposited in the respective document custody departments of the Fund Manager and the Fund Custodian for a period of no less than laws and regulations
The minimum fixed number of years. If the Fund Manager fails to deliver the relevant contract to the Fund Custodian, the Fund Custodian shall
The contract does not bear the responsibility of storage.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with the original contract
The fax or photocopy of the contract with the official seal of the fund manager, which is consistent after verification, is not agreed by both parties through consultation,
The original contract shall not be transferred.
5、 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 assets of the Fund minus the liabilities of the Fund. Various funds
The net amount is the net value of the fund assets of such fund units divided by that of such fund on that day after the market is closed on each working day
The balance quantity of gold shares is calculated. It is accurate to 0.0001 yuan, and the fifth digit after the decimal point is rounded off
The resulting errors are included in the fund assets. The fund manager can set up an emergency adjustment of net value accuracy in the case of large redemption
Integration mechanism. If the state has other provisions, such provisions shall prevail.
（2） According to relevant laws and regulations, the obligation of the Fund to calculate the net asset value of the Fund and the Fund's accounting is determined by the Fund
Undertaken by the Manager. The fund manager is the fund accounting responsible party of the Fund. Therefore, the Fund has
If the relevant parties cannot reach an agreement on accounting issues after full discussion on an equal basis,
The fund manager shall publish the calculation results of the fund net value information to the public. The Fund Manager shall
Valuation of fund assets on the working day. However, when the Fund Manager suspends valuation in accordance with laws and regulations or the provisions of the Fund Agreement
except. The valuation principles should comply with the Fund Contract, the Securities Investment Fund Accounting Business Guidelines and others
Provisions of laws and regulations. The Fund Manager calculates the various fund units of the day after the end of trading on each working day
The net value and the net value of the fund assets shall be sent to the fund custodian in a manner agreed by both parties. Net value of fund custodian
The calculation results shall be reviewed and sent to the fund manager in a way agreed by both parties, and the fund manager shall be responsible for external affairs as agreed
publish.
（3） According to the Fund Law, the Fund Manager calculates and publishes the net value of the Fund, and the Fund Custodian
Review and review the net fund value information calculated by the fund manager. The accounting responsible party of the Fund is the Fund Manager,
With regard to accounting issues related to the Fund, if the relevant parties fully discuss them on an equal basis, they still cannot reach
In accordance with the fund manager's calculation results of the fund net value information, the fund manager shall publish the consistent opinions.
If laws, regulations and regulatory authorities have mandatory provisions, such provisions shall prevail. If there are any new items, please refer to the national
New regulation valuation.
6、 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
The termination date of the gold contract, the registration date of the rights and interests of the general meeting of fund share holders, June 30 and December 31 of each year
List of Fund Unitholders on. The contents of the register of fund unit holders must include fund unit holders
The name of and the fund units held by.
The register of fund unit holders shall be prepared by the fund registration authority of the fund in accordance with the instructions of the fund manager
The Fund Manager shall keep the register of Fund Unitholders in accordance with the current relevant rules. The storage mode is OK
In the form of electronic or document. 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 as of January 31 shall be sent to the fund custodian, and the documents may be electronic or in the form of documents
And ensure its authenticity, accuracy and integrity. The Fund Custodian shall keep it properly and shall not register the holders
For other purposes than fund custody business.
7、 Dispute resolution
This Agreement is governed by the laws of the People's Republic of China (for the purpose of this Agreement, Hong Kong, China
Laws of Macao Special Administrative Region and Taiwan), and shall be interpreted accordingly.
Both parties agree that all disputes arising out of or in connection with this agreement, except for those that are amicable
If the dispute can be settled through negotiation, it shall be submitted to China International Economic and Trade Arbitration Commission
The arbitration shall be conducted according to the arbitration rules. The place of arbitration shall be Beijing. The arbitration award shall be final and binding on both parties
Binding. Unless otherwise determined by the arbitration award, the arbitration fee shall be borne by the losing party.
During the dispute settlement period, both parties shall strictly abide by the responsibilities of the Fund Manager and the Fund Custodian, continue to be faithful
Fulfill the obligations specified in the Fund Contract and this Custodian Agreement diligently and responsibly, and maintain the Fund Unitholders
The legal rights and interests of.
8、 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. Trusteeship after change
The contents of the agreement shall not conflict with the provisions of the Fund Contract, and shall be subject to the approval of the Fund Manager, the Fund
The custodian shall affix its official seal or special seal for contract and the legal representatives or authorized agents of both parties shall sign (or seal)
Confirm. Changes to the Fund Custody Agreement shall be reported to the CSRC for filing.
（2） Termination of 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.
21、 Services for Fund Unitholders
The Fund Manager promises to provide a series of services to fund share holders and will hold
Some people's needs and market changes, increase or change service items. The main services are as follows:
（1） Billing services
1. The fund manager's website and hotline provide account self-service inquiry service.
2. The Fund Manager provides paper, e-mail, SMS statement and other services, and the Fund Unitholders
You can call the customer service hotline 4001895522 (toll free), 010-52160966, or
The online customer service of the gold manager customizes the bill service.
3. Note: The mailing address, mobile phone number and e-mail address provided by the fund share holder are unknown
Or due to post office delivery error, communication failure, delay and other reasons, the statement cannot be delivered accurately on time. Please
Timely go to the original fund sales outlets or call the fund manager customer service center to handle relevant information changes. If reissue is required
Please call the customer service hotline for the statement.
（2） SMS service
The Fund Manager provides SMS services to fund share holders who have customized SMS, including: net fund share
Value, transaction confirmation, statement, etc. Fund share holders can call customer service numbers
4001895522 (toll free), 010-52160966, or customized via the fund manager's online customer service
Letter service.
（3） Online services
Through the fund manager website (www.tkfunds. com. cn), fund share holders can also obtain the following
Services:
1. Query service
Fund share holders can query fund transactions and account information through the fund manager's website
And fund information inquiry.
2. Information service
Investors can use the fund manager's website to obtain all kinds of information about funds and fund managers, including
King's legal documents, performance reports, fund managers' latest developments and other information.
（4） Electronic trading service
Fund share holders can use the fund manager's electronic self-service trading system (7 * 24-hour service)
Dealing with fund trading business, including fund subscription, subscription, redemption, fixed investment, conversion, cancellation
Change of dividend method and inquiry. Electronic trading mode includes:
1. Online transaction
Individual investors can use bank cards of multiple banks to handle fund payment through online trading system
Easy business. website: https://newtrade.tkfunds.com.cn/ 。
2. Fund manager mobile client transaction
With simple operation and flexible application, investors can handle business via mobile phone client anytime and anywhere. Downloader
Type: investors can download it from the official website of the fund manager, or through the App Store, 91 Assistant, An
Search and download Zhuowan and other application markets.
3. WeChat official account of fund manager
Individual investors can use multiple banks after binding the fund account through the fund manager's WeChat public account
Bank card self-service fund transaction business. WeChat: tkfunds.
（5） Consulting services
1. Call Center
If investors or fund share holders want to know about the transaction of subscription and redemption, fund account balance
For information about fund products and services, you can call the fund manager's national unified customer service hotline: 4001895522 (free
Long distance call fee), 010-52160966, fax: 010-89620100.
2. Online customer service
Investors or fund share holders can click "Online Customer Service" on the fund manager's website and operate according to the prompts
Enter the keywords of the questions to be asked, and then you can search and answer the relevant questions on your own; Or click "Transfer to
Manual customer service "obtains special manual services such as service customization/cancellation, account inquiry, etc.
The manual service time of online customer service is 9:00-18:00 from Monday to Friday, except for legal holidays.
3. Website and E-mail
Website: www.tkfunds.com.cn
E-mail: service@tkfunds.cn
（6） If there is any content in this prospectus that you/your organization cannot understand, please use the above page
Contact the fund manager through. Please ensure that you/your organization has fully understood this recruitment instruction before investing
Books.
22、 Other matters to be disclosed
Other matters to be disclosed by the Fund will be strictly in accordance with the Fund Law, the Operation Measures, the Sales Measures
The content and format specified in the Information Disclosure Measures and other relevant laws and regulations shall be disclosed and announced.
23、 How to store and view the prospectus
The Prospectus shall be kept at the residence of the Fund Manager, the Fund Custodian and the Fund Sales Agency respectively
The investor can check and copy during office hours; After paying the cost of production, investors can obtain
A copy or photocopy of the document. For the documents and their copies obtained by investors in this way, the Fund shall
The manager guarantees that the content of the text is completely consistent with the announced content.
Investors can also directly log on to the fund manager's website (www.tkfunds. com. cn) to check and download
Include the prospectus.
24、 Documents for future reference
（1） The documents for future reference of the Fund include the following documents:
1. The document of the CSRC approving the registration of the fund offering.
2. "Taikang Semiconductor Quantitative Stock Selection Stock Sponsored Securities Investment Fund Fund Contract".
3. Custody Agreement of Taikang Semiconductor Quantitative Stock Selection Stock Sponsored Securities Investment Fund.
4. Legal opinion.
5. Business qualification approval document and business license of the fund manager.
6. The approval document and business license for the business qualification of the fund custodian.
7. Other documents required by the CSRC.
（2） Storage location of documents for future reference and ways for investors to consult
1. Deposit location: Deposit location: The fund contract and custody agreement are deposited in the fund manager and fund trust
Personnel Management Department; The Fund Custodian's business qualification approval document and business license shall be deposited with the Fund Custodian; Other documents for reference
The documents shall be deposited with the fund manager.
2. Query method: investors can check at the storage location free of charge during business hours, or purchase at the cost of production
Buy copies.
Taikang Fund Management Co., Ltd
April 9, 2024