China Securities Investment Fund Management Co., Ltd
CSCI quantitative stock selection equity securities investment fund
Fund contract
Fund Manager: CSCI Fund Management Co., Ltd
Fund Custodian: Guojin Securities Co., Ltd
April, 2014
Fund contract of CSCI quantitative stock selection equity securities investment fund
catalog
Part I Foreword one
Part II Definition three
Part III Basic Information of the Fund nine
Part IV Sale of Fund Units eleven
Part V Fund Filing thirteen
Part VI Subscription and Redemption of Fund Units fourteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-three
Part VIII General Meeting of Fund Unitholders thirty-one
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian forty
Part X Custody of the Fund forty-three
Part XI Registration of Fund Units forty-four
Part XII Investment of the Fund forty-six
Part XIII Assets of the Fund fifty-five
Part XIV Valuation of Fund Assets fifty-six
Part XV Fund Fees and Taxes sixty-four
Part XVI Income and Distribution of the Fund sixty-seven
Part XVII Accounting and Audit of the Fund sixty-nine
Part XVIII Information Disclosure of the Fund seventy
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-eight
Part XX Liability for Breach of Contract eighty
Part XXI Dispute Settlement and Applicable Law eighty-one
Part XXII Effectiveness of the Fund Contract eighty-two
Part XXIII Other Matters eighty-three
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Civil Code of the People's Republic of China (hereinafter referred to as "the Civil Code of the People's Republic of China")
Law of the People's Republic of China on Securities Investment Funds (hereinafter referred to as "the Fund")
Law of the People's Republic of China on Public Offering of Securities Investment Funds (hereinafter referred to as the "Operation Office")
Law of the People's Republic of China on Public Offering of Securities Investment Fund Sales Institutions
"Sales Measures"), "Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds"
Known as "Information Disclosure Measures"), "Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds"
Provisions (hereinafter referred to as "Liquidity Risk Management Provisions") and other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract,
Any other documents or statements related to the Fund involving the rights and obligations between the parties to the Fund Contract,
In case of any conflict with the fund contract, the fund contract shall prevail. The parties to the fund contract shall, in accordance with the Fund Law
The Fund Contract and other relevant provisions provide for rights and obligations.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. fund
The investor becomes the fund share holder and the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of the parties holding fund shares itself indicates their recognition and acceptance of the fund contract.
3、 The quantitative stock selection equity securities investment fund of CSCI is managed by the fund manager in accordance with the Fund
Law of the People's Republic of China, the Fund Agreement and other relevant regulations, and the China Securities Regulatory Commission (hereinafter referred to as the CSRC)
Referred to as "China Securities Regulatory Commission").
The registration of the Fund raised by the CSRC does not indicate the value and income of the Fund
Substantive judgment or assurance does not mean that there is no risk in investing in the Fund. The CSRC does not agree with the fund
Make substantive judgment or guarantee on the investment value and market prospect.
The Fund Manager shall manage and use the Fund Assets in accordance with the principles of due diligence, honesty, prudence and diligence
However, it does not guarantee that the investment in the Fund will be profitable, nor does it guarantee the minimum return.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Investors should carefully read the fund contract, fund prospectus, fund product information summary and other letters
Information disclosure documents, independently judge the investment value of the fund, independently make investment decisions, and independently bear the investment risk
Insurance.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract,
Its content involves defining the rights and obligations between the parties to the fund contract. If there is a conflict with the fund contract,
The fund contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of the laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to the quantitative stock selection equity securities investment fund of CSC
2. Fund Manager: China Securities Investment Fund Management Co., Ltd
3. Fund Custodian: Guojin Securities Co., Ltd
4. Fund contract or this fund contract: refers to the quantitative stock selection equity securities investment fund of CSC
Gold Contract and any effective amendments and supplements to the Fund Contract
5. Custody Agreement: refers to the "CSCI Quantification Agreement" signed between the Fund Manager and the Fund Custodian for the Fund
Securities Investment Fund Custody Agreement for Stock Selection and any effective amendments and supplements to the Custody Agreement
6. Prospectus: refers to the Prospectus of CSC Quantitative Stock Selection Stock Securities Investment Fund
And its updates
7. Summary of fund product information: refers to the Fund Assets of China Securities Investment Quantitative Stock Selection Equity Securities Investment Fund
Product Data Summary and its updates
8. Announcement on the sale of fund shares: refers to the fund shares of China Securities Investment Quantitative Stock Selection Stock Securities Investment Fund
Announcement of Volume Sale
9. Laws and regulations: refer to the laws, administrative regulations and normative documents currently in force and promulgated for implementation in China
Documents, judicial interpretations, administrative rules and other decisions, resolutions
Notice, etc
10. "Fund Law": refers to the report issued by the Standing Committee of the Tenth National People's Congress on October 28, 2003
Adopted at the fifth session of the National People's Congress and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting of the membership committee, implemented since June 1, 2013, and approved by the
The Standing Committee of the National People's Congress
Decision of the Commission on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law of the Republic of China and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the China Securities Regulatory Commission on August 28, 2020 and October 1 of the same year
The Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies implemented and the promulgating authority issued to them from time to time
Amendments made
Fund contract of CSCI quantitative stock selection equity securities investment fund
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019 and in September of the same year
Implemented on March 1, 2020, and approved by the CSRC on March 20, 2020
The Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds as amended by the Decision of
Amendments from time to time
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Administrative 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
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1, 2006
As amended from time to time by the promulgating 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 responsibilities under the Fund Contract
Legal subjects of obligations, including fund managers, fund custodians and fund share holders
18. Individual investor: refers to the natural investors who can invest in securities investment funds according to relevant laws and regulations
people
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 persons, public institutions legal persons
Social groups or other organizations
20. QFII: refers to qualified foreign institutional investors and RMB QFII
The Measures for the Administration of Domestic Securities and Futures Investment of Investors and relevant laws and regulations stipulate the use of overseas capital
Foreign institutional investors who invest in domestic securities and futures, including qualified foreign institutional investors and people
RMB Qualified Foreign Institutional Investor
21. Investors, investors: individual investors, institutional investors, qualified foreign investors and
Other investors allowed by laws and regulations or the CSRC to purchase securities investment funds
22. Fund share holder: refers to the investment that legally obtains fund shares in accordance with the fund contract and prospectus
Funders
23. Fund sales business: refers to the promotion of funds by fund managers or sales agencies, and the sale of funds
Amount, handling such businesses as subscription, redemption, conversion, transfer to custody and fixed investment of fund units
Fund contract of CSCI quantitative stock selection equity securities investment fund
24. Sales agency: refers to China Securities Investment Fund Management Co., Ltd., and conforms to the Sales Measures and
Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund agreement with the fund manager
Sales service agreement, the institution handling fund sales business
25. Registration business: refers to fund registration, depository, transfer, clearing and settlement business. The specific content includes
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf, establishing and keeping the register of fund share holders and handling non trading transfer, etc
26. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is CSCF
Management Co., Ltd. or institution entrusted by CSCF Management Co., Ltd. to handle registration business
27. Fund account: refers to the fund manager opened by the registration institution for the investor, who records his/her holdings
Account for the balance and changes of fund units under management
28. Fund transaction account: refers to the account opened by the sales agency for the investor and recorded by the investor through the sale
Basis arising from the agency's handling of subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in gold shares and balances
29. The effective date of the fund contract: the fund raising meets the provisions of laws and regulations and the provisions of the fund contract
The fund manager has completed the fund filing procedures with the CSRC and obtained the written form from the CSRC
Confirmed date
30. The termination date of the fund contract: refers to the date when the fund contract terminates as specified in the fund contract
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of property liquidation
31. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering
No longer 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: means that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
Open Day of
35. T+n day: refers to the nth working day from T day (excluding T day)
36. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
37. Opening Hours: refers to the time period during which the fund accepts subscription, redemption or other transactions on the open day
Fund contract of CSCI quantitative stock selection equity securities investment fund
38. Business Rules: refers to the Open ended Fund Business Rules of China Securities Investment Fund Management Co., Ltd
Rules are the business rules regulating the registration of open-ended securities investment funds managed by fund managers,
To be jointly observed by the fund manager and investors
39. Subscription: during the fund raising period, investors shall, in accordance with the provisions of the fund contract and prospectus
Application for purchase of fund units
40. Subscription: refers to that after the fund contract comes into effect, the investor shall, in accordance with the provisions of the fund contract and the prospectus
Application for purchase of fund units
41. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall, in accordance with the Fund Contract and the Prospectus
The act of converting fund units into cash as required by the specified conditions
42. Fund conversion: means that the Fund Unitholders shall be valid at that time in accordance with the Fund Agreement and the Fund Manager
The conditions specified in the announcement apply for the conversion of the fund units of a fund managed by the fund manager
Behavior of other fund units managed for the fund manager
43. Custody transfer: refers to the change implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of fund unit sales agency
44. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency and the agreement on each period
The subscription date, amount of subscription and deduction method shall be paid by the sales agency at the designated capital of the investor on the agreed subscription date of each period
An investment method for automatically completing deduction and accepting fund purchase application in the gold account
45. Massive redemption: refers to the net redemption application of the Fund on a single open day (total redemption application units
After adding the total number of transferred out application units in fund conversion, deduct the total number of subscription application units and fund conversion transfer
The balance after entering the total number of applied shares) exceeds 10% of the total fund shares on the previous opening day
46. RMB: refers to RMB
47. Fund income: refers to the dividend, dividend, bond interest, price difference of securities
Interest on bank deposits, other legal income realized and costs and expenses arising from the use of fund assets
save
48. Total value of fund assets: refers to all kinds of securities owned by the fund, principal and interest of bank deposits
Total value of purchase money 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
Fund contract of CSCI quantitative stock selection equity securities investment fund
51. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine the fund assets
The process of net value and fund unit net value
52. Type of fund units: refers to the fund's payers according to the subscription fee, subscription fee and sales service fee
Different types of fund shares
53. Class A fund unit: refers to the collection of subscription and purchase fees when investors subscribe and purchase, but not the collection of subscription and purchase fees
Take the sales service fee, and collect the redemption fee according to the holding period at the time of redemption
54. Class C fund units: refers to the withdrawal of sales service fees from the fund assets of this category without receiving recognition
Purchase and subscription fees, the fund units for which redemption fees are charged according to the holding period at the time of redemption
55. Regulated media: It refers to the nationwide information disclosure that meets the conditions specified by the CSRC
Newspapers and periodicals and Internet websites specified in the Information Disclosure Measures (including fund manager websites and fund custody
People's website, CSRC fund electronic disclosure website) and other media
56. Sales service fee: It refers to the amount withdrawn from the fund property and used for the marketing, sales and
And service fees for fund share holders
57. Swing pricing mechanism: when open-end funds are subject to large purchase and redemption
In the form of net share value, the market shock cost of the fund's adjusted portfolio is allocated to the actual purchase and redemption
So as to reduce the adverse impact on the interests of stock fund share holders and ensure the cooperation of investors
Legal rights and interests are not damaged and treated fairly
58. Liquidity restricted assets: none due to laws and regulations, supervision, contracts or operational barriers
Assets that can be realized at a reasonable price, including but not limited to reversals with maturity of more than 10 trading days
Purchase of fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares
Restricted new shares, non-public issuance of shares, asset-backed securities, and failure to proceed due to the issuer's debt default
Transferred or traded bonds, etc
59. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of settlement of accounts is to effectively isolate and defuse risks and ensure that investors receive fair treatment
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account,
Special account is called side pocket account
60. Specific assets: including: (I) There is no active market price for reference and the valuation technology is still adopted
Assets that cause significant uncertainty in fair value; （2） Assets measured at amortized cost and withdrawn less
Fund contract of CSCI quantitative stock selection equity securities investment fund
Assets whose value reserves still lead to significant uncertainty of asset value; （3） The value of other assets is heavy
Assets with great uncertainty
61. Force majeure: refers to the unforeseeable, unavoidable and insurmountable clients of the Fund contract
Observe events
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part III Basic Information of the Fund
1、 Fund name
CSCI quantitative stock selection equity securities investment fund
2、 Category of fund
Equity Securities Investment Fund
3、 Operation mode of the fund
Contractual and open
4、 Investment objectives of the Fund
The Fund selects individual stocks through quantitative methods, and strictly controls risks and maintains good liquidity
Under the premise, pursue the return on investment that exceeds the performance benchmark.
5、 Total minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million.
6、 Selling face value and subscription fees of fund units
The selling face value of the Fund units is RMB 1.00.
Subscription fees are charged for Class A fund units of the Fund, and the specific subscription rate is subject to the prospectus and fund assets
Implement the provisions of the product data summary. There is no subscription fee for Class C fund units of the Fund.
7、 Duration of the Fund
Irregular.
8、 Type of Fund Units
According to the different collection methods of subscription fees, subscription fees and sales service fees, the Fund will
It is divided into different categories. Including:
Fund contract of CSCI quantitative stock selection equity securities investment fund
1. When investors subscribe and subscribe, they charge subscription and subscription fees instead of sales service fees
The fund units for which redemption fees are charged according to the holding period are called Class A fund units.
2. Withdraw sales service fees from the fund assets of this category without charging subscription and purchase fees
The fund units for which redemption fees are charged according to the holding period are called Class C fund units.
The codes of Class A fund units and Class C fund units of the Fund are set respectively. Due to the lack of fund fees
Similarly, the net value of fund units will be calculated for the Class A fund units and Class C fund units of the Fund respectively, and the calculation formula
It is the net asset value of each class of fund on the calculation date divided by the total number of units of the class of fund sold on the calculation date.
Investors may choose to subscribe or subscribe for fund units by themselves. According to the operation of the fund, the fund management
The Manager may, without prejudice to the rights and interests of the existing Fund Unitholders, negotiate with the Fund Custodian
To, after performing appropriate procedures, stop the sale of existing fund share categories and adjust the existing fund share categories
The subscription rate, sales service fee or redemption rate is lowered or the charging method is changed, and new fund shares are added
Before the implementation of the adjustment, the Fund Manager shall make a timely announcement in accordance with the provisions of the Information Disclosure Measures.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period of time from the date of sale of fund units shall not exceed 3 months. See the specific time of sale of fund units
Sales announcement.
2. Way of sale
Public offering through the fund sales outlets of each sales agency. See the fund for the specific list of each sales agency
Unit Offering Announcement. The Fund Manager may change or increase or decrease the sales institutions as the case may be, and the Fund Manager may also change or increase or decrease the sales institutions on the Fund Manager's website
Station publicity.
The acceptance of the subscription application by the sales agency does not necessarily mean that the application is successful, but only represents the sales agency
The subscription application was indeed received. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application
And the confirmation of the subscribed shares, investors should timely inquire.
3. Target
Individual investors, institutional investors
Qualified foreign investors and other investments permitted by laws and regulations or the CSRC to purchase securities investment funds
People.
2、 Subscription of Fund Units
1. Subscription fee
The subscription rate for Class A fund units of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and
Listed in the gold product data summary. The fund subscription fee shall not be included in the fund property.
There is no subscription fee for Class C fund units of the Fund.
2. 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 interest transfer share shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
The specific calculation method of fund subscription units is listed in the prospectus.
4. Handling method of subscribed share balance
Fund contract of CSCI quantitative stock selection equity securities investment fund
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.
3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. If the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds the total number of fund units
50%, the fund manager may limit the subscription application of the investor by means of proportion confirmation. base
The acceptance of a certain subscription application or some subscription applications by the fund manager may lead investors to evade the above 50% ratio in disguised form
If required, the Fund Manager has the right to reject all or part of such subscription applications. Funds subscribed by investors
The number of shares shall be subject to the confirmation of the registration authority after the fund contract takes effect.
5. Investors may subscribe for fund units for many times during the offering period, but the accepted subscription application may not be withdrawn
Pin. The subscription fee for Class A fund units shall be calculated separately according to each subscription application for Class A fund units.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part V Fund Filing
1、 Conditions for Fund Filing
The total amount of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units
The fund raised amount shall not be less than RMB 200 million and the number of fund subscribers shall not be less than 200
The fund raising period expires or the fund manager may decide to suspend the fund in accordance with laws, regulations and the prospectus
The fund will be sold, and a legal capital verification agency will be hired to verify the capital within 10 days, and 10 days from the date of receiving the capital verification report
And go through the fund filing procedures with the CSRC.
If the fund raising meets the conditions for fund filing, the fund manager shall take
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not be born
Effectiveness. The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC
To be announced. The fund manager shall deposit the funds raised during the fund raising period into a special account and raise funds in the fund
No one can use it before the end of the act.
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
Ren:
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 in the same period;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All fees paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Undertake.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract takes effect, the number of fund share holders is less than 200 for 20 consecutive working days
If the net asset value of the fund or the fund is less than 50 million yuan, the fund manager shall report it in the regular report
disclosure; The Fund Manager shall terminate the Fund Contract if the above circumstances occur for 50 consecutive working days,
Liquidation shall be carried out in accordance with the agreed procedures in the Fund Contract, without the need to convene a general meeting of fund share holders.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part VI 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
People are listed in the prospectus or other relevant announcements. The Fund Manager may change, increase or decrease as the case may be
The selling institution shall be publicized on the website of the fund manager. The fund investor shall handle the fund sales business in the sales institution
The subscription and redemption of fund units shall be handled at the business premises of the sales agency or in other ways provided by the sales agency.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription and redemption of fund units on the open day, and the specific handling time is Shanghai Securities Exchange
Trading hours on normal trading days of the Exchange and Shenzhen Stock Exchange, but the Fund Manager shall, in accordance with laws and regulations
Except for the announcement of suspension of subscription and redemption as required by the CSRC or the Fund Contract.
After the Fund Contract comes into effect, if there is a new securities trading market, a change in the trading time of the stock exchange, or
In other special circumstances, the Fund Manager will adjust the aforesaid opening days and hours accordingly
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 shall handle the subscription within 3 months from the effective date of the Fund Agreement
The processing time 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 handling 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 redemption on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
The Fund Manager may not apply for Fund units on a date or time other than that specified in the Fund Contract
Purchase, redemption or conversion. The investor puts forward the subscription and redemption on a date and time other than that specified in the fund contract
Or if the application for conversion is confirmed and accepted by the registration authority, the subscription and redemption prices of the fund units shall be the next open day
The purchase and redemption price of such fund units.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices of such funds are calculated after the closing of the application day
Calculate on the basis of net share value;
Fund contract of CSCI quantitative stock selection equity securities investment fund
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, but the application
Those confirmed by the registration authority shall not be revoked;
4. Redemption follows the principle of "first in, first out", that is, it is carried out according to the order of subscription and application of investors
Sequential 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 management
Before the implementation of the new rules, people must publish on the specified media in accordance with the relevant provisions of the Information Disclosure Measures
Notice.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must, in accordance with the procedures stipulated by the sales agency, withdraw within the specific business handling time on the opening day
Apply 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, and the investor must pay the subscription amount,
Subscription establishment; 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; Redemption confirmed by fund share registration authority
Redemption takes effect when. After the investor's redemption application takes effect, the fund manager will
Redemption funds shall be paid within. In case of major redemption or suspension of redemption or deferred payment of redemption specified in the Fund Contract
In case of repayment, the payment method shall refer to the relevant provisions of the Fund Contract. In case of exchange or
Transaction market data transmission delay, communication system failure, bank data exchange system failure or other non fund
If the factors that can be controlled by the Manager and the Fund Custodian affect the business process, the time of redemption payment
It shall be postponed accordingly.
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 will conduct the transaction within T+1 days
To confirm the effectiveness of. For the valid application submitted on T date, the investor can apply for the application after T+2 date (including that date)
Fund contract of CSCI quantitative stock selection equity securities investment fund
Check the confirmation of the application at the counter of the sales outlet or in other ways specified by the sales agency. If the subscription is not
If successful, the subscription amount will 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
The institution has indeed received the application for subscription and redemption. The confirmation of the application for subscription and redemption shall be settled with the confirmation of the registration authority
The result shall prevail. For the confirmation of the application, investors should timely inquire, otherwise, the resulting investors
Any loss shall be borne by the investor.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor and each redemption
Please refer to the Prospectus or relevant announcements for the specific provisions of the minimum share returned.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See the Prospectus or relevant announcements.
4. 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 net subscription ratio of a single day of the Fund
Measures such as restricting or rejecting large amount subscription, suspending fund subscription, etc. to effectively protect the joint venture of stock fund unit holders
Legal interests. The fund manager can take the above measures for the fund based on the needs of investment operation and risk control
The scale shall be controlled. Please refer to relevant announcements for details.
5. The Fund Manager may adjust the above specified subscription amount and redemption if permitted by laws and regulations
Share and other quantitative restrictions. The fund manager must comply with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment
It is required to publish on the specified media.
6、 Purchase and redemption prices, fees and their uses
1. The Class A fund units and Class C fund units of the Fund are set with codes respectively, which are calculated and announced separately
Net value of Class II fund units and cumulative net value of Class II fund units. The calculation of the net value of the two types of fund units of the Fund,
It shall be reserved to 4 decimal places, and the fifth decimal place shall be rounded off. The resulting gains or losses shall be
Financial property assumption. The net value of the two types of fund units on T day shall be calculated respectively after the close of the day, and within T+1 day
Announce separately. In case of special circumstances, the calculation or announcement may be delayed appropriately after performing appropriate procedures.
2. Calculation of subscription units and handling method of balance: For details of calculation of subscription units of the Fund, see Recruitment
Instructions. The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager, and shall be listed in the prospectus
Fund contract of CSCI quantitative stock selection equity securities investment fund
Listed in the book and the summary of fund product information. The effective share of the subscription is the net subscription amount divided by the current category
The net value of fund units, the effective unit is, and the above calculation results are rounded to
Two digits after the decimal point, and the resulting gains or losses shall be borne by the fund property.
3. Calculation and handling method of redemption amount: For the calculation of redemption amount of the Fund, see the Prospectus
Books. The redemption rate of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and the Fund product information
Listed in the summary. The redemption amount is the effective redemption unit actually confirmed multiplied by the net amount of such fund unit on the day
The unit of redemption amount is yuan. The above calculation results are all rounded,
It shall be retained to 2 decimal places, and the resulting gains or losses shall be borne by the fund property.
4. The subscription fees for Class A fund units shall be borne by the investors who subscribe for Class A fund units of the Fund
Included in the fund assets. There is no subscription fee for Class C fund units.
5. 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 proportion of redemption fees to fund assets shall be set in accordance with relevant laws and regulations
In accordance with the provisions of the prospectus, the part not included in the fund property is used to pay the registration fee and other necessary
Service Charge. Among them, investors with a continuous holding period of less than 7 days will be charged a redemption fee of not less than 1.5%,
The above redemption fees shall be included in the fund property in full.
6. The specific calculation method, redemption rate and redemption amount of the Fund's subscription rate and subscription units are as follows:
The calculation method and charging method of the fund shall be determined by the fund manager in accordance with the provisions of the fund contract
Listed in the book. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract,
In accordance with the relevant provisions of the Information Disclosure Measures, no later than the implementation date of the new rate or charging method
Announcement on specified media.
7. The fund manager may, without violating the provisions of laws and regulations and the fund contract
The fund promotion plan shall be formulated according to the market conditions on the premise that the interests of the holders have no material adverse effects
Periodically or irregularly carry out fund promotion activities. During fund promotion activities, according to the requirements of relevant regulatory authorities
After performing the necessary procedures and informing the fund custodian in advance, the fund manager may appropriately reduce the fund subscription fee
Rate and fund redemption rate.
8. 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. Specific handling principles and operation specifications shall comply with relevant laws and regulations
And regulations of regulatory authorities and self regulatory rules.
7、 Refusal or suspension of subscription
Fund contract of CSCI quantitative stock selection equity securities investment fund
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. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Investor's application for subscription.
3. The trading time of the securities/futures exchange is abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
4. Accepting one or some subscription applications may affect or damage the interests of existing fund share holders
When.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It can have a negative impact on the performance of the fund, or other situations that damage the interests of existing fund share holders occur
Shape.
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 adoption of valuation techniques still leads to significant uncertainty in the fair value, after consultation with the Fund Custodian
After confirmation, the fund manager shall take measures to suspend accepting the application for fund subscription.
7. 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.
8. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor holding the Fund
The proportion of shares reaches or exceeds 50%, or evades 50% concentration in disguised form.
9. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription under any of the above circumstances (1, 2, 3, 5, 6, 7 and 9)
When suspending the acceptance of an investor's application for subscription, the fund manager shall publish it on the prescribed media in accordance with the relevant provisions
Suspension of subscription announcement. If the investor's application for subscription is rejected in whole or in part, the rejected subscription amount
Item will be returned to the investor. When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner
Business handling.
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
Repayment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
Fund contract of CSCI quantitative stock selection equity securities investment fund
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Redemption application of investors or deferred payment of redemption money.
3. The trading time of the securities/futures exchange is abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
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 adoption of valuation techniques still leads to significant uncertainty in the fair value, after consultation with the Fund Custodian
After confirmation, the Fund Manager shall take measures to postpone the payment of redemption funds or suspend the acceptance of fund redemption applications
Implementation.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
In case of any of the above circumstances and the Fund Manager decides to suspend the redemption or postpone the payment of redemption money
The fund manager shall report to the CSRC for filing on the same day. For the confirmed redemption application, the fund manager shall fully
Payment; If the payment cannot be made in full for the time being, the payable part shall be calculated according to the proportion of the application amount of a single account in the total application amount
The proportion is allocated to the redemption applicant, and the unpaid part can be postponed. In case of the situation described in item 4 above
And shall be handled according to the relevant provisions of the fund contract. When applying for redemption, fund share holders may choose in advance to
The part that may not be accepted on that day shall be withdrawn. When the suspension of redemption is eliminated, the Fund Manager shall
The redemption business shall be resumed and announced.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the application for net redemption of fund units within a single open day of the Fund (the total number of redemption application units plus
After deducting the total number of subscription application units and transfer in application units in fund conversion from the total number of transfer out application units in fund conversion
The balance after the total amount) exceeds 10% of the total fund shares on the previous opening day, which means that a huge amount of money has occurred
redeem.
2. Treatment method of huge redemption
In case of a huge redemption of the Fund, the Fund Manager can make a decision based on the current asset portfolio of the Fund
Full redemption or partial deferred redemption is scheduled.
Fund contract of CSCI quantitative stock selection equity securities investment fund
(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. Redemption application on the current day shall be based on a single account
The proportion of the redemption application volume of the household in the total redemption application volume, and the redemption units accepted on the current day shall be determined; For failure to redeem
For the return part, the investor can choose to postpone or cancel the redemption when submitting the redemption application. Choose deferred redemption
If it is returned, it will automatically transfer 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 redemption application shall be processed at the same time, and the redemption shall be calculated based on the net value of such fund units on the following opening day without priority
The amount to be refunded, and so on, until all redemption. If the investor fails to make clear when submitting the redemption application
If it is selected, the part that the investor fails to redeem will be automatically postponed.
(3) In case of massive redemption and application for redemption by a single fund unit holder within a single open day
When the fund shares account for more than 30% of the total fund shares on the previous open day, the Fund Manager may
The redemption application of a single fund unit holder that exceeds the aforesaid agreed proportion will be postponed
The application shall be processed together with the redemption application on the next business day, and the shares of such fund without priority and on the next business day
The redemption amount is calculated based on the net amount. On the following opening day, the remaining funds of the single fund unit holder are not redeemed
If the return portion still exceeds the aforesaid proportion, it shall continue to be handled according to the aforesaid rules until the single fund unit
The proportion of fund units redeemed by the holder within a single open day in the total fund units of the previous open day is lower than
The foregoing proportion. However, if the holder chooses to cancel the redemption when submitting the redemption application, he/she has not received
Some redemption applications accepted will be cancelled.
For the part of the fund unit holder that does not exceed the above proportion, the fund manager has the right to
The agreed way of "(1) full redemption" or "(2) partial deferred redemption" and the holding of other fund units
The redemption application of the person shall be handled together.
(4) Suspension of redemption: massive redemption occurs for more than 2 consecutive business days (including the number), such as fund management
The Manager may suspend accepting the redemption application of the Fund if it deems it necessary; The accepted redemption application can be postponed
The redemption money shall be paid within 20 working days, and shall be announced on the specified media.
3. Announcement of massive redemption
Fund contract of CSCI quantitative stock selection equity securities investment fund
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall send the funds by mail, fax or
In other ways specified in the Prospectus, the Fund Unitholders shall be notified within three trading days, and the relevant measures shall be explained
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. If the suspension occurs for one day, the Fund Manager shall, on the reopening day
Publish the announcement of fund re opening subscription or redemption, and announce the net amount of two types of fund units in the last open day
Value.
3. If the suspension occurs for more than one day, the Fund Manager shall determine the number of times to increase the announcement and
According to the provisions of the Information Disclosure Measures, the announcement shall be published in the specified media.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
For conversion business with other funds managed by the fund manager, a certain amount of conversion can be charged for fund conversion
The relevant rules shall be formulated by the Fund Manager in accordance with the relevant laws and regulations and the provisions of this Fund Agreement
And notify the fund custodian and relevant institutions in advance.
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
Non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations.
Under any of the above circumstances, the subject receiving the transfer must be legally able to hold the fund shares of the Fund
Investors.
Inheritance refers to the death of the fund unit holder, whose fund units shall be succeeded by his legal successor
Undertaking; Donation means that fund share holders donate their legally held fund shares to welfare foundations
Or social groups; Judicial enforcement means that the judicial authority will transfer the fund share holders
The fund units held are forcibly transferred to other natural persons, legal persons or other organizations. Necessary for non transaction transfer
Relevant materials required by the fund registration authority must be provided. For qualified non transaction transfer applications
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 contract of CSCI quantitative stock selection equity securities investment fund
Fund share holders may handle the transfer of custody of their held fund shares between different sales institutions
A gold 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 determined by the Fund Manager
As otherwise specified. When handling the regular and quota investment plan, the investor can agree on the amount of subscription for each period
The subscription amount must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
Minimum subscription amount of periodic fixed 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
And participate in income distribution. Unless otherwise specified by laws and regulations or regulatory authorities.
16、 Transfer of Fund Units
The Fund Manager may accept the Fund Unitholders if permitted by laws and regulations and conditions are met
The application for share transfer through the trading place or trading method recognized by the CSRC shall be submitted by the registration machine
The agency handles the transfer registration of fund units. If the Fund Manager intends to accept the transfer of fund units, it will
Announcement: Fund share holders shall handle the transfer of fund shares in accordance with the business rules announced by the fund manager
Business.
17、 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 the Prospectus or relevant
Notice.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: China Securities Investment Fund Management Co., Ltd
Address: Room 1, Building 3, Balongqiao Yayuan, Qiaozi Town, Huairou District, Beijing
Legal representative: Huang Ling
Date of establishment: September 9, 2013
Approval authority and approval document number: CSRC ZJXK [2013] No. 1108
Organizational form: limited liability company
Registered capital: RMB 450 million
Duration: Permanent
Tel: 4009-108-108
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions
Including 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) Adjust the subscription fee and subscription of the Fund within the scope of laws and regulations and the Fund Contract
Fees, redemption fees, sales service fees and other fees, or no material benefit to existing fund share holders
Change the charging method under the premise of adverse effects;
(5) Sale of fund shares;
(6) Convene the general meeting of fund unit holders in accordance with the provisions;
(7) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If the person violates the Fund Contract and relevant national laws and regulations, it shall be reported to the CSRC and other regulatory departments
And take necessary measures to protect the interests of fund investors;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(8) Nominate a new Fund Custodian when the Fund Custodian changes;
(9) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(10) 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;
(11) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(12) Reject or suspend the acceptance of subscription and redemption applications within the scope agreed in the Fund Contract;
(13) Exercising shareholders' rights against the invested company for the benefit of the fund in accordance with laws and regulations
Interests Exercise the rights arising from the investment of fund assets in securities;
(14) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(15) Exercising litigation rights on behalf of fund share holders in the name of the fund manager or
To commit other legal acts;
(16) Select and replace law firms, accounting firms, securities/futures brokers or others
External institutions providing services by the Fund;
(17) Formulate and adjust relevant fund subscription and application on the premise of compliance with relevant laws and regulations
Business rules such as purchase, redemption, conversion and non trading transfer;
(18) 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
Including 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 mutually independent
Separate management, separate bookkeeping and securities investment;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property shall seek benefits for itself and any third party, and shall not entrust any third party to operate the fund property;
(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
Interest, determining the price of subscription and redemption of 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 regulations
Disclosure and reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. Except Fund
Unless otherwise specified in the Law, the Fund Contract and other relevant provisions, the fund information shall be
Confidential, not disclosed to others, but provided at the request of regulatory authorities, judicial authorities and other competent authorities, or due to
Except for the circumstances that external professional consultants such as audit and legal consultants need to provide services;
(13) Determine the fund income distribution plan as agreed in the Fund Contract, and timely hold
Someone distributes the fund income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the holding of fund units in accordance with the Fund Law, the Fund Contract and other relevant provisions
The National People's Congress or the Fund Custodian and the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Keep accounting books, statements, records and others of fund property management business activities as required
Relevant data shall be kept for no less than the minimum period specified 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
And ensure that investors can check the information about the fund at any time according to the time and method specified in the Fund Contract
Relevant public 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, clearing and evaluation of fund assets
Price, realization and distribution;
(19) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And notify the Fund Custodian;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(20) Loss or damage to fund assets due to violation of the Fund Contract
In the case of legal rights and interests, it shall bear the liability for compensation, and its liability for compensation shall not be exempted by its 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
The interests of the holders shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the third party
Responsibility for the conduct of fund affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise litigation rights or implement
Other legal acts;
(24) If the Fund fails to meet the filing conditions for the Fund during the raising period, the Fund Contract cannot be renewed
Effective, the fund manager shall bear all the raising costs and add the raised funds to the current deposit interest of the bank for the same period
The interest 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.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: Guojin Securities Co., Ltd
Address: No. 95, Dongchenggenshang Street, Chengdu, Sichuan
Legal representative: Ran Yun
Time of establishment: December 20, 1996
Establishment approval authority and establishment approval document No.: YF [1990] No. 498 of the People's Bank of China
Organizational form: limited liability company
Registered capital: 3724359310 yuan
Duration: continuous operation
Approval No. of fund custody business: ZJXK [2017] No. 990
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Custodian include
Including but not limited to:
Fund contract of CSCI quantitative stock selection equity securities investment fund
(1) From the effective date of the Fund Contract, the Fund shall be safeguarded in accordance with the provisions of the Fund Contract
Production;
(2) Obtain the fund custody fee in time and in full as agreed in the Fund Contract and as required by laws and regulations or
Other expenses approved by the regulatory authority;
(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
And national laws and regulations, causing significant losses to the fund property and the interests of other parties
Have the right to report to the CSRC and take necessary measures to protect the interests of fund investors;
(4) Assist the manager to open capital account, securities account and other investment for the fund according to relevant market rules
Account required for capital, to handle the clearing of securities/futures trading capital 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 Operation Measures and other relevant provisions, the obligations of the Fund Custodian include
Including 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,
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
The fund assets of are mutually independent; Set up separate accounts for different funds under custody, conduct independent accounting and separate accounts
Management to 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
The property seeks benefits for itself and any third party, and may not entrust a third party to trust the fund property;
(5) Custody of major contracts and certificates related to the Fund signed by the Fund Manager on behalf of the Fund
Syndrome;
(6) Assist the manager to open the fund account, securities account and other investment accounts of the fund property as required
Account, in accordance with the provisions of the Fund Contract and the investment instructions of the Fund Manager, timely handle the liquidation
Closing matters;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(7) Keep fund business secrets, except for laws and regulations, the Fund Law, the Fund Contract and others
Unless otherwise specified in relevant regulations, the fund information shall be kept confidential before public disclosure and shall not be disclosed to others, but
Provided at the request of competent authorities such as regulatory authorities and judicial authorities, or for external professional consultants such as audit and law
Ask about the information that needs to be provided to provide services or required to be disclosed by the stock exchange where the fund custodian is listed, except
External;
(8) Review and review the net fund asset value, net value of various fund units
Subscription and redemption price of gold shares;
(9) To handle information disclosure related to fund custody business activities;
(10) To give opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund,
Explain whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract;
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state that the Fund Custodian is
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities
The time limit shall not be less than the minimum period specified by laws and regulations;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) Pay fund income to fund share holders in accordance with the instructions of the fund manager or relevant regulations
And redemption payments;
(15) In accordance with the Fund Law, the Fund Contract and other relevant provisions, call for the holding of fund units
The general meeting is held or the general meeting of fund unit holders is convened in accordance with the law in cooperation with the fund manager and fund unit holders;
(16) To supervise the investment operation of the Fund Manager in accordance with the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and realization of fund assets
And distribution;
(18) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And the banking regulatory authority, and notify the fund manager;
(19) In case of any loss of fund property due to violation of the Fund Contract, it shall be liable for compensation
The liability for compensation shall not be exempted due to his retirement;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(20) When the Fund Manager causes losses to the Fund property due to violation of the Fund Contract, it has the right to
The unit holders' 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.
3、 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
Yes, the fund investor will become the holder of the fund unit when he/she obtains the fund unit in accordance with the Fund Contract
And the parties to the Fund Contract until they no longer hold the Fund units of the Fund. Fund share holding
As a party to the Fund Contract, it is not necessary to sign or seal the Fund Contract in writing
Pieces.
Each fund unit of the same category has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Benefits include but are 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) Convene a general meeting of fund unit holders or a general meeting of fund unit holders as required
meeting;
(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. In accordance with the Fund Law, the Operation Measures and other relevant provisions
Services include but are not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus, Fund Product Information Summary and other letters
Information disclosure documents;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(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) Pay the fund subscription and subscription amount and the fees specified in 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) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized by the fund unit holders
Representatives have the right to attend and vote on behalf of fund share holders. Each base held by fund share holders
Gold shares have equal voting rights.
The National People's Congress of the holders of Fund units does not have a daily institution.
1、 Reason for convening
1. Unless otherwise stipulated by laws and regulations, CSRC or the Fund Contract
Or if it is necessary to decide on one of the following matters, a general meeting of fund unit holders shall be convened:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Raise the remuneration standard of the Fund Manager and the Fund Custodian or increase the sales service fee;
(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
Amount holders (calculated based on the fund shares on the day when the fund manager receives the proposal, the same below) on 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 funds shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters relating to the general meeting of holders.
2. Within the scope stipulated by laws and regulations and the Fund Contract, and within the scope of
Provided that there is no material adverse effect, the following circumstances may be negotiated between the Fund Manager and the Fund Custodian
Modification without convening a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(2) Adjust the subscription rate of the Fund, lower the sales service fee and change the charging method;
(3) Stop the sale of existing fund share categories, adjust the rate level of existing fund share categories
Or adding new categories of fund units;
(4) Fund managers, registration institutions and fund sales institutions adjust the subscription, purchase and redemption of funds
Business rules such as return, conversion, non transaction transfer and custody transfer;
(5) The Fund launches new businesses or services;
(6) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(7) 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;
(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 within 10 days from the date of receiving the written proposal, and inform the proposed fund in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall issue a written decision
It shall be held within 60 days from the date of; The Fund Manager decides not to convene, representing more than 10% (including 10%) of the Fund shares
If the Fund Unitholders still consider it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. base
The fund custodian shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify in writing of the proposal
Fund contract of CSCI quantitative stock selection equity securities investment fund
The representatives of the Fund Unitholders and the Fund Manager; If the Fund Custodian decides to convene the meeting, it shall issue its own
The meeting shall be held within 60 days from the date of the written decision, and the Fund Manager shall be notified, 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, either alone or in aggregate
The Fund Unitholders representing more than 10% (including 10%) of the Fund units 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. Fund unit holders convene fund unit holders' general meetings by themselves 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 unit 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
Contact information and contact person, deadline for sending and receiving written voting opinions.
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 management in writing separately
People go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall
The Fund Manager and the Fund Custodian shall be notified in writing to go to the designated place to supervise the counting of votes
Du. If the Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes of written votes,
It shall not affect the counting effect of voting opinions.
Fund contract of CSCI quantitative stock selection equity securities investment fund
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, supervision
The meeting shall be held in other ways permitted by the governing body, and the convening method shall be determined by the convener of the meeting.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
Representatives shall attend the on-site meeting. The authorized representatives of the Fund Manager and the Fund Custodian shall attend the fund units as nonvoting delegates
The voting effect shall not be affected if the Fund Manager or the Fund Custodian does not send representatives to attend the shareholders' meeting. present
The agenda of the general meeting of Fund Unitholders can be held when the following conditions are met at the same time:
(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
The provisions of the Contract and the notice of the meeting, and the vouchers for holding fund shares and the registration held by the fund manager
Data consistency;
(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 those of the Fund on the equity registration date
One half of the total fund units, the convener may hold the meeting of fund unit holders at the time originally announced
The general meeting of fund unit holders shall be reconvened three months later and six months later on the matters originally scheduled for consideration.
The valid fund units represented by the attendees of the reconvened fund unit holders' meeting on the equity registration date shall
Not 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 means that the Fund Unitholders submit their votes on voting matters in writing
Form or other methods agreed in the fund contract shall be delivered to the address designated by the convener before the deadline for voting.
The communication meeting shall be voted in writing or in other ways agreed in the fund contract.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, 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 written votes. The convener of the meeting
Supervision of the Fund Custodian (or the Fund Manager if the Fund Custodian is the convener) and the notary organ
The written voting opinions of fund share holders shall be collected in the manner specified in the notice of the meeting; Fund Custodian
Or if the fund manager is notified not to participate in the collection of written voting opinions, the voting effect shall not be affected;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(3) If I directly issue a written opinion or authorize another representative to issue a written opinion
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 issue written opinions or authorize others to issue written opinions on behalf of fund share holders
If the fund units held are less than half of the total fund units on the equity registration date, the convener may
After 3 months and within 6 months of the announced time of the general meeting of fund unit holders, the original plan will be reviewed
The general meeting of fund unit holders shall be reconvened. The reconvened general meeting of fund unit holders shall be held on behalf of
Form The holders of more than one-third (including one-third) of the fund units directly issue written opinions or authorize them
Human representatives shall issue written opinions;
(4) Fund share holders or entrusted representatives who directly issue written opinions in Item (3) above
The agent who issues written opinions, and the certificate of holding fund units submitted at the same time, and the written intention issued by the trustee
See the certificate of fund shares held by the principal and the proxy voting authorization certificate of the principal issued by the agent
It clearly complies with the provisions of laws and regulations, the Fund Contract and the notice of the meeting, and is consistent with the records of the fund registration authority
Symbol.
3. The Fund may adopt other off-site methods or
The Fund Unitholders' Meeting shall be held in a combination of on-site and off-site ways, and the meeting procedures
Refer to the procedures of on-site meeting and communication meeting, and the specific method shall be determined by the convener and present at the meeting
It shall be listed in the notice of deliberation.
4. With the permission of laws, regulations and regulatory authorities, fund share holders can use paper
Voting by network, telephone, SMS or other means, or paper, network, telephone, SMS
Or authorize others to attend the meeting and vote on behalf in other ways. The specific way shall be determined by the convener of the meeting and be present at the meeting
It shall be listed in the notice of deliberation.
5、 Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings are major matters that affect the interests of fund share holders, such as the major issues of the Fund Contract
Modify, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and
Financial merger, other matters specified in laws and regulations and the Fund Contract, and matters deemed necessary by the convener of the meeting
Other matters discussed at the general meeting of fund share holders.
Modification of the original proposal after the convener of the general meeting of fund unit holders sends the notice of convening the meeting
It shall be announced in time before the general meeting of fund unit holders is held.
Fund contract of CSCI quantitative stock selection equity securities investment fund
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 and
Announce the scrutineers, and then the presider of the conference will read out the proposal. After discussion, the proposal will be voted and the resolution of the conference will be formed
Discussion. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
If it is able to preside over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the fund management
If neither the authorized representative of the manager nor the authorized representative of the fund custodian can preside over the meeting
More than one half (including one half) of the voting rights held by the holder and agent of the amount shall be elected to one person
The gold share holder shall be the chairman of the general meeting of fund share holders. Fund Manager and Fund Custody
The refusal of person to attend or preside over the general meeting of fund unit holders shall not affect the decision made by the general meeting of fund unit holders
Validity of the discussion.
The convener of the meeting shall prepare the signature book of the attendees. The signature book indicates the surname of the participants
Name (or unit name), ID document number, fund shares held or represented with voting rights
Name (or unit name) and contact information of the trustor.
(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 certification authority.
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 for the requirements specified in item 2 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
In addition, change the operation mode of the fund, change the fund manager or fund custodian, and terminate the Fund Agreement
The merger of the Fund with other funds shall be effective only when a special resolution is passed.
Fund contract of CSCI quantitative stock selection equity securities investment fund
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 in the counting of votes
Investors who submit the voting documents confirming the identity of investors as specified in the notice of the meeting shall be deemed to be effectively present,
The written voting opinions that apparently meet the requirements of the meeting notice shall be regarded as valid voting, and the voting opinions are ambiguous or inconsistent
Contradictory cases shall be deemed as abstention from voting, but shall be included in the amount of
The total number of fund units.
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 meeting is held by
Although the Fund Unitholders themselves or the general meeting is convened by the Fund Manager or the Fund Custodian
If the Fund Manager or Fund Custodian fails to attend the meeting, the chairperson of the Fund Unitholders' meeting shall be present
At the beginning of the meeting, it was announced that three representatives of fund share holders would be elected from among the fund share holders present at the meeting
Serve as scrutinizer. 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 enter
The line shall be re counted only once. After the re counting, the presider of the conference shall announce the re counting on the spot
New counting 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 meeting are based
Supervision of the authorized representative of the Fund Custodian (or the authorized representative of the Fund Manager if convened by the Fund Custodian)
Fund contract of CSCI quantitative stock selection equity securities investment fund
And the notary office shall notarize the counting process. Fund Manager or Fund Custodian
Refusal to send representatives to supervise the counting of votes of written votes 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
It will be filed.
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 announced on the specified media within 2 days from the effective date. If mining
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the notarial certificate must be completed
The document, the name of the notary office and the notary public will be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective holding of fund units
Resolution of the General Meeting of the People. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders and funds
The Manager and the Fund Custodian are both 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 shares or voting rights refers to the holding of main pocket shares
The fund shares or voting rights held or represented by the person and the side pocket unit holder respectively meet these proportions, but if
If the matters to be convened and deliberated at the relevant fund unit holders' meeting do not involve the side pocket account, it only refers to the main pocket units
The fund shares or voting rights held or represented by the holders meet such 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 written opinions or authorize others to issue written opinions on behalf of correspondence meeting
The fund units held by the holder shall not be less than half (including two) of the relevant fund units on the equity registration date
1/1);
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 previously announced by the convener
Fund units reconvened within 6 months and 3 months after the date of the meeting on the matters originally scheduled for consideration
The general meeting of shareholders shall have participants representing more than one-third (including one-third) of the relevant fund units
And or authorize others to participate in the voting of the general meeting of fund share holders;
Fund contract of CSCI quantitative stock selection equity securities investment fund
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
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 considered by 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 side pocket account shall vote respectively
Each fund unit in the account has equal voting rights; If the voting matter does not involve the side pocket account, the side pocket
The account shares have no voting rights.
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 and regulations, such as the relevant
If the content is cancelled or changed, the fund manager can directly modify the content of this part after announcing in advance
And adjustment without convening a general meeting of fund share holders.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution is formed by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of the date of voting;
3. Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4. Filing: the resolution of the general meeting of fund share holders to change the fund manager must be reported to the CSRC for filing
Case;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
Fund contract of CSCI quantitative stock selection equity securities investment fund
6. Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner,
The temporary fund manager or the new fund manager shall take over in a timely manner. Temporary fund manager or new fund manager
The Manager shall check the total value of the Fund's assets with the Fund Custodian;
7. Audit: If the duties of the fund manager are terminated, the fund manager shall be employed in accordance with the provisions of laws and regulations, and the fund manager shall meet the requirements of
The accounting firm specified in the Securities Law of the People's Republic of China shall audit the fund assets and report the audit results
It shall be announced and reported to the CSRC for filing at the same time; Audit fees shall be disbursed from fund assets;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of the date of voting;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing
Case;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
6. Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody business
Information, timely handle the transfer procedures of fund assets and fund custody business, and newly appointed fund custodian or temporary
The Fund Custodian shall take over in a timely manner. The new fund custodian or temporary fund custodian shall
Manager checks the total value of fund assets;
7. Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall, in accordance with the provisions of laws and regulations, engage a person who meets the requirements of
The accounting firm specified in the Securities Law of the People's Republic of China shall audit the fund assets and report the audit results
It shall be announced and reported to the CSRC for record. Audit fees shall be disbursed from fund assets.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian
Fund contract of CSCI quantitative stock selection equity securities investment fund
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new or temporary fund manager and the new or temporary fund custodian shall change the fund management
The Manager and the Fund Custodian shall unite on the specified media within 2 days after the resolution of the General Meeting of Fund Unitholders takes effect
Notice.
3、 New fund manager or temporary fund manager receives fund management business or new fund custody
The original fund manager or the original fund
The custodian shall continue to perform relevant duties in accordance with laws and regulations, the Fund Agreement and the Custodian Agreement, and
Guarantee that the interests of fund share holders will not be harmed. Succession of the original fund manager or the original fund custodian
During the period of continuing to perform relevant duties, he is still entitled to receive funds in accordance with the provisions of the Fund Contract and the Custody Agreement
Fund management fee or fund custody fee.
4、 The provisions of this part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
The part referring to laws and regulations, such as the cancellation or change of relevant contents due to the modification of laws and regulations in the future,
After the Fund Manager and the Fund Custodian reach an agreement through consultation and make an announcement in advance, they can directly modify the corresponding contents
And adjustment without convening a general meeting of fund share holders.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall comply with the Fund Law, the Fund Contract and other relevant provisions
The Depository Agreement shall be concluded, and the fund custody matters not covered in the Fund Contract shall be subject to the provisions of the Depository Agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
To ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XI Registration of Fund Units
1、 Fund share registration business
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation of fund sales business
Clearing and settlement, distributing dividends on behalf, establishing and keeping the register of fund share holders and handling non trading
Households, etc.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
However, the fund manager shall not be exempted from its responsibilities according to law due to the entrustment. Entrusted by the fund manager
Where other institutions handle the registration business of the Fund, they shall sign an agency agreement with the agent to clarify the management of the Fund
The manager and agent shall confirm the fund account management, fund share registration, clearing and fund transaction of investors
In matters such as subscription and distribution of dividends, establishment and custody of the register of fund share holders, and handling of non trading transfer
The rights and obligations shall protect the legitimate rights and interests of fund share holders.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. Within the scope permitted by laws and regulations, the time for handling registration business shall be adjusted, and
The relevant regulations shall be announced on the specified media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract
Service;
Fund contract of CSCI quantitative stock selection equity securities investment fund
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institutions recognized by the CSRC. Its retention period shall not start from the date of cancellation of the fund account
It shall be less than the minimum period stipulated by laws and regulations;
4. Having the obligation to keep confidential the fund account information of the fund share holder
The investors or funds shall bear the corresponding compensation liability for the losses caused by them, but the situation and law of judicial compulsory inspection
Except for other circumstances stipulated by the law, the CSRC and the Fund Contract;
5. Handle non trading transfer business for investors and provide
Other necessary services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XII Investment of the Fund
1、 Investment objectives
The Fund selects individual stocks through quantitative methods, and strictly controls risks and maintains good liquidity
Under the premise, pursue the return on investment that exceeds the performance benchmark.
2、 Investment scope
The investment scope of the Fund is financial instruments with good liquidity, including domestic legal issuance and listing
Stocks (including the main board, GEM, science and technology innovation board and other stocks permitted by the CSRC to be listed
Depositary receipts), bonds (including treasury bonds, central bank bills, financial bonds, corporate bonds, corporate bonds
Term notes, short-term financing bonds, ultra short-term financing bonds, short-term corporate bonds of securities companies, secondary public offerings
Class bonds, government backed bonds, government backed agency bonds, local government bonds, convertible bonds (including
Separately traded convertible bonds), exchangeable bonds and other bonds permitted by the CSRC to invest), assets
Supporting securities, bond repurchase, inter-bank deposit receipts, bank deposits (including negotiated deposits, time deposits and others
Bank deposits), money market instruments, stock index futures, treasury bond futures, laws and regulations or the CSRC
Other financial instruments that the Fund is allowed to invest in (subject to the relevant provisions of the CSRC).
The Fund may participate in financing business in accordance with laws and regulations.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform the following duties:
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment portfolio is: shares (including depositary receipts) account for 80% of the Fund's assets-
95%； At the end of each trading day, after deducting the trading deposits required to be paid for stock index futures and treasury bond futures contracts,
It shall maintain no less than 5% of the net asset value of the fund in cash or government bonds with a maturity date of less than one year; his
Cash in China does not include settlement provisions, deposits and subscription receivables.
If laws and regulations or the CSRC changes the investment proportion limit of investment varieties, the fund manager is performing
After proper procedures are followed, the investment proportion of the above investment varieties can be adjusted.
3、 Investment strategy
（1） Asset allocation strategy
The Fund judges by quantitative analysis of various macroeconomic indicators and asset market behavior data
Current market behavior hotspots, movement trends and investors' risk preferences, and build a variety of valuations and development forecasts
Period and other factor indicators. Based on the internal correlation and impact of various factors on the prices of stocks, bonds and other major categories of assets
Fund contract of CSCI quantitative stock selection equity securities investment fund
Mechanism for quantitative judgment, screening and classification. Flexible application based on the above classification results
Various quantitative models are used to construct the trend judgment of the allocation value of stocks, bonds, currencies and other major categories of assets
Quantify factors to form a view on the allocation of stocks, bonds, currencies and other major categories of assets.
（2） Stock investment strategy
1. Individual stock investment strategy
The Fund uses quantitative multi factor model to build investment portfolio, and regularly
Backtracking and adjusting the model, improving the effectiveness of the model, and striving to achieve investment beyond the performance benchmark
return. The quantitative investment model used by the Fund mainly includes:
(1) Profit forecast model
The Fund's quantitative multi factor model takes the macro environment, industry and individual stock characteristics of China's stock market as
An analytical framework to comprehensively test the excess returns generated by various factors on the long-term performance of stocks, including price
Value, momentum, growth, quality, analyst expectations, volume and price and other major factors, while using AI neural network
The network tree model technology uses the above characteristics to comprehensively predict the future returns of stocks and build an investment group
Close.
(2) Risk estimation model
The Fund will use risk prediction models and appropriate control measures to effectively control the expectations of the portfolio
Investment risk, and strive to control the realization risk of the portfolio within the target range. First, combined fluctuating wind
For risk control, first estimate the stock covariance matrix, according to which the volatility of the target portfolio can be obtained
Rate to control the risk of portfolio fluctuation; Second, portfolio style exposure control should be carried out by controlling investment
The deviation degree between portfolio style exposure and stock benchmark style exposure, so as to control the portfolio's relative stock base
Quasi fluctuation risk.
(3) Transaction cost model
The Fund uses the algorithmic transaction cost model commonly used in the market, and will consider both fixed costs and payment
Easy market impact benefits, reduce the negative performance impact caused by transactions on the basis of the lowest control cost.
(4) Optimization and adjustment of investment portfolio
According to the forecast value of expected stock returns, the fluctuation level of individual stocks in the past year, and the forecast of expected industry returns
Objective analysis results such as measured value, market fluctuation level and transaction cost, etc., the fund manager, through the investment portfolio
The optimizer optimizes the return and risk ratio of the stock portfolio to construct the most cost-effective stock investment
Combination.
Fund contract of CSCI quantitative stock selection equity securities investment fund
2. Investment strategy of depositary receipts
For investment in depositary receipts, the Fund will conduct qualitative analysis and quantitative analysis on the basis of in-depth research
By combining analysis, we can select depositary receipts with comparative advantages as investment objects.
（3） Bond investment strategy
The Fund will focus on value analysis, mainly through two levels of generic allocation and bond selection
Investment management. At the level of generic allocation, combined with macroeconomic, market interest rate, bond supply and demand and other factors
Through comprehensive analysis, according to the risk return characteristics of the assets in the exchange market and the inter-bank market, regular contra investment
The asset portfolio category assets are optimized and adjusted to determine the optimal weight of category assets. Selection of securities
On the basis of medium and long-term interest rate trend analysis, combined with economic trend, monetary policy and different bond varieties
Factors such as yield level, liquidity and credit risk, and focus on the combination of good liquidity and risk level
Bonds with relatively high yield to maturity and credit quality.
As for investment in convertible bonds and exchangeable bonds, both convertible bonds and exchangeable bonds
Equity securities and fixed income securities have the characteristics of resisting downside risks and sharing the rise of stock prices
Therefore, the Fund will conduct relative value analysis, fundamental research, valuation analysis, bond
According to the analysis of terms, select the company with good basic quality and its corresponding underlying securities with high rising potential
Converting bonds and exchangeable bonds for investment.
（4） Asset backed securities investment strategy
Asset backed securities refer to financial institutions as initiators, and credit assets with stable cash
The current assets are entrusted to the trustee and issued by the trustee to the investment institution
A security in which the proceeds are paid. The Fund tracks, inspects and analyzes the asset pool structure and quality
Impact of changes in issuance terms and estimated prepayment rate of supporting securities on future cash flow of asset-backed securities
Sound, invest in asset-backed securities cautiously.
（5） Investment strategy of treasury bond futures
When investing in treasury bond futures, the Fund will aim at hedging in accordance with risk management principles
, using futures contracts with good liquidity and active trading
The government bond market trend shall be judged as the basis for determining the position direction and amount of government bond futures
Long or short hedging and other strategies. The fund manager will fully consider the treasury bond period
The profitability, liquidity and risk characteristics of goods, and the use of treasury bond futures to hedge system risks, so as to reduce
The purpose of the overall risk of the portfolio.
Fund contract of CSCI quantitative stock selection equity securities investment fund
（6） Investment strategy of stock index futures
The Fund Manager will fully consider the stock index period for the purpose of hedging in accordance with the risk management principles
The profitability, liquidity and risk characteristics of goods, through asset allocation, variety selection, prudent investment,
It aims to realize the hedge of funds through stock index futures.
1. Hedging timing strategy
According to the Fund's prediction of the different stages of the economic cycle and the tracking of market sentiment and valuation indicators
Trace analysis to determine whether to hedge the portfolio and the hedged spot target and its ratio
Example.
2. Futures contract selection and position selection strategy
After the confirmation of the hedged spot subject matter, according to the basis level, liquidity and other factors of the futures contract
Select suitable futures contracts; Using various quantitative models to calculate the futures contract head required for hedging
Inch; Dynamic tracking of the beta value of the hedged spot target and dynamic adjustment of the hedged futures
Position.
3. Margin management
The Fund will dynamically calculate the required settlement based on the hedging time and the volatility of the spot target
Reserve to avoid hedging failure caused by forced closing due to insufficient margin.
（7） Investment strategy for participating in financing business
In order to better achieve the investment objectives, we should consider the expected risks, returns, liquidity and other factors
On this basis, the Fund may participate in financing business.
In the future, with the development and enrichment of investment tools, fund managers can
On the premise that appropriate procedures are followed, relevant investment strategies should be adjusted and updated accordingly, and should be included in the prospectus
to update.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of stock assets in fund assets ranges from 80% to 95%;
(2) At the end of each trading day, the Fund deducts the transactions required to pay for stock index futures and treasury bond futures contracts
After the deposit, it shall be kept in cash no less than 5% of the net asset value of the fund or with a maturity date of less than one year
Government bonds; Cash does not include provisions for settlement, deposits and subscription receivables;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(3) The Fund holds securities issued by a company whose market value does not exceed the net asset value of the Fund
10%；
(4) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the bonds, the fund varieties that invest in securities in full accordance with the composition ratio of the relevant index may not be subject to this
The proportion limit specified in the clause;
(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 the net asset value of the Fund
20%；
(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
All the rating reports shall be sold within 3 months from the date of release;
(10) All open-ended funds managed by the Fund Manager (including open-ended funds and open funds)
Open term funds) holding tradable shares issued by a listed company shall not exceed
15% of the Company's tradable shares; All investment portfolios managed by the Fund Manager hold a listed company
The tradable shares issued shall not exceed 30% of the tradable shares of the listed company; In full accordance with the relevant instructions
Open ended funds investing in securities and special investment portfolios recognized by the CSRC
May not be subject to the foregoing proportion restrictions;
(11) 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; 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 other factors, the fund manager shall not actively increase the liquidity subject to
Investment limited to assets;
(12) The Fund deals with private securities asset management products and other entities recognized by the CSRC
If the counterparty carries out reverse repurchase transactions, the qualification requirements for acceptable collateral shall be consistent with the investment
The scope of capital is consistent;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(13) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(14) After participating in stock index futures trading and treasury bond futures trading, the Fund shall follow the following investment proportions
Limitations:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% 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 the securities shall not exceed 95% of the net asset value of the fund, of which the marketable securities refer to stocks and bonds
(excluding government bonds with a maturity of less than one year), asset-backed securities, redemptory financial assets for sale
(excluding pledge repurchase), 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 that of the Fund
20% of the total market value of the shares held; Stock index futures contracts traded on any trading day (excluding closing positions)
The transaction amount shall not exceed 20% of the net asset value of the fund on the previous trading day; Shares held by the Fund
The total market value and the value of stock index futures contracts purchased and sold (netting calculation) shall comply with the relevant provisions of the fund contract
Relevant agreements on the proportion of stock investment;
4) At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed
15% of net asset value; At the end of any trading day, the value of the futures contract for selling treasury bonds held shall not exceed
30% of the total market value of bonds held by the Fund; Bonds held by the Fund (excluding bonds with maturity of one year
The market value of government bonds and the value of futures contracts for buying and selling treasury bonds shall be
Comply with the relevant provisions of the fund contract on the proportion of bond investment; Trading within any trading day (excluding flat
The trading amount of treasury bond futures contracts of (warehouse) shall not exceed 30% of the net asset value of the fund on the previous trading day;
(15) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the amount of
Total assets, the number of shares declared by the Fund shall not exceed the total number of shares issued this time by the company to be issued
Quantity;
(16) After the Fund participates in financing business, at the end of any trading day, it holds financing stocks
The sum of market value and other securities shall not exceed 95% of the net asset value of the fund;
(17) The proportion of the Fund's investment in depositary receipts shall be limited to the number of shares issued and listed in accordance with domestic laws
Line, calculated in combination with the shares legally issued and listed in China;
(18) Other investment limits stipulated by laws and regulations, CSRC and the Fund Contract
System.
Fund contract of CSCI quantitative stock selection equity securities investment fund
In addition to the above situations (2), (9), (11) and (12), due to the fluctuation of the securities/futures market
The fund investment ratio is caused by factors other than the fund manager, such as the merger of dynamic and securities issuers, changes in fund size, etc
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 conform to
Agreement of the mutual fund contract. The Fund Custodian's supervision and inspection of the Fund's investment shall come into force from the date of this Fund Agreement
From the date of.
Laws and regulations or regulatory authorities cancel or change the above restrictions, if applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or the changed provisions shall prevail.
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
Active:
(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 international controllers or companies with significant interests with them or certificates underwritten during the underwriting period
Securities or other major related party transactions shall conform to the investment objectives and strategies of the Fund,
Follow the principle of giving priority to the interests of fund share holders, prevent conflicts of interest, establish and improve the internal approval mechanism and
The evaluation mechanism shall be implemented according to the fair and reasonable price in the market. Relevant transactions must be approved by the Fund Custodian in advance
And shall be disclosed in accordance with laws and regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and
It has been approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall pay at least half a year
Easy to review.
Fund contract of CSCI quantitative stock selection equity securities investment fund
When laws, administrative regulations or regulatory authorities cancel or change the above restrictions, the Fund Manager shall
After the procedure, the investment of the Fund will no longer be subject to relevant restrictions or the changed provisions shall prevail.
5、 Performance Benchmark
China Securities 800 Index yield × 90%+bank demand deposit interest rate (after tax) × 10%
The CSI 800 Index is compiled by CSI Index Co., Ltd., and the index is composed of CSI 500 Index and Shanghai Shenzhen Index
The composition of 300 index constituent stocks comprehensively reflects the stock price table of companies with large, medium and small market capitalization in China's A-share market
Now, it has good market representation.
According to the investment scope and investment proportion of the Fund, the selection of the above performance benchmark can be objective and comprehensive
Rationally reflect the risk return characteristics of the Fund.
If there are more representative performance benchmarks or more scientific performance ratios in the market in the future
It is more suitable for the Fund than the benchmark, or the above benchmark index stops publishing, or it appears in the market
When the Fund Manager deems it necessary to make corresponding adjustments, the Fund Manager may
In accordance with the principle of safeguarding the interests of fund share holders, after consultation with the fund custodian and in accordance with the regulatory authority
It is required to change the performance benchmark of the Fund and make an announcement in a timely manner after performing appropriate procedures.
6、 Risk return characteristics
The Fund is an equity fund, and its expected return and expected risk are higher than those of hybrid funds and bonds
Funds and money market funds.
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, according to the maximum protection basis
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of the gold share holders and consulted the accountant
After the opinion of the accounting firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract.
Fund contract of CSCI quantitative stock selection equity securities investment fund
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance 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 of specific assets of side pocket accounts
See the provisions of the Prospectus for details of matters such as realization and payment that have a significant impact on investors' rights and interests.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to all kinds of securities owned by the fund, the principal and interest of bank deposits and the fund's subscription receivable
And other investments.
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 assists the Fund Manager in opening capital accounts and certificates for the Fund in accordance with relevant laws and regulations
Other special accounts required for investment such as securities account. Special fund account opened with fund manager and fund
Property accounts owned by the custodian, fund sales agency and fund registration agency and other fund property accounts
Independent of each other.
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 of the Fund Custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Its own property shall bear its own legal liability, and its creditors shall not apply for freezing of the Fund's property
To settle, detain or other rights. In addition to being disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets
No punishment is allowed.
The Fund Manager and the Fund Custodian are dissolved, canceled or declared bankrupt according to law
In case of liquidation for reasons, the fund assets shall not belong to its liquidation assets. Fund manager manages and operates fund assets
The creditor's rights generated shall not offset the debts generated from its inherent assets; Fund manager management and operation
The creditor's rights and debts arising from the fund assets of different funds shall not offset each other. Not due to the fund property itself
Shall not be enforced against the fund assets.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities exchange of the Fund and national laws and regulations
It is required to disclose the net value of the fund to the public on non trading days.
2、 Valuation object
Stocks, bonds, bank deposit principal and interest, accounts receivable, stock index futures contracts
Assets and liabilities such as debt futures contracts and other investments.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with the requirements of the Enterprise
Accounting Standards and relevant regulations of regulatory authorities.
（1） For the investment varieties with active market and the same quoted price of assets or liabilities, they are under evaluation
If there is a quotation on the duty day, the quotation shall be applied to
The fair value measurement of the asset or liability. There is no quotation on the valuation date and there is no impact on fairness after the latest transaction date
For major events measured by value, the quoted price on the latest trading day shall be used to determine the fair value. Sufficient evidence
If it indicates that the quotation on the valuation date or the latest trading day cannot truly reflect the fair value, the quotation shall be adjusted
The fair value shall be determined.
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
Value, and consider the influence of different characteristic factors in the valuation technology. Characteristic refers to the sale of assets or
Restrictions on use, etc. If the restrictions are for asset holders, then the
Limitations are considered as characteristics. In addition, the fund manager should not consider that due to its large holding of relevant assets or liabilities
The resulting premium or discount.
（2） For investment varieties that do not have an active market, they should be suitable and sufficient for the current situation
The fair value can be determined by valuation techniques supported by data and other information. Using valuation techniques to determine the company
When the allowable value is available, the observable input value should be used preferentially, and only when the relevant assets or liabilities cannot be obtained
The unobservable input value can be used only when the input value or acquisition is impractical.
（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%
Adjust the valuation and determine the fair value.
Fund contract of CSCI quantitative stock selection equity securities investment fund
4、 Valuation method
（1） General Provisions on Valuation Methods
1. Securities (including stocks, etc.) listed on the stock exchange shall be listed on the stock exchange on the valuation date
Valuation of market price (closing price); There is no transaction on the valuation date, and the economic environment has not changed since the most recent transaction date
In case of major changes or no major event affecting the securities price occurs to the securities issuer
Price (closing price) valuation; If the economic environment has changed significantly after the recent trading day or the securities issuer
In case of major events affecting the securities price, reference can be made to the current market price and major changes of similar investment varieties
Factor, adjust the market price of the latest transaction and determine the fair price.
2. 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 evaluation
Value;
(2) For the initial public offering of unlisted shares, the fair value is determined using valuation techniques
If it is difficult to reliably measure the fair value, it shall be valued at cost;
(3) Shares with a certain period of restricted sale period specified at the time of issuance, including but not limited to non-public shares
Tickets, the company's shareholders' public offering of shares during the initial public offering, and the limited sales obtained through block trading
Stocks in the period, excluding tradable restricted stocks such as suspended shares, newly issued unlisted shares, pledged bonds in repurchase transactions
The fair value shall be determined according to the relevant regulations of the regulatory authority or industry association.
3. Non equity fixed income varieties that have been listed for trading or listed for transfer (otherwise specified in the Fund Contract
Except), select the valuation price of the corresponding variety provided by the third-party valuation agency on the valuation date for valuation
Value.
4. Fixed income varieties with rights that have been listed for trading or listed for transfer (unless otherwise specified in the Fund Contract
Select the unique valuation price or recommendation of the corresponding variety provided by the third-party valuation agency on the valuation date
Valuation price. For fixed income varieties including the investor's right to put back, if the right to put back is exercised
Select the corresponding varieties provided by the third-party valuation benchmark service agency between the resale registration date and the actual collection date
Unique valuation price or recommended valuation price. Failing to exercise the right of resale after the deadline (including the date) of the registration period of resale
The valuation is based on the valuation price corresponding to the long outstanding period.
5. For publicly issued convertible bonds and exchangeable bonds listed on the exchange market
For bonds with equity conversion in the active market that are traded at full price, the closing price on the valuation date shall be selected for valuation;
Fund contract of CSCI quantitative stock selection equity securities investment fund
For net price transactions, the closing price on the valuation date shall be selected and the corresponding pre tax accrued interest shall be added for valuation. Valuation
If there is no transaction on the day, and the economic environment has not changed significantly since the most recent transaction day, and full price transaction is implemented,
Select the closing price of the latest trading day for valuation; For net price trading, select the closing price of the latest trading day and
The corresponding pre tax accrued interest is added for valuation.
6. For unlisted or unlisted fixed income varieties, if there is an active market,
The unadjusted quotation in the active market shall be taken as the fair value on the valuation date; For active market quotation
If it can represent the fair value on the valuation date, the market quotation should be adjusted to confirm the fair value on the valuation date
Value; If there is no active market, it should be applicable and profitable in the current situation
The fair value is determined by valuation techniques supported by data and other information.
7. 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.
8. If the Fund participates in the financing business, it shall comply with the relevant laws and regulations, the relevant regulations of the regulatory authorities and industry associations
Relevant regulations.
9. Where the Fund invests in time deposits and negotiated deposits, they shall be listed as principal and withdrawn daily at the corresponding interest rate
Accrued interest. If the interest withdrawn in advance is damaged, it shall be estimated according to the mutual recognition of the Fund Manager and the Fund Custodian
Value technology valuation.
10. Valuation of stock index futures contracts and treasury bond futures contracts
(1) The stock index futures contracts invested by the Fund are generally valued at the settlement price on the valuation day, and the valuation should be
If there is no settlement price on the day, and the economic environment has not changed significantly since the latest trading day, the latest trading day shall be adopted
Valuation of settlement price;
(2) The treasury bond futures contracts invested by the fund are generally valued at the settlement price on the valuation day, and the valuation should be
If there is no settlement price on the day, and the economic environment has not changed significantly since the latest trading day, the latest trading day shall be adopted
Valuation of settlement price.
11. The valuation of the Fund's investment depositary receipts shall be calculated in accordance with the domestic legally issued and listed stocks
that 's ok.
12. 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, determine the price that best reflects the fair value
Valuation.
Fund contract of CSCI quantitative stock selection equity securities investment fund
13. In case of large purchase or redemption, the fund manager can adopt the swing pricing mechanism,
To ensure the fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws, regulations and supervision
Provisions of the administrative department and self-discipline rules.
14. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there is anything new
The valuation is based on the latest national regulations.
（2） Special Provisions on Valuation Methods
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method specified in the fund contract
If the procedures and relevant laws and regulations fail to fully protect the interests of fund share holders
Inform the other party, find out the reason together, and the two parties will solve it through consultation.
According to relevant laws and regulations, the obligation of calculating the net asset value of the fund and accounting of the fund is managed by the fund
People bear. The fund manager is the fund accounting responsible party of the Fund, so it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality
See, according to the calculation result of the fund manager on the net value of the fund, it shall be published to the public.
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 the fifth digit after the decimal point shall be rounded off
And the resulting errors shall be included in the fund assets. The fund manager can set up the net amount under the circumstance of large redemption
For the emergency adjustment mechanism of value accuracy, please refer to the relevant announcements of the Fund Manager at that time. National laws and regulations
If there are other provisions, such provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund and the net value of the two types of fund units on each working day, and shall comply with the regulations
Final announcement.
2. The Fund Manager shall evaluate the assets of the Fund on each working day. However, the Fund Manager shall
Except when the valuation is suspended in accordance with the provisions of the Regulations or the Fund Contract. The fund manager assesses the fund assets every working day
After that, the net value results of the two types of fund units will be sent to the fund custodian,
The Fund Manager shall publish it to the public as agreed.
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
The accuracy and timeliness of the value. When the net value of Class A or Class C fund units of the Fund is within 4 decimal places
(including the fourth) In case of valuation error, it shall be deemed that the net value of such fund units is wrong.
Fund contract of CSCI quantitative stock selection equity securities investment fund
The parties to this 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
Where the error in valuation is caused by the fault of the sales agency or the investor itself, causing losses to other parties,
The person responsible for the fault shall be liable for the direct loss of the party suffering losses due to the valuation error ("the injured party")
If it fails to comply with the following "Principles for Handling Valuation Errors", it shall be compensated and liable for compensation.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
Data calculation error, system failure error, order issuing 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 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
Dan; Loss caused to the parties due to the failure of the responsible party to timely correct the valuation errors that have occurred
The party responsible for the valuation error shall be liable for the direct loss; If the responsible party for the valuation error has been active
And the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall
And bear corresponding liability for compensation. The party responsible for the valuation error shall confirm the correction to the relevant parties
Insurance valuation errors have been corrected.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the relevant parties, not for the indirect losses
And 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 improper benefits does not return
The loss of interests of other parties caused by returning or not returning all the unjust enrichment ("the injured party"), then the valuation
The party responsible for the error shall compensate the loss of the injured party, and shall, within the scope of the amount of compensation paid
The benefited party has the right to demand the delivery of unjust enrichment; If the party obtaining the unjust enrichment has
If the unjust enrichment is returned to the injured party, the injured party shall add the amount of compensation it has already received
The difference between the total of the returned unjust enrichment and the actual loss shall be paid to the valuation error liability
Fang.
(4) Valuation error adjustment adopts the method of recovering to the correct situation assuming no valuation error
Formula.
3. Valuation error handling procedure
Fund contract of CSCI quantitative stock selection equity securities investment fund
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 reaches 0.25% of the net value of fund units, the fund manager shall notify the fund trust
And report to the CSRC for filing; When the error deviation reaches 0.5% of the net value of fund units, the fund manager
It shall be announced and reported to the CSRC for record.
(3) When the calculation error of the net value of fund units causes losses to the funds and fund unit holders
In case of compensation, the Fund Manager and the Fund Custodian shall define the responsibilities undertaken by both parties according to the actual situation
After recognition, compensation shall be made according to the following terms:
1) The Fund Manager shall be responsible for the accounting of the Fund
If the two parties cannot reach an agreement after full discussion on the basis of equality
It is recommended to implement. The Fund Manager shall be responsible for the losses caused to the Fund Unitholders and the Fund property
Compensation.
2) If the net value of the Fund units calculated by the Fund Manager has been reviewed and confirmed by the Fund Custodian and announced
If this causes losses to fund share holders, they shall pay to investors or funds in accordance with laws and regulations
As for the compensation actually paid to investors or funds, the Fund Manager and the Fund Custodian shall
Respectively bear corresponding responsibilities according to the degree of fault.
3) For example, the calculation results of the fund manager and the fund custodian on the net value of fund units, although repeated
Calculate and check. If no agreement can be reached, in order to avoid failing to publish the net value of fund units on time,
Fund contract of CSCI quantitative stock selection equity securities investment fund
Losses caused to fund share holders and the fund due to the disclosure of the calculation results of the fund manager
In case of loss, the fund manager shall be responsible for compensation.
4) Due to the information error provided by the fund manager (including but not limited to the fund purchase or redemption amount
And so on), resulting in the calculation error of the net value of fund units
The loss shall be compensated by the fund manager.
(4) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions. If line
The Fund Manager and the Fund Custodian shall act on the basis of equality and protect the Fund Unitholders in accordance with other common practices in the industry
The principle of interests.
7、 Suspension of valuation
1. The securities/futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure
Hour;
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 the CSRC and the fund contract.
8、 Recognition of net fund value
The net asset value of the Fund and the net value of two types of fund units shall be calculated by the Fund Manager, and the Fund Custodian shall bear
Responsible for review. The Fund Manager shall calculate the net asset value of the Fund on each working day after the end of trading
And the net value of two types of fund units and send them to the fund custodian. The Fund Custodian rechecks and confirms the net value calculation result
After confirmation, it will be sent to the fund manager, who will publish the net value of the fund as agreed.
9、 Handling of special cases
1. The Fund Manager or the Fund Custodian shall carry out the valuation according to Item 12 of the valuation method specified in the Fund Contract
During valuation, the errors caused shall not be treated as errors in the valuation of fund assets;
2. Due to force majeure, or due to securities/futures exchanges, registration and clearing institutions, deposit banks
The Fund Manager and Fund Custodian have taken necessary measures to
If necessary, appropriate and reasonable measures are taken to check, but the error is not found, the resulting fund shares
The Fund Manager and the Fund Custodian are exempt from liability for compensation due to the calculation error of the amount and net value, but the Fund Manager, the Fund Custodian
The fund custodian shall actively take necessary measures to mitigate or eliminate the impact caused thereby.
Fund contract of CSCI quantitative stock selection equity securities investment fund
10、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, it shall evaluate the assets of the main pocket account in accordance with the provisions of this Part 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.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XV 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 fee;
4. Information disclosure fees related to the Fund after the Fund Contract takes effect;
5. Accounting fees, attorney fees, arbitration fees and litigation related to the Fund after the Fund Contract comes into force
Fees;
6. Expenses for the general meeting of fund share holders;
7. Securities/futures trading expenses of the Fund;
8. Bank transfer fees of the Fund;
9. Fund account opening fees and account maintenance fees;
10. In accordance with the relevant provisions of the State and the Fund Contract
His expenses.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at an annual fee rate of 1.20% of the net asset value of the Fund on the previous day. Calculation of management fee
The calculation method is as follows:
H1 ＝ E × 1.20% ÷ days of the year
H1 is the fund management fee accrued daily
E is the net asset value of the fund on the previous day
The fund management fee is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian and the Fund Manager have verified that there is no error, the Fund Custodian shall, in accordance with the method agreed with the Fund Manager
A lump sum payment shall be made from the fund property to the fund manager within the first three working days of the next month. In case of legal holidays
Day, public holiday, etc., the payment date shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. Custody fee
The calculation method is as follows:
Fund contract of CSCI quantitative stock selection equity securities investment fund
H2 ＝ E × 0.20% ÷ days of the year
H2 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 calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian and the Fund Manager have verified that there is no error, the Fund Custodian shall, in accordance with the method agreed with the Fund Manager
One time withdrawal from the fund property within the first three working days of the next month. In case of legal holidays, public holidays, etc,
The payment date shall be postponed.
3. Fund sales service fee
There is no sales service fee for Class A fund units of the Fund, and annual sales service fee for Class C fund units
The rate is 0.40%. The fund sales service fee will be used exclusively for the sale of the fund and the service of fund share holders
Business.
The sales service fee for Class C fund units is calculated at the annual fee rate of 0.40% of the net asset value of Class C fund on the previous day
Raise. The calculation method is as follows:
H3 ＝ Ec × 0.40% ÷ Days in the current year
H3 is the daily accrued sales service fee for Class C fund units
Ec is the net asset value of the fund on the day before Class C fund shares
The sales service fee is calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian and the Fund Manager have verified that there is no error, the Fund Custodian shall, in accordance with the method agreed with the Fund Manager
The fund property shall be paid to the registration authority in a lump sum within the first three working days of the next month. Sales service fee is registered by
The agency collects and pays to the fund sales agency in accordance with the relevant contract. In case of legal holidays and public holidays
And the payment date shall be postponed.
4. Items 4-11 of the above "I. Types of fund expenses" are subject to relevant laws and regulations
According to the agreement, the actual amount of expenses shall be included in the current expenses, which shall be disbursed from the fund assets by the fund custodian
Pay.
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;
Fund contract of CSCI quantitative stock selection equity securities investment 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 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
For the management fee, please refer to the prospectus.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
Execution. The relevant taxes on the investment of fund assets shall be borne by the fund share holders, and the fund manager or its
His withholding agent shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
The balance after relevant expenses. The realized income of the fund refers to the balance after the fund profit minus the income from changes in fair value
Eh.
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. On the premise of meeting the conditions for fund dividends, the Fund Manager may, according to the actual situation
The specific distribution plan shall be subject to the announcement. If the Fund Contract takes effect less than 3 months ago, it may not
Income distribution;
2. 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
Yes, the default income distribution method of the Fund is cash dividends;
3. After the distribution of fund income, the net value of two types of fund units cannot be lower than the par value, that is, the fund income distribution benchmark
The net value of the two types of fund units on the day should not be lower after deducting the income distribution amount of each fund unit
At par;
4. The fees charged for the two types of fund units of the Fund are different, and the corresponding distributable income may be
Different. Each fund unit of the same category of the Fund has the same right of income distribution;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Provided that it does not violate laws and regulations and has no material adverse impact on the interests of fund share holders,
The Fund Manager may, upon consensus with the Fund Custodian, carry out the relevant business rules on the distribution of fund income
Adjust and timely announce.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
Fund contract of CSCI quantitative stock selection equity securities investment fund
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian within 2 days
Announce 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. When
When the investor's cash dividend is less than a certain amount, which is insufficient to pay the bank transfer or other handling fees
The fund registration institution may automatically convert the cash dividends of fund share holders into corresponding fund shares. red
The calculation method of reinvestment 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. See the prospectus for details
Definitely.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XVII Accounting and Audit 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 meeting
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 written or electronic form.
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 issued by the accounting firm and its certified public accountants as prescribed by the Securities Law of the Republic of China
Conduct 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 within 2 days.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures and the Information Disclosure Office
Law of the People's Republic of China, 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 holding of call fund units
The fund share holders of the general meeting and other laws and regulations as well as the natural persons, legal persons and illegal persons stipulated by the CSRC
Human organization.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and
Disclose fund information in accordance with laws and regulations and the provisions of the CSRC, and ensure the authenticity and accuracy of the information disclosed
Integrity, timeliness, conciseness and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC
Information is disclosed through national newspapers and periodicals that meet the requirements of the CSRC
Referred to as "regulated newspapers and periodicals") and Internet websites specified in the Information Disclosure Measures (hereinafter referred to as "regulated websites")
Station) and other media, and ensure that the fund investors can follow the time and party agreed in the Fund Contract
To consult or copy publicly disclosed information.
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 articles of any natural person, legal person or unincorporated organization
Character;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. If a foreign language text is used at the same time
The obligor of information disclosure shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
The Chinese text shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the monetary unit is the people
RMB.
Fund contract of CSCI quantitative stock selection equity securities investment fund
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Prospectus, Fund Contract, Fund Custody Agreement, Fund Product Profile
want
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract
The rules and specific procedures for the convening of the general meeting of fund share holders, specifying the characteristics of the fund products and other related funds
Legal documents on matters of major interests of 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 and services of fund share holders. After the Fund Contract comes into effect
In case of major changes in information, the Fund Manager shall update the Prospectus within three working days
And posted on the specified website; If other information in the prospectus changes, the fund manager shall at least
It is updated once a year. 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 fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
4. The fund product information summary is a summary document of the fund prospectus, which is used to provide investors with a brief summary
General information 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, within three working days, update the summary of fund product information and publish it on the
Stipulate websites and websites or business outlets of fund sales agencies; Other information in the fund product profile changes
Moreover, the fund manager shall be updated at least once a year. If the operation of the fund is terminated, the fund manager will not update it
Summary of fund product information.
After the application for fund raising is registered with the CSRC, the fund manager will sell the fund units within three days
The Fund Unit Offering Announcement, the indicative announcement of the Fund Prospectus and the indicative announcement of the Fund Contract
The announcement shall be published in the specified newspapers and periodicals, and the fund unit sale announcement, fund prospectus, fund product information
The information summary, fund contract and fund custody agreement are published on the specified website, and the fund product information summary
Published on the website or business outlet of the fund sales agency; The Fund Custodian shall simultaneously
The fund custody agreement is published on the website.
（2） Fund Unit Offering Announcement
Fund contract of CSCI quantitative stock selection equity securities investment fund
The Fund Manager shall prepare an announcement on the sale of fund units in respect of the specific matters concerning the sale of fund units, and shall publish the announcement on the
The prospectus is 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 confirmation document from the CSRC, publish on the specified media
Announcement of the effectiveness of the Golden Contract.
（4） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager
The net value of fund shares and the accumulated fund shares of two types of fund shares shall be disclosed at least once a week on the specified website
Net value.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of the day, disclose two types of open days through the specified website, fund sales agency website or business outlets
The net value of fund units and the cumulative net value of fund units.
The Fund Manager shall disclose on the prescribed website no later than the next day after the last day of the half year and the year
The net value of fund units and the cumulative net value of fund units of the two types of fund units in the half year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall specify the Fund in the Fund Contract, Prospectus and other information disclosure documents
Calculation method of share subscription and redemption price 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, within three months from the end of each year, complete the annual report of the Fund and
The annual report shall be published on the specified website, and the advisory announcement of the annual report shall be published on the specified newspaper. base
The financial and accounting report in the annual financial report shall be subject to
Audit by accounting firm.
The Fund Manager shall prepare and complete the interim report of the Fund within two months from the end of the first half of the year,
Publish the interim report on the specified website, and publish the indicative announcement of the interim report 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
Report, publish the quarterly report on the specified website, and publish the suggestive announcement of the quarterly report on the specified newspaper
On.
Fund contract of CSCI quantitative stock selection equity securities investment fund
The Fund Manager may not prepare the current quarterly report
Interim 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 rights and interests of other investors, the fund manager should at least report "affect investors" on a regular basis
Other important information of the decision ", disclose the investor's category, holding shares and proportion at the end of the reporting period
Changes in shares held during the reporting period and the unique risks of the Fund, as well as the special circumstances recognized by the CSRC
except.
The fund manager shall disclose the fund portfolio assets and their
Liquidity risk analysis, etc.
（7） Interim report
If a major event occurs to the Fund, the relevant information disclosure obligor shall prepare an interim report within 2 days
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 of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Agency to handle the accounting, valuation and review of the Fund on its behalf
Item;
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
Person change;
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 changes;
Fund contract of CSCI quantitative stock selection equity securities investment fund
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
Relevant behaviors of custody business are subject to major administrative and criminal penalties;
13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shares
Securities issued by the owner, the actual controller or a company with a significant stake in them or underwritten during the underwriting period
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 reaches 0.5% of the net value of fund units;
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 or potential impact on investor redemption
Hour;
22. Adjust the setting of fund share categories;
23. The Fund Manager adopts the swing pricing mechanism for valuation;
24. After the Fund Contract comes into effect, the Fund shares held by the Fund for 30, 40 and 45 consecutive working days
The number of people is less than 200 or the net asset value of the fund is less than 50 million yuan;
25. The Fund Information Disclosure Obligor believes that it may affect the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact on prices or other matters specified by the CSRC.
（8） Clarification announcement
News appearing in any public media or circulating in the market during the duration of the fund contract
It may have a misleading impact on the price of fund shares or cause major fluctuations, and may damage the fund shares
Fund contract of CSCI quantitative stock selection equity securities investment fund
If the rights and interests of the relevant information disclosure obligor are known, the information shall be disclosed immediately
Qing.
（9） Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund share holders shall be reported to the CSRC for record and made public
Notice.
（10） Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to review the fund assets in accordance with the law
Conduct liquidation and make liquidation report. The fund assets liquidation group shall publish the liquidation report on the specified website
And publish the suggestive announcement of the liquidation report on the prescribed newspapers and periodicals.
（11） Information on participating in stock index futures trading
Where the Fund participates in stock index futures trading, the Fund Manager shall submit quarterly reports, interim reports and annual reports
The stock index futures transactions are disclosed in such documents as regular reports and prospectuses (updates), including
Exchange policies, positions, profits and losses, risk indicators, etc., and fully reveal the impact of stock index futures trading on funds
The impact of the overall risk and whether it conforms to the established investment policy and investment objectives.
（12） Information on participating in treasury bond futures trading
Where the Fund participates in treasury bond futures trading, the Fund Manager shall submit quarterly reports, interim reports and annual reports
The report and other regular reports and the prospectus (update) and other documents disclose the trading of treasury bond futures, including
Trading policies, positions, profits and losses, risk indicators, etc., and fully reveal the basis of treasury bond futures trading
The impact of the overall risk of gold and whether it conforms to the established trading policies and objectives.
（13） Information on investment in asset-backed securities
Where the Fund invests in asset-backed securities, the Fund Manager shall include in the Fund's annual report and interim report
Disclose the total amount of asset-backed securities held by it, the proportion of the market value of asset-backed securities in the net assets of the fund and report
Details of all asset-backed securities during the reporting period. The Fund Manager shall disclose its holdings in the quarterly report of the Fund
The total amount of asset-backed securities, the proportion of the market value of asset-backed securities in the net assets of the fund and the market value at the end of the reporting period
Details of the top 10 asset-backed securities ranked by their value in the proportion of the fund's net assets.
（14） Information on participation in financing business
Where the Fund participates in financing business, the Fund Manager shall submit quarterly, interim and annual reports
The participation in financing transactions, including investment
Capital strategy, business development, profit and loss, risk and management, etc.
Fund contract of CSCI quantitative stock selection equity securities investment fund
（15） 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 and regulations
Information disclosure shall be conducted in accordance with the provisions of the Prospectus. See the provisions of the Prospectus for details.
（16） 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 and designate special departments
And senior managers are responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund letter of the CSRC
Information disclosure content and format standards and other laws and regulations.
The Fund Custodian shall, in accordance with the relevant laws and regulations, the provisions of the CSRC and the Fund Contract
Agree on the net value of fund assets, net value of various fund units and subscription of fund units prepared by the fund manager
Redemption price, regular fund report, updated prospectus, summary of fund product information, fund liquidation
The report and other publicly disclosed relevant fund information shall be reviewed and reviewed, and written or
Electronic confirmation.
The Fund Manager and the Fund Custodian shall choose one of the required newspapers to disclose this Fund Letter
Interest. The Fund Manager and the Fund Custodian shall submit the proposed disclosure to the electronic disclosure website of the CSRC
And ensure the authenticity, accuracy, integrity and timeliness of relevant information submitted.
The Fund Manager and the Fund Custodian may, in addition to disclosing information on the prescribed media according to law
Information shall be disclosed 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 should be consistent.
Issuing audit reports and legal opinions for the fund information publicly disclosed by the fund information disclosure obligor
Professional institutions shall prepare working papers and keep relevant files at least after the termination of the Fund Contract
10 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 relevant laws
The laws and regulations stipulate that the information shall be kept in their respective residences for the public to consult and copy.
8、 Suspension or delay of information disclosure
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related information under the following circumstances
Information:
Fund contract of CSCI quantitative stock selection equity securities investment fund
(1) Force majeure;
(2) Valuation suspension occurs;
(3) Other circumstances stipulated by laws and regulations, recognized by the CSRC or the fund contract.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XIX Change and Termination of Fund Contract and Liquidation of 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
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian shall make an announcement of the change upon their 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,
The resolution shall be announced in the specified media within two days after it takes effect.
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: 30 working days from the date of termination of the Fund Contract
The Fund Manager shall organize the Fund Assets Liquidation Group and report to the CSRC
Fund liquidation shall be conducted under the supervision of.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Regulators, certified public accountants and lawyers qualified to engage in securities related businesses, and those designated by the CSRC
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 and clearing of the Fund assets
Management, 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;
Fund contract of CSCI quantitative stock selection equity securities investment fund
(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 shall be postponed 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 from the fund assets by the fund assets liquidation group in priority.
5、 Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of the fund assets, all remaining assets after the liquidation of the fund assets shall be deducted from the
After the fund assets liquidation expenses, payment of taxes owed and settlement of fund debts
The proportion of fund units shall be distributed.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The fund assets liquidation report has been approved in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the law firm shall issue a legal opinion
Later, it will be reported to the CSRC for filing and announcement. The fund assets liquidation announcement shall be submitted to the China Securities Regulatory Commission in the fund assets liquidation report
The Fund Assets Liquidation Group shall make an announcement within 5 working days after the Regulatory Commission records, and the Fund Assets Liquidation Group shall
When the liquidation report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper
On.
7、 Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for a period not less than that prescribed by laws and regulations
The minimum period specified in the regulations.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
And other laws and regulations or the Fund Contract
If losses are caused, they shall be liable for compensation for their respective acts according to law; Fund property due to joint action
Or fund share holders who cause losses shall be jointly and severally liable for compensation. Compensation for losses, only
It is limited to direct economic losses. However, the party concerned shall be exempted from liability under the following circumstances:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall comply with the then effective laws and regulations or the CSRC's
Losses caused by specified actions or omissions;
3. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss caused, etc.
2、 To protect fund share holders to the greatest extent in case of one or more parties' default
Under the premise of interests, if the Fund Contract can continue to be performed, it shall continue to be performed. Non defaulting party
It is obligated to take necessary measures in a timely manner within the scope of responsibilities to prevent the expansion of losses. Failure to take appropriate measures
If the losses are further expanded as a result of such actions, no claim may be made for compensation for the expanded losses. The non defaulting party prevents losses due to
The reasonable expenses incurred due to expansion shall be borne by the defaulting party.
3、 Business errors due to factors beyond the control of the Fund Manager and the Fund Custodian
Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection
Failure to discover the error, resulting in the loss of fund property or investors, the Fund Manager and the Fund Custodian
Exemption from liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or reduce
Lighten the impact.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XXI Dispute Settlement and Applicable Law
The parties agree that all matters arising from or related to the Fund Contract
Disputes, if not settled through friendly negotiation, shall be submitted to Beijing Arbitration Commission according to the then effective
The arbitration shall be conducted in Beijing according to the arbitration rules. The arbitral award shall be final and binding upon all parties
It is binding. Unless otherwise specified in the arbitration award, the arbitration fee shall be borne by the losing party.
During the dispute settlement period, the Fund Manager and the Fund Custodian shall strictly abide by their respective responsibilities, continue to be faithful
Fulfill the obligations specified in the Fund Agreement diligently and responsibly, and safeguard the legitimate rights and interests of the Fund Unitholders.
The Fund Contract is governed by the laws of China (for the purpose of this Fund Contract, excluding the laws of Hong Kong, Macao and Taiwan)
Jurisdiction and interpretation.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XXII Effect of Fund Contract
The Fund Contract is a legal document that stipulates the rights and obligations between the parties to the Fund Contract.
1. The Fund Contract has been sealed by the Fund Manager and the Fund Custodian and the legal representatives of both parties
Or the authorized representative shall sign or seal and handle the fund reserve with the CSRC through the fund manager after the end of the offering
The procedures of the case shall come into force upon the written confirmation of the CSRC.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the time when the liquidation results of the Fund assets are reported to the CSRC
Until the date of filing and announcement.
3. From the effective date of the Fund Contract, the Fund Manager, Fund Custodian and Fund Units
All parties to the Fund Contract including the holder shall have the same legal binding force.
4. The original of the Fund Contract is in triplicate. In addition to one copy submitted to the relevant regulatory authority, the Fund Manager
One copy is held by the Fund Custodian, and each copy has the same legal effect.
5. The Fund Contract can be printed in a volume for investors to sell in the Fund Manager, Fund Custodian
Check the office and business premises of the institution.
Fund contract of CSCI quantitative stock selection equity securities investment fund
Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall comply with relevant laws and regulations
Negotiate.