Custody Agreement of Wells Fargo Vision Value Hybrid Securities Investment Fund
Fund Manager: Fullrich Fund Management Co., Ltd
Fund Custodian: China Merchants Bank Co., Ltd
Custody Agreement of Wells Fargo Vision Value Hybrid Securities Investment Fund
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catalog
1、 Parties to the Fund Custody Agreement four
2、 Basis, purpose and principle of fund custody agreement five
3、 Fund Custodian's Business Supervision and Verification of Fund Manager six
4、 The Fund Manager's business verification of the Fund Custodian sixteen
5、 Custody of Fund Assets seventeen
6、 Sending, confirmation and execution of instructions twenty
7、 Transaction, clearing and settlement arrangements twenty-four
8、 Calculation, valuation and accounting of fund net asset value twenty-seven
9、 Fund income distribution twenty-nine
10、 Fund information disclosure thirty
11、 Fund expenses thirty-two
12、 Custody of the Register of Fund Unitholders thirty-three
13、 Preservation of Fund related documents and archives thirty-four
14、 Replacement of Fund Manager and Fund Custodian thirty-five
15、 Prohibited acts thirty-six
16、 Change and termination of custody agreement and liquidation of fund assets thirty-seven
17、 Liability for breach of contract thirty-eight
18、 Dispute resolution thirty-nine
19、 Effectiveness of the Escrow Agreement forty
20、 Other matters forty-one
21、 Signing of Escrow Agreement forty-two
Annex: Regulations on Securities Fund Settlement of Custodian Bank forty-three
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Whereas Fullrich Fund Management Co., Ltd. is a limited liability company legally established and validly existing in accordance with Chinese laws,
Have the qualification and ability to act as a fund manager in accordance with the provisions of relevant laws and regulations, and propose to raise and issue Fuguo Vision Value Mix
Type I Securities Investment Fund (hereinafter referred to as "the Fund" or "the Fund");
Whereas China Merchants Bank Co., Ltd. is a bank legally established and validly existing in accordance with Chinese laws
Having the qualification and ability to act as the Fund Custodian as required by laws and regulations;
In view of Fuguo Fund Management Co., Ltd.'s intention to act as the fund manager of Fuguo Foresight Value Hybrid Securities Investment Fund
Commercial Bank Co., Ltd. plans to act as the fund custodian of Wells Fargo's vision value hybrid securities investment fund;
To clarify the rights and obligations between the fund manager and the fund custodian of Wells Fargo Vision Value Hybrid Securities Investment Fund
This Custody Agreement is hereby formulated;
Unless otherwise agreed, the Fund Contract of Wells Fargo Vision Value Hybrid Securities Investment Fund (hereinafter referred to as the "Fund Contract")
Or "Fund Contract") shall have the same meaning when used in this Custody Agreement
The contract shall prevail.
If the Fund implements the side pocket mechanism, the relevant arrangements during the implementation of the side pocket mechanism shall be in accordance with the
Implementation of regulations.
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1、 Parties to the Fund Custody Agreement
（1） Fund manager (also called "asset manager")
Name: Fullrich Fund Management Co., Ltd
Domicile: 27-30/F, Block 2, Shijihui Office Building, No. 1196, Shiji Avenue, China (Shanghai) Pilot Free Trade Zone
Office address: 27-30/F, Block 2, Shijihui Office Building, No. 1196, Shiji Avenue, China (Shanghai) Pilot Free Trade Zone
Postal code: 200122
Legal representative: Pei Changjiang
Time of establishment: April 13, 1999
Approved by: China Securities Regulatory Commission
Approval No. of establishment: Zheng Jian Ji Jin Zi [1999] No. 11
Organizational form: limited liability company
Registered capital: 520 million yuan
Duration: continuous operation
Business scope: publicly offered securities investment fund management, fund sales, and specific customer asset management.
（2） Fund Custodian (also known as "Asset Custodian")
Name: China Merchants Bank Co., Ltd. (hereinafter referred to as "China Merchants Bank")
Address: China Merchants Bank Building, No. 7088, Shennan Avenue, Shenzhen
Office address: China Merchants Bank Building, No. 7088, Shennan Avenue, Shenzhen
Postal code: 518040
Legal representative: Miao Jianmin
Time of establishment: April 8, 1987
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2002] No. 83
Organizational form: limited liability company
Registered capital: 25.22 billion yuan
Duration: continuous operation
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2、 Basis, purpose and principle of fund custody agreement
（1） Basis for entering into custody agreement
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the "Fund Law"), the Public Offering Certificate
Management Measures for the Operation of Securities Investment Funds (hereinafter referred to as "Operation Measures")
Provisions on the Management of Sexual Risk (hereinafter referred to as the "Provisions on the Management of Liquidity Risk"), Information Disclosure Management of Publicly Offered Securities Investment Funds
The Administrative Measures (hereinafter referred to as the "Information Disclosure Measures") and other relevant laws and regulations, fund contracts and other relevant provisions are formulated.
（2） Purpose of entering into custody agreement
The purpose of entering into this Agreement is to clarify the custody, investment operation
Rights, obligations and responsibilities in matters related to net worth calculation, income distribution, information disclosure and mutual supervision to ensure fund assets
And protect the legitimate rights and interests of fund share holders.
（3） Principles for entering into custody agreement
The Fund Manager and the Fund Custodian shall fully protect the legitimate rights and interests of the Fund Unitholders on the basis of equality, voluntariness, honesty and credibility
This agreement is signed by consensus.
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3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Investment proportion, investment restrictions, related party transactions, etc.
1. The investment scope of the Fund is:
The investment scope of the Fund is financial instruments with good liquidity, including stocks issued and listed in China according to law (including
Main board, science and technology innovation board, GEM and other stocks permitted to be issued by the CSRC), Hong Kong stock general underlying stocks, depositary receipts
Bonds (including government bonds, local government bonds, financial bonds, corporate bonds, government supported bonds, government supported institutional bonds
Subordinated bonds, convertible bonds, separately traded convertible bonds, central bank notes, medium-term notes, short-term financing bonds (including ultra short-term
Financing bonds), exchangeable bonds), asset-backed securities, bond repurchase, bank deposits (including time deposits, negotiated deposits
Call deposits, etc.), inter-bank deposit receipts, stock index futures, credit derivatives, treasury bond futures, stock options, and laws and regulations or China
Other financial instruments that the CSRC allows the Fund to invest in (subject to the relevant provisions of the CSRC).
If laws and regulations or regulatory authorities allow the Fund to invest in other varieties in the future, the Fund Manager may, after performing appropriate procedures
To include it in the scope of investment.
2. The investment proportion and investment restrictions of various varieties of the Fund are:
The proportion of the Fund's investment portfolio is: 60% - 95% of the Fund's assets are invested in the Fund's stocks and depositary receipts (of which,
The shares of Hong Kong Stock Connect accounted for 0% - 50% of the stock assets); At the end of each trading day, stock index futures contracts and treasury bonds are deducted
Cash or government bonds with a maturity date of less than one year after the transaction margin required to be paid for goods contracts and stock option contracts are not low
5% of the net asset value of the Fund, of which cash does not include settlement provisions, deposits and subscription receivables.
If the laws and regulations or the regulatory authority have changed the requirements of this proportion, after performing the appropriate procedures, the changed proportion
The investment proportion of the Fund will be adjusted accordingly.
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of investment in the Fund's stocks and depositary receipts accounts for 60% - 95% of the Fund's assets (including investment in Hong Kong stocks
The proportion of shares of SGCC accounted for 0% - 50% of stock assets);
(2) At the end of each trading day of the Fund, after deducting stock index futures contracts, treasury bond futures contracts and stock option contracts
After the transaction margin is paid, the cash or government bonds with a maturity date of less than one year shall be kept no less than 5% of the net asset value of the fund,
Cash does not include provisions for settlement, deposits and subscription receivables;
(3) The Fund holds securities issued by a company (total A+H shares of the same company listed in the Mainland and Hong Kong at the same time
Calculation), whose market value does not exceed 10% of the net asset value of the fund;
(4) All funds managed by the Fund Manager hold securities issued by one company (the same company is in the Mainland and Hong Kong
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A+H shares listed at the same time), not more than 10% of the securities; All open-ended funds managed by the Fund Manager (including
Including open-end funds and regular open-end funds in the open period) shall not hold tradable shares issued by a listed company
More than 15% of the tradable shares of the listed company; All investment portfolios managed by the Fund Manager are issued by a listed company
Of the tradable shares of the listed company shall not exceed 30% of the tradable shares of the listed company, and the certificate shall be issued in full accordance with the composition ratio of the relevant index
The fund variety of securities investment and the special investment portfolio recognized by the CSRC may not be subject to the proportion limit specified in this article;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed the net asset value of the Fund
10% of;
(6) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed that of such asset-backed securities
10% of the securities scale;
(8) All funds managed by the Fund Manager shall invest in all kinds of asset-backed securities of the same original equity holder, and shall not exceed
Over 10% of the total size of its various asset-backed securities;
(9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB). Fund holdings
During the period of asset backed securities, if its credit rating declines and no longer meets the investment standards, it shall be issued three times from the date of the rating report
Sell all of them within a month;
(10) Fund assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total assets of the Fund
The number of shares declared by the company shall not exceed the total number of shares issued by the company to be issued this time;
(11) The Fund shall comply with the following requirements when participating in the trading of stock index futures and treasury bond futures:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed the net asset value of the Fund
10%； At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed 15% of the net asset value of the Fund;
2) At the end of any trading day, the value of stock index futures and treasury bond futures contracts purchased and the market value of securities held by the Fund
The total shall not exceed 95% of the net asset value of the Fund; Among them, marketable securities refer to stocks and bonds (excluding those with maturity within one year)
Government bonds), 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 the shares held by the Fund
20% of the total market value; At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund shall not exceed the value of futures contracts for selling treasury bonds held by the Fund
30% of the total market value of bonds;
4) The total (netting calculation) of the market value of the stocks held by the Fund and the value of the stock index futures contracts purchased and sold shall be consistent with
Relevant provisions on the proportion of stock investment in the mutual fund contract; Bonds held by the Fund (excluding those with maturity of less than one year
The total (netting calculation) of the market value of government bonds and the value of futures contracts for buying and selling treasury bonds shall comply with the relevant provisions of the fund contract
Relevant agreements on the proportion of bond investment;
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5) The trading amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions) shall not exceed the previous one
20% of the net asset value of the Fund on the trading day; The composition of treasury bond futures contracts traded by the Fund in any trading day (excluding closing positions)
The amount paid shall not exceed 30% of the net asset value of the fund on the previous trading day;
(12) The Fund shall comply with the following requirements when participating in stock option trading:
1) The total amount of premium paid and received due to open position option contracts shall not exceed 10% of the net asset value of the Fund;
2) Those who open positions to sell call options shall hold sufficient underlying securities; Where a put option is sold, the contract exercise shall be held
The required full amount of cash or cash equivalents recognized by the rules of the Exchange that can offset the option margin;
3) The par value of the open position option contract shall not exceed 20% of the net asset value of the fund. Wherein, the nominal value of the contract is multiplied by the exercise price
Calculated by contract multiplier;
(13) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(14) The Fund shall not hold credit derivatives with the attribute of credit protection seller, and shall not hold contractual credit derivatives;
(15) The nominal principal of credit derivatives held by the Fund shall not exceed 100% of the face value of the Fund's corresponding protected bonds;
The total nominal principal of various credit derivatives invested in the same credit protection seller shall not exceed 10% of the net asset value of the fund;
Due to factors other than fund managers, such as fluctuations in securities and futures markets, mergers of securities issuers, changes in fund size, etc
If the Fund does not meet the proportion limit specified in the preceding (15), the Fund Manager shall make adjustment within 3 months;
(16) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed 15% of the Fund's net asset value; because
Non conformance of funds due to factors other than fund managers, such as fluctuations in the securities market, stock suspension of listed companies, and changes in fund size
If the proportion is limited, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
(17) The Fund, private equity securities asset management products and other subjects identified by the CSRC carry out reverse return for counterparties
In case of purchase transaction, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the fund contract;
(18) The proportion limit of the Fund's investment in depositary receipts shall be subject to the domestic listed stocks;
(19) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
In addition to the above (2), (9), (14), (15), (16) and (17) cases, due to the fluctuation of the securities/futures market
The fund investment proportion does not meet the above requirements due to factors other than the fund manager, such as the merger of the securities issuer and the change of fund size
The fund manager shall adjust the capital ratio within 10 trading days, except for special circumstances stipulated by the CSRC.
Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months from the effective date of the Fund Agreement, make the proportion of the Fund's investment portfolio conform to the Fund Agreement
Relevant agreements. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract.
The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Agreement.
If laws, regulations or regulatory authorities cancel or change the above restrictions, if applicable to the Fund, the Fund Manager shall
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Thereafter, the investment of the Fund will no longer be subject to relevant restrictions or the changed provisions shall prevail.
3. The assets of the Fund shall not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) 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.
4. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, actual controllers or
Securities issued or underwritten during the underwriting period by a company that has a major interest with it, or engaging in other major connections
The transaction shall conform to the investment objectives and investment strategies of the Fund, follow the principle of giving priority to the interests of fund share holders, and prevent fanning
Conflict of interests, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable market prices. Related transaction must
Obtain the consent of the Fund Custodian and disclose it in accordance with laws and regulations. Major related party transactions shall be submitted to the Board of Directors of the Fund Manager
It was reviewed and approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall, at least every six months
Item.
If laws and regulations or regulatory authorities cancel or adjust the above prohibitive provisions, the Fund Manager shall, after performing appropriate procedures
The Fund may not be subject to the above restrictions or the adjusted regulations, and it is not required to be reviewed by the General Meeting of Fund Unitholders, provided that
Announcement in advance.
（2） The Fund Custodian shall select the Fund Manager in accordance with the provisions of relevant laws and regulations and the Fund Contract
The deposit bank shall supervise. If the Fund invests in fixed deposits with banks, the Fund Manager shall, in accordance with the provisions of laws and regulations and the Fund
The list of all eligible deposit banks shall be determined and provided to the Fund Custodian in a timely manner
It shall be used to supervise whether the counterparties of fund investment bank deposits comply with relevant regulations. For unqualified silver
For bank deposits, the Fund Custodian may refuse to execute and notify the Fund Manager.
The investment bank deposits of the Fund shall comply with the following provisions:
1. The proportion of the Fund's investment in fixed term bank deposits shall not exceed 30% of the net asset value of the Fund, but the investment in
Deposit term, bank deposits that can be withdrawn in advance according to the agreement are not subject to the above proportion restrictions; Invest in the assets of the fund custodian
The total proportion of bank deposits and interbank deposit receipts of the same commercial bank in the net asset value of the fund shall not exceed 20%; invest in
The total proportion of bank deposits and interbank deposit receipts of the same commercial bank without the qualification of fund custodian in the net asset value of the fund is not
Must exceed 5%.
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Relevant laws and regulations or regulatory authorities formulate or modify new fixed deposit investment policies, and the Fund Manager performs appropriate procedures
After that, the provisions on portfolio restrictions can be adjusted accordingly.
2. The Fund Manager is responsible for evaluating and studying the deposit banks of the Fund, establishing and improving the business process and post of bank deposits
Responsibilities, risk control measures and supervision and audit system to effectively prevent relevant risks. The Fund Custodian is responsible for the Bank of the Fund
Supervision and verification of time deposit business, review and review of relevant agreements, account information, investment instructions, deposit certificates, etc
Relevant documents, and earnestly perform the trusteeship responsibilities.
(1) The fund manager is responsible for controlling credit risk. The credit risk mainly includes the credit rating of the deposit bank and the deposit bank
The payment ability of the bank is related to the risk of deposit bank selection. In case of loss of fund property due to improper selection of deposit bank,
The Fund Custodian shall not be liable.
(2) The fund manager is responsible for controlling liquidity risk. The Fund Custodian shall not be liable for losses caused by ineffective control
Ren. Liquidity risk mainly includes bank deposits required by the fund manager to fully withdraw in advance, partially withdraw in advance or withdraw at maturity
The risk that the bank fails to honor in time, the risk that the fund investment bank deposit cannot meet the normal settlement business of the fund, and the risk that all funds are in advance
The interest loss involved in withdrawal or partial withdrawal in advance affects the valuation and other risks related to fund liquidity.
(3) The fund manager shall strengthen the construction of internal risk control system. If the fund manager's job behavior results in
In case of any loss of gold property, the fund manager shall bear the resulting loss.
(4) The Fund Manager and the Fund Custodian shall strictly abide by the Fund Law and the Operation Office when carrying out the fund deposit business
Law of the People's Republic of China and other relevant laws and regulations, as well as various national regulations on account management, interest rate management, payment and settlement.
（3） Signing of fund investment bank deposit agreement, account opening and management, investment instruction and fund transfer, account verification
Right, due payment, early withdrawal
1. Signing of the Fund Investment Bank Deposit Agreement
(1) The Fund Manager shall sign the Overall Contract for Fund Deposit Business with the head office of a qualified deposit bank or its authorized branch
Make an agreement (hereinafter referred to as the "Overall Cooperation Agreement") to determine the format model of the "Deposit Agreement". Overall Cooperation Agreement
The format of the Deposits Agreement and the Deposits Agreement shall be jointly agreed by the Fund Custodian and the Fund Manager.
(2) The Fund Custodian shall review the contents of the Overall Cooperation Agreement and the Deposit Agreement in accordance with relevant laws and regulations,
Review the qualification of deposit bank, etc.
(3) The Fund Manager shall specify in the Deposit Agreement the handling method of the deposit certificate or other valid deposit certificates
After the mailing address, contact person and telephone number, as well as the deposit certificate or other valid vouchers are lost in the mailing process
Confirmation and payment method of balance, etc.
(4) The deposit shall be sent or delivered by the branch designated by the deposit bank for deposit (hereinafter referred to as "deposit branch")
If the deposit certificate or other valid deposit certificates are delivered, the fund custodian may issue the balance of deposits to the superior bank of the deposit branch
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The deposit branch and its superior bank shall cooperate with the confirmation letter.
(5) The Fund Manager shall stipulate in the Deposit Agreement that all funds due for deposit or cashed in advance shall be transferred
Transfer to the designated fund custody account, and specify the account name and account number in the Deposit Agreement. If it is not transferred to the designated account,
The deposit bank shall bear all responsibilities.
(6) The Fund Manager shall specify in the Deposit Agreement that during the deposit period, such as the Bank Account of the Fund and the reserved seal
In case of any change, the Fund Manager shall promptly notify the depository bank in writing, and the written notice shall be stamped with the seal reserved by the Fund Custodian. deposit
The branch shall timely issue a formal written confirmation to the fund manager and the fund custodian regarding the change. Delivery of change notice
The delivery method is the same as the account opening procedures. During the deposit period, the designated contact person of the deposit branch and the fund custodian shall be timely stamped
Inform the other party in writing with official seal.
(7) The Fund Manager shall stipulate in the Deposit Agreement that the certificates of deposit arising from time deposits shall not be pledged or held as
The mortgage shall not be used for transfer or endorsement.
2. Account opening and management when the fund invests in bank deposits
(1) When the Fund invests in bank deposits, the Fund Manager shall, in accordance with the General Agreement signed between the Fund Manager and the deposit bank
Cooperation Agreement, Deposit Agreement, etc., opened in the name of the fund at the head office of the deposit bank or the branch designated by the authorized branch
Establish a bank account.
(2) The reserved seal of the Fund when investing in bank deposits shall be kept and used by the Fund Custodian.
3. Transfer of deposit certificates, account verification and due cashing
(1) Transfer of deposit certificates such as deposit certificates
Deposit funds can only be deposited in the branch designated by the head office of the deposit bank or its authorized branch. The Fund Manager shall enter a deposit in the
It is stipulated in the Agreement of the Depository Bank that the branch office of the Depository Bank shall issue a deposit certificate or other valid deposit certificates (hereinafter referred to as
"Deposit certificate"), which is a valid certificate for fund deposit confirmation or withdrawal at maturity, and can only be opened for each deposit
With a unique deposit certificate. On the day when the funds arrive at the account, the accounting supervisor designated by the branch of the deposit bank shall fax a copy of the deposit voucher to reply
After the printed copy is confirmed by phone with the Fund Custodian, the original deposit certificate shall be sent by express or delivered to the Fund Custodian
Person designated contact person; If the branch of the deposit bank keeps the deposit voucher on its behalf, the branch of the deposit bank shall appoint the accountant
The custodian shall fax a copy of the deposit certificate and confirm the receipt by telephone with the fund custodian.
(2) Replacement of lost deposit certificates
If the deposit certificate is lost in the process of mailing, the Fund Manager shall apply to the deposit bank for reissue, and the Fund Manager shall
Urge the deposit bank to reissue the deposit certificate as soon as possible, and deliver it to the fund custodian by express delivery or door-to-door delivery in the manner described in (1) above
The payment voucher is automatically voided.
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(3) Reconciliation of accounts
On each working day, the Fund Manager shall check with the Fund Custodian the investment balance and accrued interest of each bank deposit.
The Fund Manager shall stipulate in the Deposit Agreement that the deposit bank shall
Send the statement to the designated person of the Fund Custodian within 5 working days after the end of each quarter. Due to the deposit bank's failure to send the statement
The responsibility for the misappropriation and theft of the funds shall be borne by the deposit bank.
The deposit bank shall cooperate with the fund custodian to inquire about the deposit certificate, and affix the official seal of the deposit bank on the letter of inquiry and send it to
The designated contact person of the Fund Custodian.
(4) Cash at maturity
The Fund Manager shall notify the Fund Custodian in advance to send the original of the deposit certificate to the bank designated by the branch of the deposit bank by express
Accounting supervisor. If the deposit bank has not received the original deposit certificate, it shall inquire with the fund custodian by telephone. Fund management before deposit maturity
The manager and the deposit bank shall confirm the receipt of the deposit certificate and pay the principal and interest of the deposit on the maturity date.
When the Fund Custodian fails to receive the principal and interest of the deposit on the maturity date of the deposit or the amount of the principal and interest of the deposit is inconsistent, it shall notify the Fund Manager to
The debtor bank shall negotiate the time of deposit arrival and the supplementary payment of interest. The Fund Manager shall inform the Fund Custodian of the contact results
The custodian shall notify the fund manager on the day when it receives the principal and interest of the deposit.
The Fund Manager shall stipulate in the Deposit Agreement that the deposit bank shall
That is, notify the Fund Custodian, and after the Fund Custodian affixes its official seal on the copy of the original deposit certificate and issues the relevant supporting documents
After the designated accounting supervisor of the deposit bank confirms by telephone, the deposit bank shall transfer the principal and interest of the deposit to the designated fund account on the maturity date
Household. If the due date of deposit is a legal holiday, the deposit bank shall postpone the payment to the first working day after the due date. The deposit bank shall
The deferred interest shall be paid according to the interest rate agreed in the Deposit Agreement and the actual number of days of delay.
4. Withdrawal in advance
If, during the deposit term, due to the reduction of fund size or the need for liquidity management,
The fund manager may withdraw all or part of the funds in advance.
The specific matters of withdrawal in advance shall be subject to the Deposit Agreement signed between the Fund Manager and the deposit bank.
5. Supervision of fund investment bank deposits
The Fund Custodian finds that the Fund Manager violates the provisions of relevant laws and regulations and the Fund Contract when making deposit investment
The Fund Manager shall be notified in writing to correct within the time limit. Fund Manager to Fund Custodian
If the notified violations are not corrected within the time limit, the Fund Custodian shall report to the CSRC. The Fund Custodian discovers the Fund
If the manager has major violations, it shall immediately report to the CSRC and notify the fund manager to correct or refuse within the time limit
Settlement. If the Fund Manager refuses to implement the settlement and causes losses to the Fund property, the relevant losses shall be borne by the Fund Manager
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The administrator shall not be liable for compensation.
（4） The Fund Custodian participates in the Fund Manager in accordance with the provisions of relevant laws and regulations and the Fund Contract
The inter-bank bond market shall be supervised. The Fund Manager shall provide the Fund Custodian with information in compliance with laws and regulations before the investment and operation of the Fund
List of inter-bank bond market counterparties that are regulated and industry standard, carefully selected and applicable to the Fund, and agree on each transaction
The transaction settlement method applicable to the counterparty. The Fund Manager is responsible for ensuring that the updated list of counterparties is sent to the
The Fund Custodian, otherwise the losses caused thereby shall be borne by the Fund Manager. The Fund Manager shall strictly follow the list of counterparties
In the inter-bank bond market, select counterparties. The Fund Custodian shall supervise whether the Fund Manager has complied with the bank provided in advance
Trading with the list of counterparties in the bond market. During the duration of the Fund, the Fund Manager may adjust the list of counterparties, but
The Fund Custodian shall be notified of the adjustment results in writing at least one working day in advance. Transactions that have been eliminated with this time when the new list is determined
Transactions conducted by counterparties but not yet settled shall still be settled in accordance with the agreement, but no new transactions shall occur. Such as fund management
If the manager temporarily adjusts the list of inter-bank bond counterparties and the settlement method according to market needs, it shall explain the reason to the fund custodian
And negotiate with the Fund Custodian within 3 trading days before the transaction with the counterparty.
The fund manager is responsible for controlling the credit standing of the counterparty, trading according to the trading rules of the inter-bank bond market, and
Responsible for resolving disputes caused by the counterparty's failure to perform the contract. If the counterparties that fail to perform at the time determined by the fund manager
If the Fund Manager has not yet undertaken the liability for breach of contract and other relevant legal liabilities within the period, the Fund Manager shall be responsible for recovering from the relevant counterparties. Gikinto
The custodian supervises the performance of the contract according to the transaction sheet of the inter-bank bond market. If the fund custodian finds that the fund management
The Fund Custodian shall timely remind the Fund Manager that the Fund Custodian
The administrator will not bear any loss and responsibility caused thereby.
（5） The Fund's investment in tradable restricted securities shall comply with the Circular on the Fund's Investment in Non public Issuance of Stocks and Other Restricted Securities
Notice on Issues Related to Securities and other relevant regulatory provisions.
1. The definition of restricted negotiable securities here is not completely consistent with the above definition of restricted liquid assets, including the definition of restricted liquid assets
The non-public issuance of shares and the offline allotment of public issuance of shares regulated by the Administrative Measures for Securities Issuance of the Company are specified at the time of issuance
The tradable securities that are locked for a certain period of time, excluding the securities whose trading is temporarily suspended due to the release of major news or other reasons
Issuance of unlisted securities, pledged bonds in repurchase transactions and other restricted negotiable securities.
The Fund may invest in non-public securities approved by the China Securities Regulatory Commission, and is limited to China Securities Depository and Clearing Corporation Limited
The responsible company, the Central Government Securities Depository and Clearing Co., Ltd. or the Interbank Market Clearing House Co., Ltd. are responsible for registration and deposit
And can be traded in the stock exchange or the national inter-bank bond market.
The Fund shall not invest in non-public securities without the approval of the CSRC.
The Fund shall not invest in securities with an indefinite lock up period.
2. The Fund Manager shall provide the directors of the Fund Manager with
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The investment decision-making process and risk control system for the Fund's investment in restricted negotiable securities approved by the Commission. Private offering of fund investment
For stocks, the Fund Manager shall also provide the liquidity risk disposal plan approved by the Board of Directors of the Fund Manager. The above information shall include
However, it is not limited to the investment quota and investment proportion control of the Fund's investment in restricted securities.
The Fund Manager shall send the above information to the Fund Custodian in writing at least two working days before the first execution of the investment order,
Ensure that the Fund Custodian has enough time to review. The Fund Custodian shall, within two working days after receiving the above information
Confirm receipt of the above materials in writing or in other ways agreed by both parties.
The Fund Manager is responsible for managing the liquidity risk of the Fund's investment in restricted securities and ensuring that relevant risks are actively taken
Effective measures shall be taken to effectively solve the liquidity problem of fund operation within a reasonable time. In case of huge redemption of funds or market issuance
In the event that the cash flow of the Fund is difficult due to drastic changes and other reasons, the Fund Manager shall ensure that sufficient cash is provided to ensure that
Payment settlement. The Fund Custodian shall not be liable for the liquidity risk caused by the Fund's investment in restricted securities.
3. Before the Fund invests in the restricted securities in circulation, the Fund Manager shall provide the Fund Custodian with relevant information that meets the requirements of laws and regulations
Written information, including but not limited to the approval documents of the CSRC, the number of securities to be issued, the issue price
Lock up period, the number of funds to be subscribed, price, total cost, subscription amount to be transferred, time of fund transfer, etc. fund management
I shall guarantee the authenticity and integrity of the above information, and shall submit the above information in writing at least two working days before the proposed implementation of the investment order
To the Fund Custodian to ensure that the Fund Custodian has sufficient time for review.
Due to the Fund Manager's failure to timely provide specific and necessary information on securities, the Custodian is unable to review the subscription index
The Fund Custodian shall be exempted from liability if the transfer of subscription funds is affected by the Order.
4. The Fund Custodian shall review the Fund Manager's investment and circulation restriction certificate in accordance with laws and regulations, the Fund Contract and the Custodian Agreement
The behavior of coupons. If the Fund Manager is found to have violated the Fund Contract, the Custody Agreement and other relevant laws and regulations
In accordance with relevant regulations, the Fund Manager shall be notified in a timely manner and reported to the CSRC, and reasonable measures shall be taken to protect the interests of investors.
The Fund Custodian has the right to give investment instructions to the Fund Manager in violation of laws and regulations as well as the Fund Contract and the Custody Agreement
If the Fund Manager does not correct or has signed a contract on behalf of the Fund, the Fund Manager must
At the time of implementation, the Fund Custodian shall report to the CSRC.
5. The fund manager shall, within two trading days after the fund invests in the non-public offering of shares
The name, quantity, total cost and book value of the non-public offering shares invested by the investors, and the proportion of the total cost and book value in the fund
Information such as proportion of net asset value and lock period.
（6） The fund manager shall study the investment in medium-term notes business and carefully evaluate the risk of medium-term notes investment business
The investment business of medium-term notes shall be carried out in the principle of prudence, diligence and responsibility, and shall comply with laws and regulations and the regulatory authority's
Relevant regulations.
（7） The Fund Custodian shall calculate the net asset value of the Fund in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
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Calculation, calculation of net value of various fund units, determination of fund expenses and income, distribution of fund income, relevant information disclosure
The fund performance data published in Jin's promotional materials are subject to supervision and verification.
（8） The Fund Custodian finds that the above matters and investment orders or actual investment operations of the Fund Manager violate laws and regulations
The Fund Manager shall be informed of the provisions of the Fund Contract and this Custodian Agreement in a timely manner by telephone, email or written prompt
Correct within a time limit. The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision and verification. After the Fund Manager receives the notice
The Fund Custodian shall check and reply to the Fund Custodian in a timely manner. The Fund Manager shall give the received written notice to the Fund Custodian in writing
The person shall send a reply to explain or provide evidence on the Fund Custodian's doubts, and explain the reasons for the violation and the time limit for correction. In the above provisions
Within the time limit, the Fund Custodian has the right to review the notice at any time and urge the Fund Manager to make corrections. Fund manager to base
If the violations notified by the fund custodian fail to be corrected within the time limit, the fund custodian shall report to the CSRC.
（9） The Fund Manager has the obligation to cooperate and assist the Fund Custodian in accordance with laws and regulations, the Fund Contract and this Custodian Agreement
It is suggested to check the fund business. Including but not limited to: the Fund Manager shall, when specifying the prompt to the Fund Custodian
Make internal reply and correct, or explain or provide evidence on the doubts of the Fund Custodian; In accordance with laws and regulations
The Fund Manager shall actively cooperate with the CSRC in matters requiring the submission of fund supervision reports to the CSRC as required by the gold contract and this Custody Agreement
Cooperate to provide relevant data and systems.
（10） If the Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate laws and administrative regulations
And other relevant provisions, or in violation of the provisions of the fund contract, the fund manager shall be notified immediately to make corrections in a timely manner, thereby causing
The Fund Manager shall bear the losses of the Fund, and the Fund Custodian shall be exempted from liability after performing its obligation of timely notification.
（11） If the Fund Custodian finds that the Fund Manager has major violations, it shall report to the CSRC in a timely manner and notify
Inform the fund manager to correct within a time limit.
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4、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of custody duties by the Fund Custodian, including the Fund Custodian
Safe custody of fund assets, opening of fund accounts, securities accounts, futures settlement accounts and other accounts required for investment of fund assets
Review the net asset value of the fund and the net value of various fund units calculated by the fund manager, and handle liquidation and delivery according to the fund manager's instructions
Collect, disclose relevant information and supervise fund investment operations.
（2） The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization, fails to manage the Fund assets separately
The execution or unreasonably delayed execution of the fund manager's fund transfer instructions, disclosure of fund investment information and other violations of the Fund Law and the Fund Agreement
In case of the same, custody agreement and other relevant provisions, the Fund Custodian shall be notified in writing in a timely manner to make corrections within a time limit. Fund Custodian
After receiving the written notice, it shall check in time before the next working day and send a written reply to the fund manager to explain the violation
Cause and correction period, and ensure timely correction within the specified period. The Fund Manager has the right to
Review the notice and urge the Fund Custodian to make corrections.
（3） The Fund Custodian has the obligation to cooperate and assist the Fund Manager in accordance with laws and regulations, the Fund Agreement and this Custodian Agreement
Check the fund business, including but not limited to: the Fund Custodian shall provide a written reminder to the Fund Manager
Reply and correct within the time limit, or explain or provide evidence on the doubts of the fund manager; The Fund Custodian shall actively cooperate in providing
The relevant materials shall be used by the fund manager to verify the integrity and authenticity of the custody property.
（4） If the Fund Manager finds that the Fund Custodian has major violations, it shall report to the CSRC in a timely manner and notify
The Fund Custodian shall make corrections within a time limit and report the results of the corrections to the CSRC.
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5、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
2. The Fund Custodian shall keep the Fund assets in safe custody.
3. The Fund Custodian shall, in accordance with the provisions, open capital accounts, securities accounts and other relevant accounts required for the investment of fund assets.
4. The fund custodian shall set up separate accounts for different fund assets under its custody, manage them separately, and conduct independent accounting to ensure that the fund
Integrity and independence of property.
5. The Fund Custodian shall, in accordance with the instructions of the Fund Manager, keep the Fund assets in accordance with the Fund Contract and this Agreement. not
No asset of the Fund may be used, disposed of or distributed by the Fund Manager on its own with the proper instructions of the Fund Manager. Not belonging to the fund custodian
The Fund Custodian will not accept any damage or loss of assets and physical securities under effective control during the custody of the Fund Custodian
Take the responsibility arising therefrom.
6. For the assets receivable arising from the fund investment, the fund manager shall be responsible for determining the date of receipt with the relevant parties
The Fund Custodian shall also notify the Fund Custodian that if the Fund assets fail to reach the Fund's capital account on the account day, the Fund Custodian shall notify the Fund in a timely manner
The Manager shall take measures to collect funds, and the Fund Manager shall be responsible for recovering the losses of the Fund property from the relevant parties
People should give necessary assistance.
7. Fund funds deposited or deposited by the Fund Custodian in institutions other than the Fund Custodian due to the investment of the Fund Manager
Or the fund assets (including but not limited to the futures margin account) delivered to the futures company or securities company for clearing and settlement
The funds, futures contracts, etc.) and their income due to the fact that such institutions or their member units and other third parties other than the parties to this Agreement
The Fund shall not be liable for the losses caused to the Fund assets due to fraud, negligence, negligence or bankruptcy.
8. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust a third person to custody the Fund assets.
（2） Fund raising period and capital verification of raised funds
1. A "special account for fund raising" shall be opened for the funds raised during the fund raising period. The account shall be opened and managed by the fund manager.
2. When the fund raising period expires or the fund is stopped, the total amount of fund units raised, the amount of fund raised, and the holding of fund units
After the number of personnel meets the relevant provisions of the Fund Law, the Operating Measures and other relevant provisions, the Fund Manager shall transfer all the assets belonging to the Fund
The fund shall be transferred to the fund account opened by the fund custodian for the fund, and the fund manager shall apply for
The accounting firm specified in the Securities Law of the People's Republic of China shall conduct capital verification and issue a capital verification report. Capital verification report issued
The report shall be valid only after being signed by 2 or more Chinese certified public accountants participating in the capital verification.
3. If the fund raising period expires and the conditions for the effectiveness of the fund contract are not met, the fund manager shall handle a refund as required
The Fund Custodian shall provide necessary assistance and cooperation.
（3） Opening and management of fund account
1. The Fund Custodian shall open a fund account (also referred to as "custody account") in its business institution in the name of the Fund,
To keep the bank deposits of the Fund and handle the receipt and payment of funds according to the instructions of the Fund Manager. The name of the escrow account should be "Fuguoyuan"
See "value hybrid securities investment fund" (the product name shall be subject to the final application for registration by the CSRC), and the reserved seal is the fund
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Custodian seal.
2. The opening and use of the Fund's capital account shall be limited to meet the needs of conducting the Fund's business. Fund Custodian and Fund Management
The Manager shall not open any other bank account in the name of the Fund; Nor use any account of the Fund for this Fund
Non business activities.
3. The opening and management of the fund account shall comply with laws and regulations and the relevant provisions of the banking regulatory authority.
（4） Opening and management of fund securities account and settlement provision account
1. The Fund Custodian is located in China Securities Depository and Clearing Corporation Limited Shanghai Branch, Shenzhen Branch and Beijing Branch
Open a securities account jointly named by the Fund Custodian and the Fund for the Fund.
2. The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Fund Custodian and Fund
The Manager shall not lend or transfer any securities account of the Fund without the consent of the other party, nor use any account of the Fund
Conduct activities other than the business of the Fund.
3. The fund custodian shall be responsible for the opening of the fund securities account and the safekeeping of the securities account card, and the management and application of the account assets
The Fund Manager shall be responsible for it.
4. The Fund Custodian shall open a clearing provision account in the name of the Fund Custodian in China Securities Depository and Clearing Co., Ltd
And complete the liquidation with the first level legal person of China Securities Depository and Clearing Co., Ltd. on behalf of the funds under its custody
The manager shall provide active assistance. The collection of settlement provisions, settlement deposits, etc. shall be subject to China Securities Depository and Clearing Corporation Limited
Implementation of the Company's regulations.
5. If the CSRC or other regulatory authorities allow the Fund to engage in other investment varieties after the date of this Custody Agreement
Investment business involving the opening and use of relevant accounts shall be opened, used and managed in accordance with relevant regulations; In the absence of relevant regulations,
The Fund Custodian shall follow the above provisions on account opening and use.
（5） Opening and management of bond custody account
After the Fund Contract comes into force, the Fund Custodian shall, in accordance with the provisions of the People's Bank of China, the Central Government Securities Depository and Clearing Co., Ltd. and the Bank of China
Relevant regulations of the inter-bank market clearing house Co., Ltd., which issues bonds in the name of the fund in the inter-bank market registration and clearing institution
The securities depository account and the settlement of bonds in the inter-bank market on behalf of the Fund.
（6） Opening and management of other accounts
1. The fund manager shall open a futures margin account and futures trading code according to the investment needs and regulations, and the fund shall be placed in custody
People shall open futures settlement accounts and other accounts required for investment in accordance with regulations. After the above account is opened, the Fund Manager shall
The initial capital password of the futures margin account provided by the futures company and the login user name and password of the market monitoring center
Inform the Fund Custodian. The fund manager shall reset the fund password and the login password of the Market Monitoring Center. After the reset, it is necessary to
Inform the custodian when.
The Fund Custodian and the Fund Manager shall cooperate with each other in the process of opening accounts and provide the necessary information. Fund manager PICC
The authenticity and validity of the account opening materials provided by SSE, and the changed materials shall be provided to
Fund Custodian.
2. Other accounts opened for business development may be managed by the Fund in accordance with laws and regulations and the provisions of the Fund Agreement
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The Manager shall assist the Fund Custodian to open the Fund after consultation in accordance with relevant laws and regulations and this Agreement. The new account shall be used according to relevant regulations
And management.
3. If laws and regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail.
（7） Custody of relevant valuable certificates of fund property investment
Valuable certificates such as physical securities invested by the Fund assets shall be deposited by the Fund Custodian in the custody of the Fund Custodian as agreed
Treasury, or deposited in the Central Government Securities Depository and Clearing Co., Ltd., Inter bank Market Clearing House Co., Ltd., China Securities Depository
It shall be recorded in the escrow of the clearing limited liability company or the bill business center, and the physical custody certificate shall be held by the fund custodian. Physical evidence
The purchase and transfer of securities and other valuable vouchers shall be handled by the Fund Custodian in accordance with the instructions of the Fund Manager. Fund Custodian
The depository institution and institutions other than the Fund Custodian shall not be responsible for the custody of valuable vouchers that are actually and effectively controlled.
（8） Custody of major contracts related to fund assets
The originals of the major contracts signed by the Fund Manager on behalf of the Fund and related to the Fund assets shall be respectively signed by the Fund Manager
Custody of the Fund Custodian. Unless otherwise specified in this Agreement, the Fund Manager shall sign on behalf of the Fund any material agreement relating to the assets of the Fund
The contract shall, as far as possible, ensure that the Fund Manager and the Fund Custodian each hold at least one original. The fund manager should focus on
After signing the major contract, fax the major contract to the fund custodian in a timely manner, and deliver the original to the fund custodian within 30 working days
People. If the facsimile of the contract sent by the Fund Manager is inconsistent with the original of the contract delivered afterwards
The manager is responsible. The storage period of major contracts shall not be less than the provisions of laws and regulations.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with a fax of the contract with the official seal affixed
The original contract shall not be transferred without mutual agreement. The fax of the contract provided by the Fund Manager to the Fund Custodian and
If the original documents retained by the fund manager are inconsistent, the fax shall prevail.
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6、 Sending, confirmation and execution of instructions
When the Fund Manager uses the Fund assets, it sends the Fund Custodian instructions for fund transfer and other payments
The custodian shall implement the instructions of the fund manager and handle the fund transactions under the name of the fund.
The instructions sent by the fund manager include electronic instructions and paper instructions.
The electronic instructions include the electronic instructions sent by the fund manager (electronic instructions sent by electronic message, online custody bank
The electronic instructions entered by the bank manager client), automatically generated electronic instructions (the online custodian bank custodian is based on the preset
An electronic instruction automatically generated by a specified business rule). The Fund Manager shall use fax or other communication with the Fund before enabling electronic instructions
The custodian sends the activation letter to the fund custodian by consensus. The activation letter shall indicate the business type and date of activation
Etc. The activation letter shall be stamped with the official seal of the fund manager.
Before sending paper instructions, the fund manager shall issue a fax instruction activation letter, indicating the fax number and transmission
The email address of the instruction attachment, the instruction confirmation personnel and their contact information.
（1） Written authorization of the Fund Manager to the personnel who send instructions
Content of authorization notice: The Fund Manager shall provide the Fund Custodian with a written authorization notice in advance (hereinafter referred to as "authorization notice")
Notice "), specifying the authorized person of the order and the authorized seal, and the content of the authorization notice includes the list of authorized persons, signature and seal
Samples, permissions and reserved seals. The authorization notice shall be stamped with the official seal of the fund manager and the effective time shall be indicated. Fund manager
A notice of authorization shall be sent to the Fund Custodian by fax or other means agreed with the Fund Custodian, and at the same time, a telephone notice shall be sent
Fund Custodian. The notice of authorization shall be sent to the Fund Manager and the Fund Custodian by telephone or by other Fund Managers and Fund Custodians
After being confirmed in a manner approved by the person, the authorization notice shall take effect at the effective time specified in the authorization notice. If the effective time is not specified, the authorization notice shall prevail
The date of paragraph is the effective date. The Fund Manager shall send the original of the authorization notice to the Fund Custodian within three working days thereafter. Grant
If the content of the original notice of rights is inconsistent with the fax received by the Fund Custodian, the fax received by the Fund Custodian shall prevail.
The Fund Manager and the Fund Custodian shall be obliged to keep confidential the authorization notice, and its contents shall not be disclosed to the authorizer, the authorized person and
Disclosed by anyone other than the relevant operators, unless otherwise required by laws and regulations or the competent authority.
（2） Content of instructions
Investment orders refer to the trading orders, trading orders and
Fund transfer instructions (hereinafter referred to as "instructions"). The order shall be stamped with the reserved seal and signed or sealed by the authorized person. fund
The fund transfer instructions sent by the Manager to the Fund Custodian shall specify the reason, time, amount, and the letter of the account for withdrawal and receipt
Interest, etc.
（3） Time and procedure for sending, confirming and executing instructions
1. Delivery of instructions: The Fund Manager shall, in accordance with relevant laws and regulations and the provisions of this Agreement
In accordance with the authorization of the authorization notice, fax or other methods approved by the Fund Custodian and the Fund Manager within the transaction authority
To the Fund Custodian. When sending instructions, the Fund Manager shall ensure that the relevant withdrawal account has sufficient fund balance, and
Allow time for the Fund Custodian to execute the instructions.
For offline public offering business such as subscription of new shares and new bonds, the fund manager shall pay for the offline subscription before 10:00 a.m
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Send instructions to the Fund Custodian.
For the futures deposit and withdrawal business, the fund manager shall transfer the futures deposit and withdrawal 2 hours before the deadline of the deposit and withdrawal on the trading date
The gold instruction is sent to the fund custodian.
For OTC business, the Fund Manager shall confirm with the Fund Custodian that the trading unit and
The shareholder code can only be set.
For inter-bank business, if it is necessary to send inter-bank transaction notes or transfer instructions, the fund manager shall
The inter-bank transaction order and relevant transfer instructions shall be sent to the Fund Custodian. The Fund Manager shall confirm the Fund with the Fund Custodian
The custodian may conduct inter-bank transactions of the Fund only after it has completed the certificate and authority settings.
The Fund Manager shall send the trading instructions to the Fund Custodian 2 hours in advance for the withdrawal at a specified time; yes
The Fund Custodian does not guarantee the withdrawal of funds on the same day as the instructions sent by the Fund Manager to the Fund Custodian after 15:00, but shall
Force execution.
2. Confirmation of instructions: The Fund Manager is obliged to confirm with the Fund Custodian by telephone after sending the instructions. For
The Fund Manager shall not deny the effectiveness of the order issued by the "Authorization Notice".
3. Execution of instructions: After the Fund Custodian confirms receipt of the instructions sent by the Fund Manager, it shall conduct a formal review of the instructions,
Verify whether the elements of the instruction are complete, and check whether the seal and signature of the fax instruction are consistent with the reserved seal and signature samples,
The order shall be implemented in time within the specified time limit after being checked without error.
Under normal circumstances, the Fund Custodian will transfer funds through the futures settlement bank in accordance with the deposit and withdrawal instructions issued by the Fund Manager
The account system performs debit and credit operations.
In case of other emergencies such as failure of the bank futures transfer system of the settlement bank, the fund manager can use non bank futures transfer
Manual deposit and withdrawal.
Manual deposit and withdrawal of non bank term transfer, the deposit shall be paid by the fund custodian through the settlement bank according to the transfer instruction provided by the fund manager
After the bank's online banking system is transferred to the designated account of the futures company, the fund manager shall notify the futures company to conduct the deposit operation, and the withdrawal shall be
After the Fund Manager notifies the futures company of the withdrawal of funds, it will send instructions to the Fund Custodian, who will, according to the Fund Manager
The provided transfer instructions are transferred to the fund custody account through the online banking system of the settlement bank.
After executing the operation of futures cash out or cash in, the fund manager shall query the cash out transfer through its trading system or terminal system
Outgoing and incoming cash.
On the premise that the order has not been executed, if the fund manager cancels the order, the fund manager shall indicate "invalid"
"Abolished" and other words, stamped with the reserved seal and signed or sealed by the authorized person, and then faxed to the fund custodian, and notified the fund by telephone
Custodian.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
1. The circumstances under which the fund manager sends wrong instructions include that the instruction sender has no right or exceeds the authority to send instructions, and the instructions do not
It can be identified or the elements are incomplete, which leads to the failure of implementation.
2. When the Fund Custodian believes that the instructions received are wrong, it shall timely confirm with the Fund Manager by telephone
Stop the execution of the order and request the fund manager to resend the order. The Fund Custodian has the right to require the Fund Manager to provide relevant documents
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Exchange vouchers, contracts or other effective accounting information to ensure that the Fund Custodian has sufficient information to judge the effectiveness of the order.
The Fund Custodian shall restart the execution of the order after receiving all relevant information and judging that the order is effective. The Fund Manager shall
Supplement relevant information and reserve necessary execution time for the Fund Custodian, otherwise the Fund Custodian will delay
No liability.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
The Fund Custodian finds that the instructions sent by the Fund Manager may violate the Fund Law, the Operation Measures, the Fund Contract
In case of provisions of this Agreement or other relevant laws and regulations, the execution of the order shall be suspended, and the Fund Manager and the Fund Management shall be notified in a timely manner
After receiving the notice, the staff shall check and correct it in a timely manner; If the relevant transaction has taken effect, the Fund Manager shall be notified within the time limit specified by the regulations
And report to the CSRC. For transactions that are difficult to supervise before the fund custodian, the fund custodian
After fulfilling the notification to the fund manager and the reporting obligation to the CSRC, it is deemed that it has fully fulfilled its investment supervision
duty. If the Fund Manager violates the Fund Law, the Operation Measures, the Fund Contract, this Agreement or other relevant laws and regulations
The Fund Manager shall bear the corresponding responsibility for any loss of the Fund property caused by the provisions of the Regulations.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
For the effective instructions and notices of the fund manager, unless it violates laws and regulations, the fund contract, the custody agreement or has
（4） The Fund Custodian shall not unreasonably refuse or delay the implementation of the error described in Item (1), or it shall
Be liable for the losses incurred.
The Fund Custodian shall be liable for compensation for any damage to the interests of the Fund or the Fund Manager caused by its intention or negligence
The execution of the lawful instructions of the Fund Manager shall not be liable for the losses caused to the Fund assets.
（7） Procedures for replacing authorized personnel
The fund manager must replace the authorized personnel or change the authority of the authorized personnel at least one trading day in advance
Send the stamped Fund Manager Company to the Fund Custodian by fax or other means approved by the Fund Manager and the Fund Custodian
A written notice of change of the official seal shall be sent to the Fund Custodian by telephone at the same time. The notice of change of the authorized person, after the fund manager and the fund
After confirmation by the custodian by telephone or other means approved by the Fund Manager and the Fund Custodian
The effective time is effective, and the original authorization notice is invalid. The Fund Manager notifies the authorized person of the change within three working days thereafter
The original shall be delivered to the Fund Custodian. If the content of the original written notice of change is inconsistent with the fax received by the Fund Custodian
The fax received by the custodian shall prevail.
The Fund Custodian shall notify the Fund Manager in advance of changing the personnel receiving the Fund Manager's instructions.
（8） Custody of instructions
If the instruction is sent by fax, the original shall be kept by the Fund Manager, and the Fund Custodian shall keep the fax of the instruction. When two
In case of any discrepancy, the fax of the instruction received by the Fund Custodian shall prevail.
（9） Relevant responsibilities
The instruction given to the Fund Custodian by the Fund Manager without sufficient funds has resulted in the failure to liquidate funds in a timely manner
The losses caused shall be borne by the Fund Manager. The transmission is not timely or not reserved enough for implementation due to the fund manager
Time, loss caused by failure to timely clear funds or transaction failure due to failure to timely confirm instructions with the Fund Custodian
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It shall be borne by the fund manager. If the Fund Custodian correctly executes the effective instructions sent by the Fund Manager and the Fund property suffers losses,
The Fund Custodian shall not be liable for compensation. Due to the reasons of the Fund Custodian
In case of any damage to the Fund property due to the failure to timely or correctly implement the legal and compliant instructions, the Fund Custodian shall bear the corresponding
Liability, except in case of force majeure.
The Fund Custodian shall perform the duty of formal review in accordance with the relevant provisions of this Agreement
Without authorization, fraud, forgery or failure to provide authorization notice in a timely manner, the Fund Custodian shall not be liable for the failure to execute relevant instructions
Or the Fund Manager shall bear the losses caused to the Fund Manager or the Fund assets or any third party by refusing to execute the relevant instructions
Take corresponding responsibilities, except for losses caused by the Fund Custodian's failure to review its obligations to execute instructions in a proper manner as agreed in this Agreement.
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7、 Transaction, clearing and settlement arrangements
（1） Select securities operating institutions and futures brokerage institutions that act as agents for securities and futures trading
1. The Fund Manager shall design the standards and procedures for selecting securities operating institutions to act as agents for securities trading, and shall comply with relevant contracts
And stipulate the obligations that should be undertaken to exercise the investment rights of the Fund assets, including but not limited to the selection of brokers and investment objects. base
The Fund Manager is responsible for selecting the securities operating institutions that act as agents for the purchase and sale of the Fund's securities and using their trading units as the Fund's trading orders
Yuan. The Fund Manager shall notify the Fund Manager in advance of the signing of the transaction unit lease agreement with the selected securities operating institution
The Fund Custodian shall timely deliver the transaction unit rental agreement and relevant documents to the Fund Custodian to ensure that the Fund Custodian applies for acceptance
Receive settlement data. The Fund Manager shall, in accordance with relevant regulations, list the selected securities operations in the interim report and annual report of the Fund
Relevant information of the institution, the trading volume of securities purchased and sold by the fund through the securities operating institution, the trading volume of repurchase and the commissions paid, etc
Disclose such information and basic information such as fund transaction unit number, commission rate and changes in a timely manner in writing
Notify the Fund Custodian in writing.
2. The Fund Manager is responsible for selecting the futures brokerage institutions that act as agents for the futures trading of the Fund and signing futures brokerage contracts with them,
Other matters shall be carried out in accordance with the relevant provisions of laws and regulations and the Fund Contract. If there are no clear provisions, you can refer to the relevant securities purchase
The rules selected by the selling and securities brokerage institutions shall be implemented.
(1) The futures company selected by the fund manager shall be responsible for the clearing and delivery of the futures trading of entrusted assets.
(2) The Fund Manager shall instruct the futures company selected by it to send to the Fund Custodian and the Fund Manager through SZSE
Transaction settlement report showing the transaction results of the Fund in the format of the Market Monitoring Center and the display made with reference to the format of the Market Monitoring Center
A trading settlement report on the equity status of the Fund's futures margin account. With the consent of the Fund Custodian, it can be transmitted by email
The delivery method is used to transmit the transaction settlement data of the day as an emergency backup method.
Under normal circumstances, the transaction settlement report of the day should be sent before 17:00 on the trading day. Due to the exchange
In case of delay in sending data, the Fund Manager shall notify the Fund Custodian in time and notify the futures company immediately after recovery
Send it to the fund custodian and confirm the data reception status by telephone. If the futures data sent by the futures company is incorrect, re send the
If the fund manager or the fund custodian sends the new futures data, the fund manager shall instruct the futures company to notify immediately after sending the new futures data
The Fund Custodian shall confirm the status of data reception by telephone.
(3) The fund manager shall oblige the futures company it selects to be responsible for the accuracy, integrity and authenticity of the data sent.
Due to the inconsistency between the items recorded in the transaction settlement report and the actual transaction results and equity, the valuation calculation of this fund is wrong
The Fund Manager shall be responsible for recovering from the data sender, and the Fund Custodian shall not be liable.
（2） Settlement arrangements after the fund invests in securities
The responsibilities of the Fund Manager and the Fund Custodian in terms of clearing and settlement of fund assets on the market and related risk control shall be in accordance with the Appendix
Implementation of the Provisions on Securities Fund Settlement of Custodian Banks.
（3） Basic Provisions on Fund Purchase, Redemption and Conversion
1. The Fund Manager or its entrusted registration institution shall be responsible for the confirmation and liquidation of subscription, redemption and conversion of fund units.
2. The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day to the Fund Custodian.
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The Fund Manager shall be responsible for the authenticity and accuracy of the data transmitted for subscription, redemption and conversion of open-ended funds. Fund Custody
People shall timely check the receipt of subscription and transferred funds and timely transfer the redemption and transferred funds according to the instructions of the fund manager.
3. The Fund Manager shall ensure that the registration authority of the Fund (or entrusted by the Fund Manager) shall report to the
The Fund Custodian shall send the above relevant data on the previous opening day and ensure the accuracy and completeness of the relevant data.
4. The registration authority shall send relevant data through the system established with the fund manager, and the fund manager shall send the data to the fund custodian
Send relevant data. If the system cannot send the data normally due to various reasons, both parties can solve the problem through negotiation. fund management
The data sent by the Fund Custodian to the Fund Custodian shall be kept by both parties in accordance with relevant regulations.
5. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall ensure that the above related matters are carried out on time.
Otherwise, the fund manager shall bear corresponding responsibilities.
6. Establishment and management of special clearing account
In order to meet the needs of subscription, redemption, conversion and dividend capital remittance, the fund manager shall open a special account for capital clearing
Account, which is managed by the registration agency.
7. The fund manager shall be responsible for determining the accounts receivable generated in the process of fund purchase and conversion with relevant parties
The Fund Custodian shall notify the Fund Custodian of the account date. If the receivables do not reach the Fund's capital account on the account date, the Fund Custodian shall notify the Fund Custodian in a timely manner
If the Fund Manager takes measures to collect funds, which causes losses to the Fund, the Fund Manager shall be responsible for claiming compensation from the relevant parties
The Fund Custodian shall provide necessary assistance for the loss of the Fund.
8. Redemption and conversion fund transfer regulations
When transferring the redemption money and the transfer out money, if the fund fund account has sufficient funds, the fund custodian shall transfer them on time;
The Fund Custodian cannot transfer funds on time due to insufficient funds in the Fund's capital account, for example, due to the Fund Manager
The responsibility shall be borne by the Fund Manager. The Fund Custodian shall not assume the obligation of advance, but shall notify the Manager in a timely manner.
9. Capital Instruction
In addition to the payment, redemption and distribution related to investment, the subscription amount shall reach the fund account and be reconciled by both parties according to the agreed method
When transferring bonus funds, the Fund Manager shall issue instructions to the Fund Custodian.
The format, content, sending, receiving and confirmation methods of capital orders are the same as those of investment orders.
（4） Net fund settlement
The fund settlement between the fund account and the "fund clearing account" follows the principle of "full settlement and net settlement",
The net receivable amount or net payable amount of the fund account shall be determined according to the difference between the receivable fund and the payable fund of the fund account every day
The Fund Custodian shall provide the Fund Manager with appropriate means to facilitate the Fund Manager to inquire and account for the fixed amount of capital delivery
Business management. When there is a net receivable amount in the fund account, the fund manager shall transfer it from the fund clearing account before 15:00 on the settlement date
To the fund account, the fund manager shall inquire the results through the method provided by the fund custodian; When there is a fund account net payable
The Fund Custodian shall, in accordance with the transfer instruction of the Fund Manager, transfer the net payable amount of the escrow account to the Fund for clearing on the settlement date
The Fund Manager shall check the results through the method provided by the Fund Custodian.
When there is a net payable amount in the fund account, if the fund bank account has sufficient funds, the fund custodian shall transfer them on time;
The Fund Custodian shall notify the Fund in a timely manner if the Fund Custodian cannot transfer funds on time due to insufficient funds in the Fund's capital account
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The Fund Manager and the Fund Custodian shall not be liable; If it is caused by the fund manager, the responsibility shall be borne by the fund manager,
The Fund Custodian shall not assume the obligation of advance.
（5） Fund cash dividends
1. The Fund Manager shall notify the Fund Custodian of the dividend plan, which shall be approved by both parties in accordance with the relevant provisions of the Information Disclosure Measures
It is required to publish on the media specified by the CSRC.
2. After the fund custodian and the fund manager conduct accounting treatment and check on the fund dividend, the fund manager shall place the fund in custody
The Fund Custodian shall promptly transfer the dividend to the fund clearing account in accordance with the transfer instructions of cash dividends sent by the Fund Custodian.
3. When giving instructions, the Fund Manager shall allow the Fund Custodian the necessary time to transfer funds.
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8、 Calculation, valuation and accounting of the net asset value of the Fund
（1） Time and procedure for calculation, review and completion of net asset value of the Fund
1. Net value of fund assets
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
The net value of various fund units is calculated by dividing the net value of such fund assets by such fund units on that day after the market is closed on each working day
The balance is calculated to the nearest 0.0001 yuan, and the fifth decimal place is rounded off. The resulting gains or losses are
Financial property assumption. The Fund Manager may establish an emergency adjustment mechanism for the accuracy of net worth in the case of large redemption. Laws, regulations and supervision
If there are other provisions in the management institution or fund contract, those provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund and the net value of all types of Fund units on each working day, and make an announcement in accordance with the provisions. But base
Except when the Fund Manager suspends valuation in accordance with laws and regulations or the Fund Contract.
2. Review procedure
The Fund Manager shall send the net value results of various fund units to the Fund Custodian after valuing the fund assets every working day,
After the Fund Custodian has checked and found no error, the Fund Manager shall publish it to the public in accordance with regulations.
3. According to relevant laws and regulations, the Fund Manager shall be responsible for the calculation of the net value of the Fund and the accounting of the Fund. book
The Fund Manager shall be responsible for the accounting of the Fund, and the Fund Custodian shall be responsible for the review. Therefore, we have
If the relevant parties cannot reach an agreement on accounting issues after full discussion on an equal basis
The Manager shall publish the calculation results of the net fund value information to the public.
（2） Valuation of Fund Assets
The Fund Manager and the Fund Custodian shall conduct valuation in accordance with the provisions of the Fund Contract.
（3） Treatment method for net value error of fund units
The Fund Manager and the Fund Custodian shall handle the error of unit net value in accordance with the provisions of the Fund Contract.
（4） Fund accounting system
The accounting system stipulated by relevant national departments shall be followed.
（5） Establishment of fund account book
After the fund contract comes into effect, the fund manager and the fund custodian shall follow the same bookkeeping method and accounting department agreed by both parties
Principle of management, independently set up, record and keep the full set of account books of the Fund, and regularly conduct
Check and supervise each other to ensure the safety of fund assets.
（6） Preparation and review of fund financial statements and reports
1. Preparation of financial statements
The financial statements of the Fund shall be prepared by the Fund Manager and reviewed by the Fund Custodian.
2. Report review
After receiving the financial statements of the Fund prepared by the Fund Manager, the Fund Custodian shall independently review them. In case of discrepancy,
The Fund Manager shall be notified in a timely manner to jointly find out the reasons and make adjustments until the data of both parties are completely consistent.
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3. Preparation and review schedule of financial statements
The Fund Manager and the Fund Custodian shall complete the preparation and review of the monthly statements within 5 working days after the end of each month;
Complete the preparation, review and announcement of the quarterly report of the Fund within 15 working days from the end of the quarter; End in the first half of the year
Complete the preparation and review of the Fund's interim report and make an announcement within 2 months from the date of the announcement; Within three months from the end of each year
Prepare, review and publish the annual report of the Fund. During the review process, the Fund Custodian found that the statements of both parties exist
In case of any discrepancy, the Fund Manager and the Fund Custodian shall jointly find out the reasons and make adjustments, which shall be subject to the provisions of laws and regulations.
The financial accounting report of the annual report of the Fund shall be submitted by an accounting firm that complies with the provisions of the Securities Law of the People's Republic of China
Audit. If the fund contract takes effect less than two months ago, the fund manager may not prepare the current quarterly report, interim report or annual report
Degree report.
（7） When necessary, the Fund Manager shall provide the Fund Custodian with the base number of the Fund performance benchmark quarterly
Prepare the results according to and.
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9、 Fund income distribution
The Fund Manager and the Fund Custodian shall handle the distribution of fund income in accordance with the provisions of the Fund Contract.
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10、 Fund information disclosure
（1） Confidentiality obligations
The Fund Custodian and the Fund Manager shall disclose information in accordance with laws and regulations and the relevant provisions of the Fund Agreement, and plan to publicly disclose
The disclosed information shall be kept confidential before public disclosure. Except in accordance with the Fund Law, the Operation Measures, the Information Disclosure Measures and the Liquidity
In addition to the disclosure of information in the Provisions on Sexual Risk Management, the Fund Contract and other relevant provisions, the Fund Manager and the Fund Custodian shall
The information generated in the operation of gold and the business information obtained from the other party shall be kept confidential. However, the following situations should not be considered as fund management
The Manager or Fund Custodian violates the confidentiality obligation:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the judgment or ruling of the court, the arbitral award or the supervision of the CSRC
Information disclosure or disclosure made by the order or decision of the regulatory authority.
（2） Contents of information disclosure
The information disclosure of the fund mainly includes the fund prospectus, fund contract, fund custody agreement and fund product information
Summary of information, announcement of the sale of fund units, announcement of the effectiveness of the fund contract, net fund value information, subscription and redemption price of fund units
Regular reports of the Fund (including annual reports, interim reports and quarterly reports of the Fund), interim reports, clarification announcements
Liquidation report, resolution of the general meeting of fund share holders, information disclosure during the implementation of the side pocket mechanism, and its
Other information. The financial and accounting report in the annual report of the Fund shall be reviewed and approved by the competent authority in accordance with the Securities Law of the People's Republic of China
It can be disclosed only after being audited by the accounting firm.
Where the Fund invests in asset-backed securities, the Fund Manager shall disclose its
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 all asset-backed securities during the reporting period
detailed.
The Fund Manager shall disclose in the quarterly report of the Fund the total amount of asset-backed securities held by it and the percentage of the market value of asset-backed securities
The proportion of the net assets of the Fund and the details of the top 10 asset-backed securities ranked by the market value in the proportion of the net assets of the Fund at the end of the reporting period.
Where the Fund invests in stock index futures and treasury bond futures, the Fund Manager shall submit quarterly reports, interim reports, annual reports, etc
The trading of stock index futures and treasury bond futures, including trading policies
Position, profit and loss, risk indicators, etc., and fully reveal the impact of stock index futures and treasury bond futures transactions on the overall risk of the fund
Impact and compliance with established trading policies and objectives.
Where the Fund invests in stock options, the Fund Manager shall report regularly in quarterly reports, interim reports, annual reports, etc
And the prospectus (update) and other documents to disclose stock option transactions, including investment policies, positions, profits and losses
And risk indicators, and fully reveal the impact of stock option trading on the overall risk of the fund and whether it conforms to the established investment
Policy and investment objectives.
If the Fund participates in the Hong Kong Stock Connect transaction, the Fund Manager shall make regular reports on quarterly reports, interim reports, annual reports, etc
And the prospectus (update) and other documents to disclose the relevant information about participating in the Hong Kong Stock Connect transaction.
The information disclosure of the Fund's investment in depositary receipts shall be subject to the domestic listed stocks.
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Where the Fund invests in credit derivatives, the Fund Manager shall make regular reports on quarterly reports, interim reports, annual reports, etc
And prospectus (update) and other documents to disclose the investment of credit derivatives in detail, including investment strategies and positions
And fully reveal the impact of investment in credit derivatives on the overall risk of the fund, and whether it conforms to the established investment objectives and policies
Omitted.
（3） Responsibilities and information disclosure procedures of the Fund Custodian and the Fund Manager in information disclosure
1. Responsibilities
The Fund Custodian and the Fund Manager shall be honest in the process of information disclosure with the purpose of protecting the interests of fund share holders
Keep your promises and keep your secrets. The Fund Manager is responsible for handling information disclosure matters related to the Fund
And the information disclosure documents that need to be reviewed by the Fund Custodian as stipulated in the Fund Agreement shall be reviewed by the Fund Custodian
The Fund Manager shall make the announcement.
The Fund Manager and the Fund Custodian shall actively cooperate with each other and supervise each other to ensure that their performance is disclosed in a statutory manner and within a time limit
Obligations.
The fund manager shall, within the time limit prescribed by the CSRC, pass the fund information that should be disclosed to the CSRC
National newspapers and periodicals with specified conditions and Internet websites as specified in the Information Disclosure Measures. According to the law
Information required to be publicly disclosed by the Fund Custodian shall be publicly disclosed by the Fund Custodian in the specified media.
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related information when:
(1) The securities, futures trading market or foreign exchange market involved in the Fund's investment is suspended on statutory holidays or for other reasons
At the time of transaction;
(2) Due to force majeure, the Fund Manager and the Fund Custodian cannot accurately assess the value of the Fund's assets or cannot trust
At the time of interest disclosure;
(3) When a specific asset accounts for more than 50% of the net asset value of the fund on the previous valuation date, it will be temporarily confirmed after consultation with the fund custodian
Suspension of valuation;
(4) Laws and regulations, fund contract or the situation stipulated by the CSRC.
2. Procedure
Information disclosure documents that are subject to review by the Fund Custodian according to relevant regulations shall be drafted by the Fund Manager and reviewed by the Fund Custodian
After review, the Fund Manager shall make an announcement. In case of any event required to be disclosed in the fund contract, it shall be announced in accordance with the fund contract.
3. Storage of information text
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall, in accordance with the relevant laws and regulations
The information shall be kept at their respective residences for public reference and reproduction. The Fund Manager and the Fund Custodian shall ensure that the content of the text is consistent with
The content of the announcement is completely consistent.
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11、 Fund expenses
（1） The withdrawal method, withdrawal standard and payment method of fund custody fee are as follows:
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. Calculation method of custody fee
As follows:
H ＝ E × 0.20% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily, accumulated day by day to the end of each month, and paid monthly
After verification by both parties, the Fund Custodian shall, in the first 5 working days of the next month
It shall be withdrawn from the fund property in a lump sum. In case of legal holidays, public holidays or force majeure, the payment date shall be postponed.
（2） Other fund expenses shall be withdrawn and paid in accordance with the Fund Contract.
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12、 Custody of the Register of Fund Unitholders
The register of fund unit holders shall at least include the name, certificate number and fund units held by the fund unit holders.
The register of fund share holders shall be prepared and kept by the fund registration authority in accordance with the instructions of the fund manager, and the fund manager and the fund
The custodian shall keep the register of fund unit holders separately for a period not less than that prescribed by laws and regulations. If it cannot be kept properly,
Shall be liable in accordance with relevant laws and regulations.
Before the Fund Custodian requests or prepares the interim report and annual report, the Fund Manager shall send the relevant information to the Fund Custodian
The manager shall not refuse or delay the provision without reason, and shall ensure its authenticity, accuracy and integrity. Fund Manager and Custody
I shall not use the register of fund unit holders in my custody for other purposes than fund custody business, and shall abide by confidentiality
Business.
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13、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager shall keep the records, account books, statements and other relevant materials of the fund property management business activities. Gikinto
The custodian shall keep records, account books, statements and other relevant materials of the fund custody business activities. Fund Manager and Fund Custody
Everyone should keep it within the prescribed time limit. The storage period shall not be less than the provisions of laws and regulations.
（2） Establishment of contract archives
1. After the Fund Manager signs a major contract, it shall promptly deliver the original of the contract to the Fund Custodian.
2. The Fund Manager shall timely fax or double fax the contracts and agreements related to the Fund's accounting treatment and fund transfer
To the Fund Custodian in other ways approved by Party A.
（3） Change and assistance
If the Fund Manager/Fund Custodian changes, the unchanged party is obliged to assist the successor after the change to accept the corresponding
File.
（4） The Fund Manager and the Fund Custodian shall keep the original vouchers, accounting vouchers, fund account books
Transaction records and important contracts shall be kept confidential for a period not less than that stipulated by laws and regulations.
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14、 Replacement of Fund Manager and Fund Custodian
（1） After the termination of the duties of the fund manager, it shall still properly keep the fund management business information and ensure that it will not make any
Any act that causes damage to the interests of fund holders, and timely handle fund management with the new fund manager or temporary fund manager
Business handover procedures. The Fund Custodian shall actively cooperate and check with the new Fund Manager or temporary Fund Manager
Total Fund Assets and Net Fund Assets.
（2） After the termination of the duties of the fund custodian, it shall still properly keep the fund assets and the fund custody business information and ensure that it will not
Commit any act that may cause damage to the interests of fund share holders, and handle it with the new fund custodian or temporary fund custodian in a timely manner
To handle the transfer procedures of fund assets and fund custody business. The Fund Manager shall actively cooperate with the new Fund Custodian
Or the temporary fund custodian checks the total value of the fund assets and the net value of the fund assets.
（3） For other matters, please refer to the relevant provisions of the fund contract.
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15、 Prohibited acts
The behaviors prohibited by the parties to this agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian mix their own property or other people's property with the Fund property to engage in securities investment
Capital.
（2） The Fund Manager treats the different fund assets under its management unfairly, and the Fund Custodian treats its trust unfairly
Different fund assets under management.
（3） The Fund Manager and the Fund Custodian are the third party other than the Fund Unitholders by taking advantage of the Fund assets or their positions
People seek benefits.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders gains or bear losses in violation of regulations.
（5） The Fund Manager and the Fund Custodian disclose to others any failure to comply with laws and regulations in the process of fund operation and management
Information disclosed publicly in a prescribed manner.
（6） The Fund Manager issues investment instructions and payment instructions to the Fund Custodian without sufficient funds, or
Illegally issue instructions to the fund custodian.
（7） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior managers and other practitioners
Personnel take part-time jobs with each other.
（8） The Fund Custodian privately uses or disposes of the Fund assets, according to the legal instructions of the Fund Manager, the Fund Agreement or
Except for the disposition stipulated in the custody agreement.
（9） Other acts prohibited by laws, regulations and the Fund Contract, and in accordance with the relevant provisions of laws and administrative regulations
Other acts prohibited by the CSRC for fund managers and fund custodians.
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16、 Change and Termination of Custody Agreement and Liquidation of Fund Assets
（1） Change procedure of custody agreement
This Agreement may be modified by both parties hereto upon consensus. The contents of the revised new agreement shall not
Any conflict with the provisions of the Fund Agreement. Changes to the Fund Custody Agreement shall be reported to the CSRC for filing.
（2） Termination of Fund Custody Agreement
1. The Fund Contract is terminated;
2. The Fund Custodian is unable to continue to serve as the Fund Custodian due to dissolution, bankruptcy, cancellation and other reasons
There is no other appropriate custodian institution to undertake its original rights and obligations within the month;
3. The Fund Manager is unable to continue to serve as the Fund Manager due to dissolution, bankruptcy, cancellation and other reasons
No other appropriate fund management company has undertaken its original rights and obligations within the month;
4. Other termination events specified by laws and regulations, CSRC or the Fund Contract occur.
（3） Liquidation of fund assets
The Fund Manager and the Fund Custodian shall handle the liquidation of the Fund assets in accordance with the provisions of the Fund Contract.
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17、 Liability for breach of contract
（1） If the Fund Manager or the Fund Custodian fails to perform this Agreement or fails to perform this Agreement in accordance with the agreement, they shall be liable for the breach
Liability.
（2） The Fund Manager and the Fund Custodian violate the Fund Law and other laws and regulations in the process of performing their respective duties
The Fund Agreement and this Custodian Agreement shall
Respectively bear the liability for compensation for their respective acts according to law; Damage to fund assets or fund share holders due to joint actions
And shall bear corresponding liabilities for the direct losses caused thereby according to their respective fault degrees.
（3） If one party breaches the contract and causes losses to the other party or the fund property, it shall compensate for the direct losses
The other party has the right and obligation to claim compensation from the defaulting party on behalf of the fund. However, the party concerned shall be exempted from liability if:
1. The Fund Manager and/or the Fund Custodian shall act or not act in accordance with the then effective laws and regulations or the provisions of the CSRC
Losses caused by actions, etc;
2. Losses caused by the Fund Manager's exercising or not exercising its investment rights in accordance with the investment principles specified in the Fund Contract
Etc;
3. Computer system failure, network failure
Loss caused by communication failure, power failure, computer virus attack and other accidents;
4. Force majeure.
（4） If one party breaches the contract, the other party has the obligation to take necessary measures in a timely manner and try its best to
Prevent the expansion of losses. If the loss is further expanded due to the failure to take appropriate measures, no claim for compensation for the expanded loss may be made.
The reasonable expenses incurred by the non defaulting party to prevent the loss from expanding shall be borne by the defaulting party.
（5） If the breach of contract has occurred, but this Custodian Agreement can continue to be performed, the fund shares shall be protected to the maximum extent
The Fund Manager and the Fund Custodian shall continue to perform this Agreement on the premise of the interests of the holders. If the fund manager or fund
If the custodian is sued for performing this Agreement, the other party shall provide reasonable and necessary support.
（6） The Fund Manager and the Fund Custodian make business errors due to factors beyond their control
Where the Fund Custodian has taken necessary, appropriate and reasonable measures to carry out inspection, but fails to find any error
The Fund Manager and the Fund Custodian shall be exempted from the compensation liability for the loss of the Fund property or investors. But fund managers and funds
The custodian shall actively take necessary measures to mitigate or eliminate the impact caused thereby.
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18、 Dispute resolution
Both parties agree that all disputes arising from or in connection with this Agreement, if not resolved through friendly negotiation
In case of arbitration, either party shall have the right to submit the dispute to the Shenzhen International Arbitration Court
The arbitration shall be conducted according to the effective arbitration rules. The place of arbitration shall be Shenzhen. The arbitral award is final and binding on both parties,
Unless otherwise determined by the arbitration award, the arbitration fees and attorney fees shall be borne by the losing party.
During the dispute settlement period, both parties shall abide by the responsibilities of the Fund Manager and the Fund Custodian, and continue to be faithful, diligent
Fulfill the obligations specified in the Fund Agreement and this Custodian Agreement and safeguard the legitimate rights and interests of the Fund Unitholders.
This Agreement shall be governed by the laws of the People's Republic of China (for the purpose of this Custody Agreement, excluding the legislation of Hong Kong, Macao and Taiwan).
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19、 Effect of Custody Agreement
Both parties agree on the effectiveness of the custody agreement as follows:
（1） The draft custody agreement submitted by the fund manager when applying to the CSRC for the sale of fund units shall be subject to custody
Both parties hereto affix their seals and the legal representatives or authorized representatives of both parties affix their signatures or seals
The CSRC's comments were revised and the custody agreement was formally signed. The custody agreement shall take the text registered with the CSRC as the official text.
（2） The Custodian Agreement shall be established as of the date of establishment of the Fund Contract and shall come into force as of the date of entry into force of the Fund Contract. Of the Escrow Agreement
The period of validity is from the effective date to the date when the liquidation results of the fund assets are reported to the CSRC for filing and announced.
（3） The trusteeship agreement shall have the same legal binding force on the parties to the trusteeship agreement as of the effective date.
（4） This agreement is made in triplicate, with each party holding one copy and the fund manager reporting one copy to the regulatory authority as required,
Each copy has the same legal effect.
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20、 Other matters
If the competent judicial authority freezes the fund units of the fund unit holders according to law, the fund manager shall cooperate,
Undertake the obligation of judicial assistance.
Unless explicitly defined in this Agreement, the definitions of terms in this Agreement shall apply to the provisions of the Fund Contract. Matters not covered in this agreement shall be
The parties shall negotiate in accordance with the fund contract and relevant laws and regulations.
Annexes to this Agreement form an integral part of this Agreement.
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21、 Signing of Escrow Agreement
Seals of both parties hereto and signatures or seals of legal representatives or authorized representatives of both parties, place of signing and date of signing
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Appendix: Provisions on Securities Fund Settlement of Custodian Bank
The asset custodian and asset manager shall ensure the safe and efficient operation of the securities trading capital settlement business and effectively prevent settlement
Risk, standardize the settlement behavior, and further clarify the asset custodian and its agent settlement customers in the securities trading capital settlement business
According to the Securities Law of the People's Republic of China, the Securities Investment Fund Law of the People's Republic of China and the Securities Registration and Settlement
Administrative Measures for Settlement, Administrative Rules for Clearing Participants of China Securities Depository and Clearing Co., Ltd. and other relevant laws, regulations and departments
The asset manager and asset custodian will participate in the registration and settlement of China Securities Depository and Clearing Co., Ltd
(hereinafter referred to as "clearing companies")
Article 1 The asset custodian is approved by the CSRC, the CBRC and other relevant departments to be qualified for securities investment
Funds, insurance assets, enterprise annuity funds and other commercial banks with custody business qualifications related to settlement business of clearing companies
that 's ok; The asset manager is a securities company, fund management company, insurance company established with the approval of the CSRC and the CBRC
Companies, insurance asset management companies and other investment management institutions.
Article 2 The assets managed by the asset manager and entrusted by the asset custodian shall meet the multilateral requirements in the stock exchange market
Securities transactions required for net settlement adopt the custodian bank settlement mode (including public funds, special accounts, enterprise annuities
Social security funds, etc.), the asset custodian and the clearing company shall handle the securities capital settlement business; The asset custodian is responsible for participating in the settlement
For the company's multilateral netting business, the asset manager shall perform the settlement obligations on time according to the liquidation results provided by the asset custodian
And bear the final settlement responsibility to the asset custodian.
Article 3 The asset manager and the asset custodian agree to abide by the business rules formulated by the clearing company.
Article 4 Under the multilateral netting method, securities and capital settlement shall follow the principle of hierarchical settlement. Asset Custodian Responsible Office
Manage the primary clearing and settlement of securities and funds with the clearing company; At the same time, it is responsible for handling securities and funds with the asset manager
Secondary clearing and settlement.
Article 5 The asset custodian shall, in accordance with the clearing results on the transaction clearing day (T day) and the clearing business rules, cooperate with the clearing company
Complete the final irrevocable settlement of securities and funds; At the same time, within the specified time limit, complete the irrevocable work with the asset manager
The settlement of securities and funds.
Article 6 The asset manager shall follow the principle that whoever is at fault shall compensate for the breach of asset delivery management.
（1） The actual loss due to the delivery default caused by the asset manager due to the error in the position estimation of the asset manager, etc
Undertaken by the Manager.
（2） The actual loss of settlement default caused by the asset custodian due to the asset custodian's operational errors and other reasons shall be managed by the asset custodian
People bear.
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（3） The settlement default loss caused by the fault of the third party shall protect the asset manager to manage the assets under custody to the greatest extent
The principle of the legitimate rights and interests of the holders shall be settled by both parties through consultation, and both parties shall jointly assume the responsibility of recovering from the third party.
Except in accordance with relevant laws and regulations and this provision, the asset custodian shall not use the asset manager to manage the custody assets without authorization
To engage in securities trading. The asset custodian uses the securities and funds of the asset manager to manage the assets under custody without authorization
If losses are caused, it shall be liable for compensation for the assets managed by the asset manager and the actual losses suffered by the asset manager. assets
If the custodian obtains profits by using the securities and funds of the asset manager to manage the assets under custody without authorization, all the profits thus obtained
It belongs to the assets under custody, and the asset manager does not bear any related expenses.
If the asset manager is at fault and uses its own funds or uses risk reserves to advance funds for settlement in accordance with the provisions of the CSRC
In case of overdraft, the income arising therefrom shall belong to the assets under custody, and the actual loss arising therefrom shall be borne by the asset manager.
Article 7 The asset custodian shall, in accordance with the provisions of the clearing company, apply to the clearing company for the opening of the asset in its own name
Relevant settlement reserve accounts, securities settlement accounts and other settlement accounts that should be opened according to the relevant business regulations of the clearing company,
It is used to handle the securities trading of the assets under the custody of the asset custodian in the stock exchange market and the capital and securities trading not involved in the trading
Receive business.
Article 8 According to the business rules of the clearing company, the asset custodian collects, deposits and settles the assets managed by the asset manager according to law
The company's minimum settlement reserve, settlement margin, settlement margin and other guarantee funds, the amount of such funds collected and
The amount adjustment shall be carried out in accordance with the rules of the clearing company and other written agreements or agreements between the asset manager and the asset custodian.
If the end of day balance of the asset manager managed asset settlement reserve account is lower than its minimum settlement reserve limit, the asset manager
The manager shall make up the amount within the specified time.
Article 9 The asset custodian receives the settlement reserve (including the minimum
After the interest of funds such as reserves, settlement deposits, etc., it shall be paid to the asset manager on the day of interest collection.
Article 10 The asset custodian shall, on the transaction clearing day (T day), calculate the amount of the
Capital clearing data, securities clearing data and non trading clearing data are used to calculate the asset funds managed by the asset manager
And the net amount receivable or payable of securities, forming the trading clearing result of the asset manager on that day. The asset custodian shall be timely, efficient
Safely complete the clearing and settlement of the securities trading funds of the assets under custody, and the settlement company has returned the settlement funds of the assets under custody
It shall be recorded into the bank account of each entrusted asset in time.
Article 11 After completing the liquidation of the assets under custody, the asset custodian shall promptly contact with
Communication with asset manager.
The asset custodian conducts transactions on the T day of the asset manager calculated according to the data of the exchange or the clearing company on the settlement date (T+1 day)
The liquidation results shall complete the delivery and receipt of the asset funds and securities managed by the asset manager.
Article 12 If the asset manager has any objection to the liquidation data provided by the asset custodian, it shall timely communicate with the asset custodian
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However, the asset manager shall not refuse to perform or delay the performance of the delivery obligation on that day. It is verified by both parties that it is an asset trust
If the custodian makes liquidation errors, the asset custodian shall correct them and compensate for the actual losses of the assets under custody and the asset manager; If verified,
If it is a clearing error of the clearing company, the asset manager shall cooperate with the asset custodian to communicate with the clearing company. If the asset manager
Conducting transactions of non custodial assets on the custody transaction unit and other matters, resulting in incomplete and incorrect clearing data received by the asset custodian,
The asset manager shall be responsible for any liquidation error.
Article 13 In order to ensure the normal settlement between the asset custodian and the clearing company, all assets under custody of the asset custodian shall not be affected
Under normal circumstances, at the end of the trading day (T day), the asset manager shall ensure the fund account of each managed asset
The account has enough funds to complete the capital settlement with the clearing company on the settlement date (T+1).
Article 14 If the balance of the asset fund account managed by the asset manager on Day T cannot meet the delivery requirements on Day T+1
The administrator shall make up the amount according to the time point agreed in the Custody Agreement or the Operating Memorandum. If there is no agreement, the administrator shall make up the amount on T+1
12: Make up the amount before 00 to ensure that the asset custodian completes the clearing and settlement in a timely manner. For innovative products, the time point for making up the amount can
Agreed in the custody agreement or other documents.
Article 15 If the asset manager fails to make up the overdraft amount within the time limit agreed in Article 14 of these Provisions, his act constitutes asset management
In case of default in the capital delivery of the manager, the asset custodian shall deal with it in the following ways according to law, and the asset manager shall cooperate:
（1） The asset manager shall designate the trust in writing to the asset custodian no later than two hours before the time point specified by the clearing company
Securities in the asset management securities account equivalent to 120% of the value of the overdraft amount (calculated according to the closing price of the previous trading day) shall be taken as
Receive performance security. If the asset manager fails to designate on time, the asset custodian shall determine relevant securities as delivery performance by itself according to law
And notify the asset manager in writing in a timely manner. Where the asset manager fails to appoint the asset custodian in time or the appointment is wrong,
The relevant responsibilities shall be borne by the asset manager.
The asset custodian can apply to the clearing company, and the clearing company will help to freeze the relevant delivery performance collateral
The manager shall issue a written consent to the clearing company assisting the asset custodian to freeze the corresponding securities in its securities account to the asset custodian
Documents (for the enterprise annuity fund and other assets under the custody of the asset custodian, asset manager, client or trustee
The written documents issued by the asset manager to the asset custodian shall be confirmed by the asset manager's client or trustee. Trustor or trustee
If there are relevant contents in the contract, operation memorandum and other legal documents signed by the person, the asset custodian and the asset manager, it shall be deemed that
Recognize).
（2） If the asset manager makes up the corresponding funds before the time specified by the clearing company on T+2 day, the asset custodian may settle with
The company applies to unfreeze the relevant securities; Otherwise, the asset manager shall cooperate with the asset custodian to deal with the frozen securities
If the asset manager does not cooperate, the asset custodian shall dispose of the frozen securities according to law, but must notify the asset manager in writing in a timely manner
Manage people.
（3） Funds generated from securities disposal, if the relevant transactions have not yet been settled, should be used to complete the settlement first
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Some asset managers make up in time.
Article 16 The asset manager knows and confirms that the bonds used for financing repurchase in the assets managed by the asset manager will be used as
Pledged bonds of the relevant settlement reserve account of the asset custodian to repay the due purchase proceeds of financing repo, if the asset manager repurchases bonds
In case of breach of settlement, the clearing company shall dispose the pledged bonds according to law, but shall notify the asset manager in writing in a timely manner. The asset manager shall
The disposal of pledged bonds by the clearing company after the default of bond repo settlement and the liabilities of the asset manager's trustor or trustee
The entrusted bond investment risk shall be notified to the asset manager in writing in advance, and shall be
The trustor signs for confirmation. The contract, operation memorandum and other laws signed by the trustor or trustee with the asset custodian and asset manager
Relevant contents in the document shall be deemed as confirmation.
Article 17 Due to the reason of the asset manager, the assets under its management are oversold or the repurchased pledged bonds are sold
In case of any breach of securities delivery and receipt, the asset custodian shall not deliver the corresponding receivable funds temporarily, and shall, according to the law
The standard of liquidated damages shall be collected from the asset manager. The asset manager shall supplement relevant securities and
Equity. If the asset manager fails to make up, the asset custodian shall handle it according to the relevant business rules of the clearing company according to law, thus
The actual loss incurred shall be borne by the asset manager, and the income shall belong to the assets under custody.
Article 18 In case of default of capital delivery due to the asset manager, the asset custodian shall adopt the following risk management according to law
Measures, but the asset manager must be notified in writing in advance:
（1） Calculate and collect the interest and liquidated damages of the default fund according to the standards of the clearing company;
（2） Increase the minimum provision or settlement margin ratio of assets managed by the asset manager according to the standards of the clearing company;
（3） Report to regulatory authorities and clearing companies;
（4） Declare the suspension of the relevant settlement business of the asset manager to the clearing company in accordance with the business rules of the clearing company;
（5） Other measures required by regulatory authorities or clearing companies.
Article 19 If the asset custodian defaults against the clearing company due to the asset manager, the clearing company
The consequences arising from the implementation of relevant risk management measures shall be borne by the asset manager, which causes the asset manager to manage the assets and
The asset manager shall be responsible for compensating for the actual losses of the asset custodian.
If the receivable funds of the asset manager are not paid to the asset manager or entrusted in time due to the asset custodian
Where a securities registration and settlement institution transfers the securities receivable of the asset manager to the securities account of the asset manager, the asset custodian shall
The asset manager shall bear the liability for breach of contract; In case of breach of settlement to the clearing company due to the asset custodian, the corresponding consequences shall be borne by
Undertaken by the property custodian. The asset custodian shall be responsible for compensating for the actual losses of the assets under custody and the asset manager caused by the above.
Article 20 If any party fails to perform its obligations as agreed herein, it shall be deemed as a breach of contract, unless otherwise provided by law
Unless otherwise stipulated in the laws and regulations or the business rules of the clearing company, or otherwise stipulated in this provision, the defaulting party shall bear the responsibility for
Party A and the actual losses caused by the entrusted assets. If both parties have breached the contract, both parties shall bear their own responsibilities according to the actual situation
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Liability for breach of contract.
Article 21 If one or both parties of the agreement cannot perform this provision due to force majeure
Affects partial or total exemption from liability. Force majeure means that the asset custodian or asset manager cannot foresee, avoid or
Objective conditions that can be overcome. If either party is unable to perform this provision due to force majeure, it shall notify the other party in time and within a reasonable period
It shall provide proof of being affected by force majeure, and take appropriate measures to prevent the expansion of losses.
Article 22 These Provisions are applicable to all businesses now and in the future managed by the asset manager and entrusted by the asset custodian
varieties.
Article 23 During the effective period of the Provisions, if the provisions are changed due to changes in laws and regulations and the business rules of the clearing company
In case of any inconsistency between the contents of the current effective laws, regulations and business rules, the current effective laws, regulations and business rules shall prevail
The provisions of the business rules and the above agreement shall prevail, and both parties shall comply with the latest laws and regulations, business rules and the above agreement
It is proposed to make corresponding amendments and supplements to these Provisions.
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(This page is the signature page of the Depository Agreement of Fuguo Foresight Value Hybrid Securities Investment Fund, without text)
Fund manager: Fuguo Fund Management Co., Ltd. (seal)
Legal representative or authorized representative:
Fund Custodian: China Merchants Bank Co., Ltd. (seal)
Legal representative or authorized representative:
Signing date:
Signed at: