ICBC Credit Suisse Fund Management Co., Ltd
ICBC Credit Suisse Rising Bond Securities Investment Fund
Fund contract
Fund manager: ICBC Credit Suisse Fund Management Co., Ltd
Fund Custodian: Ping An Bank Co., Ltd
catalog
Part I Foreword one
Part II Definitions three
Part III Basic Information of the Fund eight
Part IV Sale of Fund Units ten
Part V Fund Filing twelve
Part VI Subscription and Redemption of Fund Units thirteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-two
Part VIII General Meeting of Fund Unitholders twenty-nine
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian thirty-eight
Part X Custody of the Fund forty-one
Part XI Registration of Fund Units forty-two
Part XII Investment of the Fund forty-four
Part XIII Assets of the Fund fifty
Part XIV Valuation of Fund Assets fifty-one
Part XV Fund Fees and Taxes fifty-eight
Part XVI Income and Distribution of the Fund sixty-one
Part XVII Accounting and Audit of the Fund sixty-three
Part XVIII Information Disclosure of the Fund sixty-four
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-one
Part XX Liability for Breach of Contract seventy-three
Part XXI Dispute Settlement and Applicable Law seventy-four
Part XXII Effectiveness of Fund Contract seventy-five
Part XXIII Other Matters seventy-six
Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Civil Code of the People's Republic of China
Securities Investment Fund Law (hereinafter referred to as "the Fund Law"), Operation Management Office of Publicly Offered Securities Investment Funds
Law of the People's Republic of China (hereinafter referred to as the "Operation Measures"), the Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies
(hereinafter referred to as "Sales Measures"), Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds (hereinafter referred to as "the Measures")
Referred to as "Information Disclosure Measures"), "Provisions on the Management of Liquidity Risk of Publicly Offered Open ended Securities Investment Funds"
(hereinafter referred to as "Liquidity Risk Management Regulations") and other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract
Any document or statement relating to the rights and obligations of the parties to the fund contract related to the fund, such as
In case of any conflict in the fund contract, the fund contract shall prevail. The parties to the fund contract shall comply with the Fund Law and the fund contract
And other relevant provisions.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. Fund investment
The investor shall become the fund share holder and a party to the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of holding fund shares itself indicates its recognition and acceptance of the fund contract.
3、 ICBC Credit Suisse Rising Bond Securities Investment Fund is managed by the fund manager in accordance with the Fund Law
The shares are raised according to the contract and other relevant regulations, and have been approved by the China Securities Regulatory Commission (hereinafter referred to as "CSRC")
Will ") register.
The registration of the Fund raised by the CSRC does not indicate the investment value of the Fund and the market value of the Fund
The fact that the Fund makes substantive judgments or guarantees does not mean that there is no risk in investing in the Fund.
The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence,
However, there is no guarantee that investment in the Fund will be profitable, nor will there be any guarantee of minimum return.
Investors should carefully read the fund contract, fund prospectus, fund product information summary and other information
Disclose documents, judge the investment value of the fund independently, make investment decisions independently, and bear investment risks independently.
4、 The number of fund units held by a single investor of the Fund shall not reach or exceed the total number of fund units
50%, but in the process of fund operation, due to the redemption of fund units and other circumstances beyond the control of the fund manager
Except for 50% or more. If laws and regulations or regulatory agencies have other provisions, such provisions shall prevail.
5、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract
If the content involves defining the rights and obligations between the parties to the fund contract, in case of conflict with the fund contract
The contract shall prevail.
6、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
7、 When the Fund holds specific assets and there are or potential large redemption applications, the Fund Manager shall
After the corresponding procedures, the side pocket mechanism can be activated. See the relevant sections of the fund contract and prospectus for details.
During the implementation of the side pocket mechanism, the fund manager will mark the fund abbreviation specially and will not handle the side pocket account
Subscription and redemption of. Please read the relevant content carefully and pay attention to the side pocket mechanism of the Fund
Specific risks.
Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to ICBC Credit Suisse Rising Bond Securities Investment Fund
2. Fund Manager: ICBC Credit Suisse Fund Management Co., Ltd
3. Fund Custodian: Ping An Bank Co., Ltd
4. Fund contract or this fund contract: refers to the "ICBC Credit Suisse Rising Bond Securities Investment Fund"
The Fund Agreement and any effective amendments and supplements to the Fund Agreement
5. Custody Agreement: refers to the "ICBC Credit Suisse Rising" signed between the Fund Manager and the Fund Custodian for the Fund
Bond Securities Investment Fund Custody Agreement and any effective amendments and supplements to the Custody Agreement
6. Prospectus: refers to the Prospectus of ICBC Credit Suisse Rising Bond Securities Investment Fund and its
to update
7. Announcement of Fund Unit Offering: Refers to the Issuance of Fund Units of ICBC Credit Suisse Rising Bond Securities Investment Fund
Sales Announcement
8. Summary of fund product information: refers to the fund product capital of ICBC Credit Suisse Rising Bond Securities Investment Fund
Material Summary and its update
9. Laws and regulations: refer to the laws, administrative regulations, normative documents
Judicial interpretations, administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
10. Fund Law: refers to the Standing Committee of the Tenth National People's Congress
Adopted at the fifth session of the NPC and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting of the meeting, implemented since June 1, 2013
The 14th Meeting of the Standing Committee of the Second National People's Congress
Decision of the People's Republic of China on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the CSRC on August 28, 2020 and implemented on October 1 of the same year
The Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies issued by the Ministry of Finance and the promulgating authority from time to time
Revision of
12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019, and September 1, the same year
Implemented on March 20, 2020, and approved by the Decision of the CSRC on Amending Some Securities and Futures Regulations on March 20, 2020
The Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds as amended by the Decision of the Ministry of Finance of the People's Republic of China
Revision issued
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Management Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
14. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017, the same year
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1 and promulgated
As amended from time to time by the Authority
15. China Securities Regulatory Commission: China Securities Regulatory Commission
16. Banking regulatory authority: refers to the People's Bank of China and/or the State Administration of Financial Supervision and Administration
17. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume obligations under the Fund Contract
The legal subjects of the Fund, including the Fund Manager, the Fund Custodian and the Fund Unitholders
18. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
19. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal person, public institution legal person and society legally registered and existing or established and existing with the approval of relevant government departments
Groups or other organizations
20. QFII: refers to qualified foreign institutional investors and RMB qualified foreign institutions
The Measures for the Administration of Investors' Domestic Securities and Futures Investment (including its amendments from time to time) and relevant laws and regulations
Foreign institutional investors investing in domestic securities and futures with funds from abroad, including qualified foreign institutions
Investors and RMB Qualified Foreign Institutional Investors
21. Investors, investors: individual investors, institutional investors, qualified foreign investors and
Other investors allowed by laws and regulations or the CSRC to purchase securities investment funds
22. Fund share holder: refers to the investment legally obtained from fund shares in accordance with the fund contract and prospectus
people
23. Fund sales business: refers to the promotion of funds and the sale of fund shares by fund managers or sales agencies,
Handle the subscription, redemption, conversion, re custody and fixed investment of fund units
24. Sales agency: refers to ICBC Credit Suisse Fund Management Co., Ltd. and conforms to the Sales Measures and China
Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund sales contract with the fund manager
Service agreement, the institution handling fund sales business
25. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including
Establishment and management of investor's fund account, registration of fund shares, confirmation, liquidation and settlement of fund sales business
Calculate and distribute dividends on behalf of others, establish and keep the register of fund share holders and handle non trading transfer, etc
26. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is ICBC Credit Suisse Fund Management
Management Co., Ltd. or the institution entrusted by ICBC Credit Suisse Fund Management Co., Ltd. to handle the registration business
27. Fund account: refers to the fund manager's account opened by the registration institution for investors, which records their holdings
Account for the balance of fund units under management and their changes
28. Fund transaction account: it refers to the account opened by the sales agency for the investor to record the investor's passing through the sales machine
Fund shares arising from the organization's handling of subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in amounts and balances
29. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract,
The fund manager has completed the fund filing formalities with the CSRC and obtained the written confirmation of the CSRC
date
30. Fund contract termination date: refers to the date when the fund contract termination causes specified in the fund contract occur
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of liquidation
31. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, with the longest
Not more than 3 months
32. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
33. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
34. T day: refers to that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
open house
35. T+n day: refers to the nth working day from T day (excluding T day), and n is a natural number
36. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
37. Opening Hours: refers to the time period during which the fund accepts subscription, redemption or other transactions on the open day
38. Business Rules: refers to the securities investment fund registration business of ICBC Credit Suisse Fund Management Co., Ltd
Business Rules are the business rules regulating the registration of open-ended securities investment funds managed by fund managers,
To be jointly observed by the fund manager and investors
39. Subscription: during the fund raising period, investors apply for
Please purchase fund shares
40. Subscription: after the Fund Contract comes into effect, the investor applies for
Please purchase fund shares
41. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the provisions of the Fund Contract and the Prospectus
The act of converting fund units into cash under specified conditions
42. Sales service fee: It refers to the amount withdrawn from the fund assets for the marketing, sales and
Service fees for fund share holders
43. Fund unit category: refers to the fund's subscription/subscription fees, redemption fees and sales service fees
Fund units are divided into different categories according to different collection methods. Receive subscription when investors subscribe/subscribe/
If the subscription fees and redemption fees are charged at the time of redemption, and the sales service fees are not withdrawn from the fund assets of this category,
Referred to as Class A fund shares; No subscription/subscription fee is charged when the investor subscribes/subscribes, and redemption is charged when the investor redeems
If the fee is recovered and the sales service fee is withdrawn from the fund assets of this category, it is called Class C fund share
44. Fund conversion: refers to the fund share holders' effective public funds in accordance with the Fund Agreement and the Fund Manager at that time
To apply for converting the fund units of a fund managed by the fund manager into
Behavior of other fund units managed by the fund manager
45. Transfer of custody: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
46. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency, and the agreement on each application
On the purchase date, the amount of deduction and the method of deduction, the sales agency shall, on the agreed deduction date of each period, place the amount of deduction in the bank account designated by the investor
An investment method for automatically completing deduction and accepting fund purchase applications in the account
47. Massive redemption: refers to the net redemption application of the Fund on a single open day (the total number of redemption application units
Add the total number of transferred out application units in fund conversion and deduct the total number of subscription application units and transferred in in fund conversion
The balance after the total number of applied shares) exceeds 10% of the total fund shares on the previous open day
48. RMB: refers to RMB
49. Fund income: refers to the bond interest obtained from fund investment, the price difference between buying and selling securities, bank deposit interest
Other legal income realized and cost and expense savings arising from the use of fund assets
50. Total value of fund assets: refers to various securities owned by the fund, principal and interest of bank deposits, and fund receivables
Total value of funds and other assets
51. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
52. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
53. Fund asset valuation: it refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets
Value and net value of fund units
54. Regulated media: national reports for information disclosure that meet the conditions specified by the CSRC
Internet websites (including the website of the fund manager and the website of the fund custodian) specified in the Information Disclosure Measures
Website, CSRC fund electronic disclosure website) and other media
55. Liquidity restricted assets: refer to assets that cannot be used due to laws and regulations, supervision, contracts or operational barriers
Assets realized at a reasonable price, including but not limited to reverse repurchase with maturity of more than 10 trading days
Fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), asset-backed securities
Bonds that cannot be transferred or traded due to the issuer's debt default
56. Swing pricing mechanism: when the Fund is subject to large purchase and redemption, the net amount of fund units will be adjusted
The market shock cost of the fund's adjusted portfolio is allocated to the investors who actually subscribe and redeem,
So as to reduce the adverse impact on the interests of stock fund unit holders and ensure that the legitimate rights and interests of investors are not damaged
Harm and get fair treatment
57. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of account settlement is to effectively isolate and defuse risks and ensure that investors are treated fairly,
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account and the special account
The account is called side pocket account
58. Specific assets: including: (I) There is no active market price to refer to and the valuation technology is still adopted
Assets with significant uncertainty in fair value; （2） Measured at amortized cost and provision for asset impairment
Assets that still lead to significant uncertainty of asset value; （3） Significant inaccuracy in the value of other assets
Qualitative assets
59. Force majeure: refers to the objective that the parties to the Fund contract cannot foresee, avoid and overcome
event
Part III Basic Information of the Fund
1、 Fund name
ICBC Credit Suisse Rising Bond Securities Investment Fund
2、 Category of fund
Bond securities investment fund
3、 Operation mode of the fund
Contractual and open
4、 Investment objectives of the Fund
On the basis of strict risk control, seek fund funds through active investment in fixed income securities
The long-term stable appreciation of production.
5、 Total minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million.
6、 Selling face value and subscription fees of fund units
The selling face value of the Fund units is RMB 1.00.
The specific subscription rate for Class A fund units of the Fund shall be subject to the provisions of the Prospectus and the Fund Product Information Summary
The subscription fee is not charged for Class C fund units.
7、 Duration of the Fund
Irregular
8、 Type of Fund Units
According to the different collection methods of subscription/subscription fees, redemption fees and sales service fees, the Fund will
Gold shares are divided into different categories. Collect subscription/subscription fees when investors subscribe/subscribe, and collect fees when redeeming
Redemption fees, which are not withdrawn from the fund assets of this category, are called Class A fund units; stay
Investors do not charge subscription/subscription fees when subscribing/subscribing, and charge redemption fees when redeeming
The withdrawal of sales service fees from gold assets is called Class C fund shares.
Fund codes are set for Class A fund units and Class C fund units of the Fund. Due to fund expenses
Different, the net value of the fund units will be calculated separately for the Class A fund units and Class C fund units of the Fund and separately published
Notice.
Investors can choose the type of fund units to subscribe/subscribe for at their own discretion. The Fund's
The specific setting and rate level (except for custody fees and management fees) shall be determined by the fund manager, and shall be
Announcements in the instructions.
Provided that it does not violate laws and regulations and has no material adverse impact on the interests of fund share holders
The Fund Manager may add new fund share categories for the Fund according to the needs of the Fund's development. New Base
Different subscription fees, redemption fees and sales service fees can be set for the category of fund units, without the need to hold fund unit holdings
There is a general meeting. The specific rules on the types of fund units and other relevant matters will be announced separately at that time.
Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period of time from the date of sale of fund units shall not exceed 3 months. See the specific time of sale of fund units
Notice.
2. Way of sale
It is publicly sold through the fund sales outlets of each sales agency. For the specific list of each sales agency, see the fund
The offering announcement and the fund manager's website.
3. Target
Individual investors, institutional investors, contract investors who can invest in securities investment funds in accordance with laws and regulations
Foreign investors and other investors allowed by laws and regulations or the CSRC to purchase securities investment funds.
2、 Subscription of Fund Units
1. Subscription fee
The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and the Fund
Listed in the product data summary. The subscription fees for Class A fund units are not included in the fund assets. Class C fund shares
No subscription fee is charged.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the interest transfer share shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
The specific calculation method of fund subscription units is listed in the prospectus.
4. Handling method of subscribed share balance
The calculation of subscribed shares (including interest converted shares) shall be reserved to 2 decimal places, and the 2 decimal places shall be
The latter part shall be rounded off, and the gains or losses arising from this error shall be borne by the fund property.
5. Confirmation of subscription application
The acceptance of the subscription application by the sales agency does not mean that the application is certain to be successful, but only means that the sales agency confirms that
Received the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application and subscription
Investors shall timely inquire about the confirmation of the shares purchased and properly exercise their legal rights. Due to the investor's negligence in performance
The Fund Manager, the Fund Custodian, the Sales Department
The organization will not bear the losses or adverse consequences caused thereby.
3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. Investors can subscribe for fund units for many times during the raising period, and the subscription fee for Class A fund units shall be
The subscription applications for Class A fund units are calculated separately, but the accepted subscription applications cannot be revoked.
5. If the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds the total number of fund units
50%, the fund manager may limit the subscription application of the investor by means of proportion confirmation. base
The acceptance of a certain subscription application or some subscription applications by the fund manager may lead investors to evade the above 50% proportion in disguised form
If required, the Fund Manager has the right to reject all or part of such subscription applications. Fund shares subscribed by investors
The amount shall be subject to the confirmation of the registration authority after the fund contract takes effect.
Part V Fund Filing
1、 Conditions for Fund Filing
The total number of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units,
If the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200
The offering period expires or the Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and
Engage a legal capital verification institution to verify the capital within 10 days, and report to the CSRC within 10 days from the date of receiving the capital verification report
It will handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund manager shall complete the fund filing procedures and obtain
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not take effect. base
The Fund Manager shall announce the effectiveness of the Fund Contract on the next day after receiving the confirmation document from the CSRC.
The Fund Manager shall deposit the funds raised during the fund raising into a special account, and upon the completion of the fund raising
No one is allowed to use it.
2、 Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by investors within 30 days after the expiration of the fund raising period, plus the bank
Current deposit interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Dan.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract takes effect, the number of fund share holders is less than 200 for 20 consecutive working days
If the net asset value of the fund or the fund is less than 50 million yuan, the fund manager shall report it in the regular report
disclosure; In case of any of the above circumstances for 50 consecutive working days, the Fund Manager shall terminate the Fund Management Agreement after performing the liquidation procedure
Gold Contract, it is unnecessary to hold a general meeting of fund share holders for deliberation.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales agency will be managed by the fund manager
Listed in the prospectus or the fund manager's website. The fund manager can change or increase or decrease the sales machine according to the situation
And publicized on the fund manager's website. The fund investor shall handle the fund sales business at the sales institution
The subscription and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The Fund shall handle the subscription and redemption of fund units on the open day, and the specific handling time is Shanghai Securities Exchange
The trading hours of the Exchange and Shenzhen Stock Exchange on normal trading days, but the Fund Manager shall, in accordance with laws and regulations
Except for the suspension of subscription and redemption as required by the CSRC or the Fund Contract.
After the Fund Contract comes into effect, if there is a new securities trading market, a change in the trading time of the stock exchange, or
Under other special circumstances, the Fund Manager will adjust the aforesaid opening days and hours accordingly, but
It shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date.
2. Start date of subscription and redemption and business handling time
The Fund Manager shall handle the subscription within 3 months from the effective date of the Fund Agreement, and the specific business shall be handled
The processing time shall be specified in the announcement of subscription start.
The Fund Manager shall handle the redemption within 3 months from the effective date of the Fund Contract
The processing time shall be specified in the announcement of redemption commencement.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
The starting time of subscription and redemption shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
The fund manager may not handle the subscription of fund units
Redemption or conversion. The investor puts forward the subscription, redemption or conversion on a date and time other than that specified in the fund contract
The subscription, redemption or conversion price of fund units applied for and accepted by the registration authority shall be the basis of the next open day
The price of subscription, redemption or conversion of gold shares.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption price is the net value of fund units calculated after the closing of the application day
Value as the benchmark for calculation;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager;
4. Redemption follows the principle of "first in, first out", that is, it is carried out in the order of investors' subscription and purchase
Ordinal redemption;
5. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure that
The legitimate rights and interests of investors shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles if permitted by laws and regulations. Fund manager
It must be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
Documents to be submitted by investors when handling subscription, redemption and other businesses, as well as handling procedures, handling time and handling
On the premise of complying with the provisions of the fund contract and the prospectus, the specific provisions of each sales agency are
Accurate.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must propose within the specific business handling time on the opening day according to the procedures specified by the sales agency
Application for subscription or redemption. When submitting the application for subscription, the investor shall prepare for the subscription in the manner prescribed by the sales agency
To purchase funds, investors should ensure that there is sufficient fund share balance in their accounts when submitting redemption applications, otherwise
The application for subscription and redemption is not established.
2. Payment of subscription and redemption funds
When subscribing for fund units, the investor must pay the subscription amount in full
Establishment of purchase; The subscription takes effect when the fund share registration authority confirms the fund share.
The redemption is established when the fund unit holder submits the redemption application; When the fund share registration institution confirms the redemption,
Redemption takes effect. After the investor's redemption application takes effect, the fund manager will pay the redemption within T+7 days (including that day)
Repayment. In case of data transmission delay of stock exchange or trading market, communication system failure, bank data exchange
System failure or other factors beyond the control of the fund manager and fund custodian affect the business process
The redemption amount shall be transferred to the next working day. In the event of a major redemption or the fund
When he suspends redemption or delays payment of redemption money, the payment method shall refer to this Fund Contract
Clause handling.
3. Confirmation of application for subscription and redemption
The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the day of subscription
Or the redemption application date (T day). Under normal circumstances, the Fund's registration authority has
Validation. For the valid application submitted on T date, the investor shall timely receive and sell it after T+2 date (including that date)
The sales outlets shall inquire about the confirmation of the application over the counter or in other ways specified by the sales institutions. If the subscription is not established or
If it is invalid, the principal of the subscription amount shall be returned to the investor.
The acceptance of the application for subscription and redemption by the fund sales agency does not mean that the application is necessarily successful, but only represents the cancellation
The sales agency did receive the application. The confirmation of subscription and redemption shall be subject to the confirmation result of the registration authority. For Shen
Investors should timely inquire about the confirmation of the application and properly exercise their legal rights. Due to the investor's negligence in performing this item
The Fund Manager, the Fund Custodian and the Sales Agency, if any of their relevant rights and interests are damaged as a result of inquiry and other obligations
We will not bear the losses or adverse consequences caused thereby.
4. To the extent permitted by laws and regulations, the Fund registration authority may, in accordance with relevant business rules
The said business handling time will be adjusted, and the Fund Manager will make public announcement in accordance with relevant regulations before implementation
Notice.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor and each redemption
Please refer to the Prospectus or relevant announcements for the specific provisions of the minimum share returned.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See the Prospectus or relevant announcements.
4. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the upper limit of the net subscription proportion of a single day of the Fund
Measures such as rejecting large amount subscription, suspending fund subscription, etc. shall be taken to effectively protect the legitimate rights and interests of holders of stock fund units.
The fund manager can take the above measures to control the fund size based on the needs of investment operation and risk control
System. See the relevant announcement of the Fund Manager for details.
5. The Fund Manager may adjust the above specified subscription amount and redemption if permitted by laws and regulations
Limit on the number of shares. The fund manager must comply with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment
It shall be announced on the specified media.
6、 Purchase and redemption prices, fees and their uses
1. The Fund units are divided into Class A and Class C Fund units. When investors subscribe for Class A fund shares
Pay the subscription fee. The subscription fee for Class C fund units is not paid, but is calculated from the fund assets of that class
Raise sales service fees.
2. The calculation of the net value of various fund units of the Fund shall be kept to 4 decimal places, and the first decimal place
The five digits shall be rounded off, and the resulting gains or losses shall be borne by the fund property. Net amount of various fund units on T day
The value is calculated after the close of the day and announced within T+1 days. Under special circumstances, after performing appropriate procedures
Delay calculation or announcement as appropriate.
3. Calculation of subscription units and handling method of balance: For details of calculation of subscription units of the Fund, see Recruitment
Instructions. The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager and shall be listed in the Prospectus
And the summary of fund product information. The effective share of subscription is the net subscription amount divided by the fund of this type on the current day
Net value of shares. The unit of effective shares is shares. The above calculation results are rounded to the decimal point
The last two, the income or loss arising therefrom shall be borne by the fund property.
4. Calculation and handling method of redemption amount: please refer to the Prospectus for the calculation of redemption amount of the Fund.
The redemption rate of the Fund is determined by the Fund Manager and listed in the Prospectus and the summary of fund product information
Shows. The redemption amount is the effective redemption unit actually confirmed multiplied by the net value of such fund unit on the day and deducted by
The unit of redemption amount is yuan. The above calculation results are rounded to the decimal point
The last two, the income or loss arising therefrom shall be borne by the fund property.
5. The subscription fees for Class A fund units of the Fund shall be borne by the investors who subscribe for Class A fund units
Listed in fund assets; There is no subscription fee for Class C fund units.
6. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned. The proportion of redemption expenses included in the fund property shall be set in accordance with relevant laws and regulations
See the prospectus. The part not included in the fund property is used to pay the registration fee and other necessary formalities
Fees. Among them, investors with a continuous holding period of less than 7 days will be charged a redemption fee of not less than 1.5%, and the full amount will be
Included in the fund assets.
7. The specific calculation method, redemption rate and redemption amount of the Fund's subscription rate and subscription units are as follows:
The calculation method and charging method of the fund shall be determined by the fund manager in accordance with the provisions of the fund contract, and shall be stated in the prospectus
Listed in the book. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract, and
In accordance with the relevant provisions of the Information Disclosure Measures, the new rate or charging method shall be submitted to the regulatory media later than the implementation date of the new rate or charging method
Introduce the announcement.
8. In case of large amount purchase or redemption of the Fund, the Fund Manager may use the swing pricing machine
To ensure the fairness of fund valuation, and the specific handling principles and operating specifications comply with relevant laws, regulations and
Provisions of regulatory authorities and self-discipline rules.
9. The Fund Manager may, without violating the provisions of laws and regulations and the Fund Agreement, hold
Under the circumstance that there is no material adverse effect on the interests of some people, the fund promotion plan shall be formulated according to the market conditions, and the fund promotion plan shall be regularly or not
Regularly carry out fund promotion activities. During the fund promotion activities, the existing fund share holders will not be affected
On the premise of interests, the Fund Manager may appropriately lower the level after performing the necessary procedures as required by the relevant regulatory authorities
Sales rate of the fund.
7、 Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
1. The fund cannot operate normally due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Investor's application for subscription.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. When accepting a certain application or some applications for subscription may affect or damage the interests of existing fund share holders.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It may have a negative impact on the performance of the Fund, or other circumstances may damage the interests of existing Fund Unitholders.
6. One or some subscription applications exceed the upper limit of net subscription proportion per day set by the fund manager
The maximum amount of a single day or single subscription of an investor.
7. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the fund manager shall suspend accepting the application for fund subscription.
8. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor holding the Fund
The proportion of shares reaches or exceeds 50%, or evades 50% concentration in disguised form.
9. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription under one of the above circumstances (1, 2, 3, 5, 7 and 9)
When accepting an investor's application for subscription, the Fund Manager shall publish the suspension on the prescribed media in accordance with the relevant provisions
Subscription announcement. If the investor's application for subscription is rejected in whole or in part, the principal of rejected subscription funds
Will be returned to the investor. When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner
Handling.
8、 Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption
Payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Redemption application of investors or deferred payment of redemption money.
3. The trading time of the stock exchange is abnormally closed, which causes the fund manager to be unable to calculate the fund capital of the day
Net worth.
4. Huge redemption occurs for two or more consecutive open days.
5. In the event that continuing to accept the redemption application will damage the interests of existing fund unit holders
The manager may suspend accepting the redemption application of the fund unit holder.
6. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall postpone the payment of redemption funds or suspend the acceptance of fund redemption applications.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
Under any of the above circumstances, the Fund Manager decides to suspend accepting the redemption application of the investor or postpone the payment
When paying the redemption amount, the Fund Manager shall report to the CSRC for filing as required
The fund manager shall pay in full; If the payment cannot be made in full for the time being, the payable part shall be applied for by a single account
The proportion in the total application amount is distributed to the redemption applicant, and the unpaid part can be deferred, and this part is subject to the redemption
The calculation is based on the net value of such fund units on the application date. In case of the situation described in item 4 above
Handling of relevant terms of the fund contract. When applying for redemption, fund share holders may choose in advance to
The unaccepted part shall be withdrawn. When the suspension of redemption is eliminated, the Fund Manager shall resume redemption in a timely manner
Business handling and announcement.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of the Fund units within a single open day of the Fund (the total number of redemption application units plus the Fund
After deducting the total number of subscription application units from the total number of transfer out application units during conversion and the transfer in application units during fund conversion
If the balance after the total amount exceeds 10% of the total fund shares on the previous opening day, it is deemed that a huge redemption has occurred.
2. Treatment method of huge redemption
When the Fund is redeemed in a large amount, the Fund Manager may, according to the current asset portfolio of the Fund or
The proportion of large redemption units determines full redemption or partial deferred redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption ratio accepted by the fund manager on the same day shall not be less than 10% of the total fund shares on the previous open day
Under the premise of, the remaining redemption applications can be postponed. For the redemption application on that day, it should be based on a single account
The proportion of redemption application amount in the total redemption application amount, and the redemption unit accepted on that day shall be determined; For the non redeemable part
The investor can choose to postpone or cancel the redemption when submitting the redemption application. Those who choose to postpone redemption,
Will automatically transfer to the next business day to continue redemption until all redemption; If redemption is selected, the current day
Some redemption applications that have not been accepted will be cancelled. The deferred redemption application is together with the redemption application on the next open day
Processing, no priority and the redemption amount is calculated based on the net value of such fund units on the following opening day
By analogy, until all redemption. If the investor does not make a clear choice when submitting the redemption application, the investor does not
The redeemable part will be automatically postponed. Some deferred redemptions are not limited by the minimum amount of single redemption.
(3) If the Fund has a huge redemption and a single fund unit holder applies within a single open day
When the redeemed fund units exceed 10% of the total fund units on the previous opening day, the Fund Manager has the right to go ahead
The redemption application of a single fund unit holder exceeding 10% will be postponed, and
Redemption applications of fund holders within 10% (including 10%) and redemption applications of other fund unit holders, based on
The fund manager can decide the full amount according to the current asset portfolio status of the fund or the proportion of large redemption units
Redemption or partial deferred redemption. All deferred redemption applications are processed together with the redemption application on the next open day, none
The redemption amount shall be calculated based on the priority and the net value of such fund units on the following open day, and so on
Until full redemption. See relevant announcements for details.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can postpone the payment
The redemption money shall not exceed 20 working days and shall be announced on the specified media.
3. Announcement of massive redemption
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall mail, fax or call
Other methods specified in the Prospectus shall notify the fund share holders within three trading days, stating the relevant processing party
And publish an announcement on the specified media within 2 days.
10、 Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall specify the media within the specified period
The suspension notice is published on the website.
2. If the suspension occurs for one day, the Fund Manager shall, on the reopening day
Publish the announcement of fund re opening subscription or redemption, and announce the net amount of various fund units in the last open day
Value.
3. If the suspension occurs for more than one day but less than two weeks, the fund will be suspended and re opened for subscription
Or redemption, the Fund Manager shall publish the reopening subscription or redemption of the Fund in the specified media 2 working days in advance
And announce various kinds of basic funds in the latest working day on the opening day when the subscription or redemption process is restarted
Net value of gold shares.
4. If the suspension occurs for more than 2 weeks, the Fund Manager shall
The announcement of suspension will be published once again. When the fund is closed for re opening for subscription or redemption, the fund manager shall
The announcement of the reopening of the fund for subscription or redemption will be published continuously in the specified media within 2 working days, and the fund will be reopened
The net value of various fund units in the latest working day shall be announced on the subscription or redemption date.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
For conversion business with other funds managed by the fund manager, a certain amount of conversion can be charged for fund conversion
The relevant rules shall be formulated and consolidated by the Fund Manager in accordance with relevant laws and regulations and the provisions of this Fund Agreement
And inform the Fund Custodian and relevant institutions in advance.
12、 Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
The resulting non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations. whether
Under any of the above circumstances, the subject receiving the transfer must be an investment that can hold the fund shares of the Fund according to law
People.
Inheritance refers to the death of the fund unit holder, and the fund units held by him shall be inherited by his legal successor;
Donation means that fund share holders donate their legally held fund shares to welfare foundations or societies
Association; Judicial enforcement means that the judicial authority holds
Fund units are forcibly transferred to other natural persons, legal persons or other organizations. Basis must be provided for non transaction transfer
The relevant information required by the gold registration authority shall be subject to the fund registration machine for the qualified non transaction transfer application
It shall be handled in accordance with the provisions of the Fund Registration Authority and charged in accordance with the standards prescribed by the Fund Registration Authority.
13、 Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
A sales agency may collect the transfer custody fee according to the prescribed standards.
If the fund manager, registration agency and sales agency handling re custody are limited by technical system performance
For other reasonable reasons, such business may be suspended or the Fund Unitholders' application for re depositing may be rejected.
14、 Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be separately formulated by the Fund Manager
Line regulations. The investor can agree on the amount of deduction in each period when handling the fixed investment plan
The amount must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
The minimum subscription amount of the investment plan.
15、 Freeze, unfreeze and pledge of fund shares
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law, and
Freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations.
If the fund shares are frozen, the rights and interests generated by the frozen part will be frozen together, and the frozen part will remain
Participate in income distribution. Unless otherwise specified by laws and regulations or regulatory authorities.
If relevant laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses,
After performing the relevant procedures, the Fund Manager shall
The corresponding business rules will be formulated and implemented.
16、 Transfer of Fund Units
Provided that laws and regulations permit and conditions are met, there is no material adverse effect on fund share holders
In the event that the relevant procedures are followed, the Fund Manager may accept that the Fund Unitholders pass the CSRC
The application for transfer of fund units shall be made by the trading place or trading method recognized by the registration authority, and the registration authority shall handle the transfer of fund units
Registration of transfer of gold shares. If the Fund Manager intends to accept the transfer of fund units, it will make an announcement in advance
Unit holders shall handle the transfer of fund units in accordance with the business rules announced by the fund manager.
17、 Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in the Prospectus or relevant companies
Notice.
Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: ICBC Credit Suisse Fund Management Co., Ltd
Domicile: 901, A-5, 9/F, No. 5 and A-5, Financial Street, Xicheng District, Beijing
Legal representative: Zhao Guicai
Date of establishment: June 21, 2005
Approval authority and approval document number: CSRC Zhengjian Jiji Zi [2005] No. 93
Organizational form: limited liability company
Registered capital: RMB 200 million
Duration: continuous operation
Tel: 400-811-9999
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption or conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise the rights arising from the investment of fund assets in securities for the benefit of the Fund in accordance with laws and regulations
Benefit;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(15) Select and replace law firms, accounting firms, securities brokers or other funds
External institutions providing services;
(16) Formulate and adjust relevant fund subscription, subscription
Business rules for redemption, conversion, non trading transfer, custody transfer and income distribution;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Information disclosure and
Reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclose to others, except for those provided to external professional consultants such as regulators, judicial authorities, auditors, and legal consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant materials shall not be less than the minimum period stipulated by laws and regulations;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Contract cannot take effect if the Fund fails to meet the filing conditions for the Fund during the raising period,
The Fund Manager shall bear all the raising costs and pay the raised funds in the base together with the interest of the current deposit of the bank for the same period
The fund shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: Ping An Bank Co., Ltd
Address: 5047 Shennan East Road, Luohu District, Shenzhen, Guangdong Province
Legal representative: Xie Yonglin
Time of establishment: December 22, 1987
Establishment approval authority and establishment approval document number: Yin Fu [1987] 365 of the People's Bank of China
Organizational form: limited liability company
Registered capital: RMB 19405918198
Duration: continuous operation
Approval document and document number of fund custody qualification: CSRC ZJXK [2008] No. 1037
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) In accordance with relevant market rules, open capital accounts, securities accounts and other investment accounts for the Fund,
Clearing securities trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
To seek benefits for oneself and any third party, it is not allowed to entrust a third party to trust the fund property;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open the fund account, securities account and other accounts required for investment of the fund property according to the regulations
As agreed in the Gold Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager;
(7) Keep fund business secrets, unless otherwise specified in the Fund Law, the Fund Contract and other relevant regulations
In addition to the regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others, but shall be disclosed to the regulatory authority
Except those provided by external professional consultants such as legal authorities, auditors and legal consultants;
(8) Review and review the net fund asset value, net fund share value and fund share calculated by the fund manager
Amount of subscription and redemption price;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
Specify whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract; If
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state whether the Fund Custodian has taken
Appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities not lower than
The minimum period stipulated by laws and regulations;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund share holders or to cooperate with the fund manager and fund share holders to convene a general meeting of fund share holders in accordance with the law;
(16) Supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And the banking regulatory authority, and notify the fund manager;
(19) In case of any loss of fund property due to violation of the Fund Contract, the Company shall be liable for compensation and act as trustee
The liability for compensation during the period of custody shall not be exempted due to his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
3、 Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund investor will become the fund share holder and the fund investor will become the fund share holder
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Unless otherwise stipulated by laws and regulations or the fund contract, each fund unit of the same category has the same
And other legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Unless otherwise specified by laws and regulations or the Fund Contract
Unless otherwise agreed, each fund unit held by the fund unit holder shall have equal voting rights.
The National People's Congress of the holders of Fund units of the Fund does not set up daily institutions.
1、 Reason for convening
1. Unless otherwise stipulated by laws and regulations, the CSRC or the Fund Contract
A general meeting of fund unit holders shall be held when one of the following circumstances arises or needs to be decided:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standard of the Fund Manager and the Fund Custodian or increase the sales service rate;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund shares that individually or collectively hold more than 10% (including 10%) of the total fund shares
The amount holder (calculated based on the fund shares on the day when the fund manager receives the proposal, the same below) writes about the same matter
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
On the premise of no material adverse effects, after performing appropriate procedures, the following circumstances may be determined by the Fund Manager and the Fund Manager
The Fund Custodian does not need to hold a general meeting of Fund Unitholders to make amendments after consultation:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the redemption fee, lower the sales service rate or change the charge
Mode;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) Add, cancel or adjust the fund share category setting;
(6) The fund manager, sales agency and registration agency adjust the fund subscription, purchase, redemption
Rules for conversion, non transaction transfer, custody transfer and other businesses;
(7) Launch new business or service;
(8) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
2、 Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall submit a written request on the same matter
A written proposal shall be submitted to the Fund Manager for convening a general meeting of Fund Unitholders. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Fund Custody
People shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the basis of the proposal in writing
Representatives of gold share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written decision
The Fund Manager shall be convened and notified within 60 days from the date of the announcement, and the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request to call
If a general meeting of fund unit holders is held and neither the fund manager nor the fund custodian convenes it, it shall be held separately or jointly
The fund share holders with more than 10% (including 10%) of the fund shares in the table have the right to convene the meeting on their own and at least in advance
30 Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law,
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
4、 Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
Other methods allowed by the institution and agreed in the fund contract, and the convening method of the meeting shall be determined by the convener
Definitely.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
1/2 of the total fund units, the convener may hold the fund unit holders' meeting at 3
The General Meeting of Fund Unitholders shall be reconvened within six months after the expiration of six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other means specified in the announcement of the meeting shall be delivered to the address designated by the convener before the deadline for voting. through
The meeting shall vote in writing or in other ways specified in the notice of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; If I directly give a vote or authorize another person to give a vote on behalf of the fund share holder
If the fund units held are less than half of the total fund units on the equity registration date, the convener may make an announcement in the original
Within 3 months and 6 months after the time of holding the general meeting of fund unit holders of
Convene a new general meeting of fund unit holders. The reconvened general meeting of fund unit holders shall have one-third of the representatives
One or more (including one third) holders of fund units directly issue voting opinions or authorize others to issue voting opinions
Voting opinions;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. The Fund Unitholders of the Fund may also adopt
Authorize its agent to attend the general meeting of fund unit holders and exercise voting rights in other non written ways; At the meeting
In terms of convening method, the Fund can also adopt other off-site methods or combine on-site methods with off-site methods
The general meeting of fund share holders shall be held in a joint way, and the meeting procedures shall be in accordance with the procedures of on-site meetings and communication meetings
Sequence. Fund share holders may vote in writing, online, telephone or other ways
The method shall be determined by the convener of the meeting and specified in the notice of the meeting.
5、 Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the general meeting of shareholders.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than half (including half) of the voting rights held by the agent shall elect a fund share holder
As the host of the Fund Unitholders' Meeting. The Fund Manager and the Fund Custodian refuse to attend or
The General Meeting of Fund Unitholders shall not affect the validity of the resolutions made at the General Meeting of Fund Unitholders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
6、 Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except as provided in the second item below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. In addition to laws and regulations, China Securities Regulatory Commission
Or unless otherwise specified in the fund contract, change the operation mode of the fund, change the fund manager or fund custodian
The termination of the Fund Contract and the merger of the Fund with other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total fund shares represented by the fund share holders who issue the voting opinions
Number.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has different opinions on the voting results submitted
The number of votes demanded may be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
8、 Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be submitted to the
Announcement on specified media. If voting is conducted by means of communication, the resolution of the general meeting of fund share holders shall be announced
The full text of the notarial certificate, the notarial institution and the name of the notary must be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
9、 Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund units held by the holder shall not be less than half (including half) of the relevant fund units on the equity registration date
One);
4. If the fund unit holders who participate in the voting of the general meeting of fund unit holders hold small fund units
On the equity registration date, half of the relevant fund units, the convener held the majority of the fund units in the original announcement
Fund unit holdings reconvened within 6 months and 3 months after the date of the meeting
The National People's Congress shall have holders representing more than one-third (including one-third) of the relevant fund units participate in or grant
To authorize others to vote at the general meeting of fund share holders;
5. One half of the voting rights of fund share holders and proxies present at the meeting
One fund unit holder elected by the above (including one half) as the fund unit holder meeting
The host of;
6. General resolutions shall be subject to two percent of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
During the implementation of the side pocket mechanism, the matters to be considered at the general meeting of fund share holders involve the main pocket account and the side pocket account
The fund share holders of the main pocket account and the side pocket account shall vote respectively
Each fund share in the fund has equal voting rights. If the voting matter does not involve the side pocket account, the side pocket account
No voting rights.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section
The relevant provisions of this part shall apply to those not specified in this section.
10、 This part deals with the causes, conditions, procedures and voting of the general meeting of fund share holders
Conditions and other provisions, which directly refer to laws, regulations or regulatory rules, such as future laws, regulations or regulations
If the amendment of the rules results in the cancellation or change of the relevant contents, the Fund Manager and the Fund Custodian shall reach an agreement and propose
After the previous announcement, this part can be modified and adjusted directly without convening a general meeting of fund share holders
consideration.
Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution shall be made by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4. Filing: within five days from the date of adoption of the resolution of the General Meeting of Fund Unitholders to change the Fund Manager
Report to the CSRC for filing;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
After the resolution of the general meeting of shareholders takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
6. Handover: If the duties of the fund manager are terminated, the original fund manager shall properly keep the fund management business
And timely handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager,
The temporary fund manager or the new fund manager shall take over in a timely manner. New fund manager or temporary fund management
The person shall check the total value and net value of the fund assets with the fund custodian;
7. Audit: if the duties of the fund manager are terminated, the fund manager shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The expenses shall be disbursed from the fund assets;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution becomes effective from the date of voting;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: within five days from the date of adoption of the resolution of the General Meeting of Fund Unitholders to change the Fund Custodian
Report to the CSRC for filing;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
After the resolution of the general meeting of shareholders takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
6. Handover: If the duties of the Fund Custodian are terminated, the original Fund Custodian shall properly keep the Fund assets and
Information on fund custody business, timely handling of fund assets and funds with the temporary fund custodian or the new fund custodian
The new Fund Custodian or the temporary Fund Custodian shall take over the handover procedures of the fund custody business in a timely manner. new
Serve as the Fund Custodian or Temporary Fund Custodian to check the total value and net value of the Fund's assets with the Fund Manager;
7. Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The expenses shall be disbursed from the fund assets.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of their total shares nominate new fund managers and fund custodians;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new Fund Manager and Fund Custodian shall change the Fund Manager and Fund Custodian
After the resolution of the general meeting of the Fund Unitholders of the custodian takes effect, the relevant provisions of the Information Disclosure Measures shall be followed
Joint announcement on the media.
（4） New Fund Manager/Temporary Fund Manager Receives Fund Management Business or New Fund Custodian/Temporary
Before the Fund Custodian receives the Fund assets and the Fund custody business, the original Fund Manager or the original Fund Custodian shall
Continue to perform relevant duties in accordance with laws and regulations and the provisions of the Fund Agreement, and ensure that the Fund Unitholders will not
The interests of. The original fund manager or the original fund custodian still has
The right to charge fund management fees or fund custody fees in accordance with the provisions of the fund contract.
3、 The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
References to laws, regulations or regulatory rules, such as the relevant contents caused by the modification of laws, regulations or regulatory rules in the future
In case of cancellation or change, the Fund Manager and the Fund Custodian may, upon consensus and prior announcement, directly
Some contents are modified and adjusted without the need to convene a general meeting of fund share holders for deliberation.
Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall enter into a contract in accordance with the Fund Law, the Fund Contract and other relevant provisions
Escrow Agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
Obligations and responsibilities to ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
Part XI Registration of Fund Units
1、 Registration business of fund units
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf of others, establishing and keeping the register of fund share holders and handling non trading transfer.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
Handling. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall sign an entrustment agreement with the agent
Management agreement to clarify the fund manager and agency's management of the investor's fund account, fund share registration
The right to liquidate and confirm fund transactions, distribute dividends, establish and keep the register of fund share holders and other matters
And obligations to protect the legitimate rights and interests of fund share holders.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. Within the scope permitted by laws and regulations, the time for handling registration business shall be adjusted, and
The relevant regulations shall be announced on the specified media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract
Service;
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institutions recognized by the CSRC. Its retention period shall not start from the date of cancellation of the fund account
Less than 20 years;
4. Having the obligation to keep confidential the fund account information of the fund share holder
Investors or funds shall bear corresponding compensation liability for losses incurred, but judicial compulsory inspection and laws
Except for other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract;
5. Handle non trading transfer business for investors and provide
Other necessary services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Part XII Investment of the Fund
1、 Investment objectives
On the basis of strict risk control, seek fund funds through active investment in fixed income securities
The long-term stable appreciation of production.
2、 Investment scope
The investment scope of the Fund includes government bonds, central bank bills, financial bonds, local government bonds, corporate bonds, and corporate bonds
Corporate bonds, short-term financing bonds, ultra short-term financing bonds, medium-term notes, subordinated bonds, bonds of government supported institutions, securities
Short term corporate bonds, asset-backed securities, bank deposits, inter-bank certificates of deposit, bond repurchase, cash
And other financial instruments permitted by laws and regulations or the CSRC to be invested by the Fund.
The Fund does not invest in assets such as stocks, nor in convertible bonds and exchangeable bonds.
Asset allocation ratio of the Fund's investment portfolio: the proportion of bond assets in the Fund's assets is not less than 80%
The total proportion of cash held by the Fund and government bonds with maturity of less than one year at the end of trading days is not
Less than 5% of the net asset value of the fund, of which cash does not include settlement provisions, deposits and purchase receivables
And so on.
For other types of investment permitted by laws and regulations or regulatory authorities in the future, the Fund Manager shall perform appropriate
After the procedure, it can be included in the investment scope, and its investment proportion shall comply with the then effective laws and regulations or relevant provisions.
3、 Investment strategy
1. Interest rate expectation strategy and duration management
The Fund will investigate the dynamic changes and expected changes of market interest rates, and assess the impact of GDP, CPI, PPI and foreign exchange income
And international market liquidity dynamics and other relevant factors that cause interest rate changes
The possible scenarios of international and domestic macroeconomic operation, and on this basis, the judgment includes fiscal policy and domestic
And the monetary policy and exchange rate policy of major developed countries and regions
Predict and judge the future trend of interest rate level and yield curve, and combine the bond market funds and bonds
The supply and demand structure and change trend of bonds determine the duration allocation of fixed income assets.
When the expected market interest rate level will rise, reduce the duration of the portfolio; When market interest rates are expected to fall,
Increase the duration of the portfolio. To improve the bond portfolio by taking advantage of the fluctuation of market interest rate and the adjustment of bond portfolio duration
Combined with yield purpose.
The Fund establishes or changes the term structure of the portfolio according to the expectation of the change in the shape of the yield curve. By pre
Measure the direction of the change of the yield curve, and then construct the portfolio according to the scenario analysis of the change of the yield curve shape
The term structure of. Specifically, it can be divided into riding strategies that track the yield curve and changes based on the yield curve
Bullet strategy, barbell strategy and ladder strategy.
(1) The ride strategy is to adjust the bond portfolio timely based on the yield curve analysis. Current yield
When the curve is steep, that is, when the interest margin between adjacent terms is large, the buying term can be located at the steep part of the yield curve
With the extension of holding period, the remaining period of bonds
The limit will be shortened. At this time, the yield level of bonds will be lower than that at the beginning of the investment period
To gain capital gains.
(2) Bullet strategy is to focus the bond duration in the portfolio on one point of the yield curve, which is applicable to
When the yield curve is steep; The barbell strategy is to focus the duration of bonds in the portfolio on two aspects of the yield curve
End, applicable to butterfly changes where the two ends of the yield curve decline more than the middle; Ladder strategy is to make investment
The bond duration in the portfolio is evenly distributed on the yield curve, which is suitable for the horizontal movement of the yield curve.
2. Generic configuration policy
Category allocation mainly includes asset category selection, appropriate combination of various assets and management of asset portfolio
Li. The Fund will, on the basis of interest rate expectation analysis and determination of duration allocation scope
The method of combining historical forecast, "from top to bottom" in the bond primary market, secondary market and inter-bank market
And the exchange market, bank deposits, bonds, interbank deposit receipts and other asset categories
Determine the asset portfolio with optimal risk return characteristics.
3. Credit bond investment strategy
The Fund will, based on the industry development, corporate governance, financial status and other information of the issuer's company
In one step, analyze the bonds in combination with the specific terms of bond issuance, assess the credit risk premium, and explore the relative
A coupon of value.
In order to control the credit risk of the Fund, the Fund will irregularly assess the credit qualifications and issuers of the bonds invested
To assess the solvency. For bonds issued by issuers with potential credit risks, timely formulate
Risk disposal plan.
The credit assets (credit bonds and asset-backed securities) invested by the Fund shall meet the following conditions:
The credit rating of Jin's active investment in credit assets is not lower than AA+, among which, the credit assets invested in AA+account for credit
The proportion of assets used shall not exceed 20%, and the proportion of credit assets invested in AAA shall not be less than 80% of credit assets.
The above credit rating is debt rating, credit assets with short-term credit rating and credit assets without debt rating
Please refer to the credit rating of the entity. The determination of the above credit rating shall be issued by reference to the rating agency selected by the Fund Manager
The bond credit rating of.
During the period when the Fund holds credit bonds and asset-backed securities, if the fund manager suffers from credit rating decline
If the above investment agreement is not met due to factors other than, it shall be adjusted within 3 months from the date of the rating report
To meet the agreement, except for special circumstances stipulated by the CSRC.
4. Margin strategy
The Fund will consider the risk and return of bond investment, repurchase costs and other factors,
Within the scope of controllable risks and laws and regulations, investment operations can be carried out through bond repurchase and leverage amplification.
5. Short term corporate bond investment strategy of securities companies
The Fund will pass a comprehensive examination of the issuer's corporate background, asset liability ratio, cash flow and other factors
Quantity, analyze the default risk and reasonable interest margin level of short-term corporate bonds of securities companies, and try to select liquidity
Invest in relatively good varieties, and strive to improve returns as much as possible under the premise of controlling investment risks.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's investment in bond assets shall not be less than 80% of the Fund's assets;
(2) Cash held by the Fund at the end of each trading day and government bonds with maturity within one year
The total proportion shall not be less than 5% of the net asset value of the fund, of which cash does not include settlement provisions, deposits
Receivable subscription amount, etc;
(3) The Fund holds securities issued by a company 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, which shall not exceed the amount of the certificate
10% of the bonds, the fund varieties that invest in securities in full accordance with the composition ratio of the relevant index may not be subject to this
The proportion limit specified in the clause;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of the asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(10) The market value of the Fund's active investment in liquidity restricted assets shall not exceed the net asset value of the Fund
15%； Non conformance of funds due to factors other than fund managers such as fluctuations in the securities market and changes in fund size
Where the proportion is restricted as prescribed in the preceding paragraph, the fund manager shall not actively increase the investment of liquidity restricted assets;
(11) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the fund contract
bring into correspondence with;
(12) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Except for the provisions of Items (2), (10) and (11)
The fund investment ratio does not meet the above specified investment ratio due to factors other than the fund manager, such as fund size change
For example, the fund manager should make adjustment within 10 trading days, but under special circumstances specified by the CSRC
Except for shape.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, except as otherwise stipulated by the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the Fund's investment objectives and investment strategies, and follow the Fund's
The principle of giving priority to the interests of share holders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism,
Implement according to fair and reasonable market price. Relevant transactions must be approved by the fund custodian in advance and in accordance with the law
Disclosure of regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
Laws and regulations or regulatory authorities cancel or adjust the above prohibitive provisions, if applicable to the Fund
After the Manager has performed the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
5、 Performance Benchmark
The benchmark for performance comparison of the Fund is the yield of the China Bond Comprehensive Wealth (Gross) Index.
The China Bond Comprehensive Wealth (Gross Value) Index is a reflection prepared by the Central Government Securities Depository and Clearing Co., Ltd
A representative index of the overall trend of China's bond market. The sample bonds of the index cover China's inter-bank market and
In the exchange market, component bonds include government bonds, central bank bills, financial bonds, corporate bonds, short-term financing bonds, etc
Almost all types of bonds are widely representative of the market and can reflect the overall trend of the bond market. China Bond Group
The combined wealth (gross value) index is the index value calculated based on the full price of bonds, taking into account the reinvestment of interest on the interest payment date,
That is, reinvestment of interest is included in the index when sample bonds pay interest. The Fund Manager believes that the performance comparison
At present, the benchmark can effectively reflect the risk return characteristics of the Fund.
If the index compilation unit stops calculating and compiling the index or changes the index name, or the laws and regulations in the future issue
Changes occur, or more authoritative and more widely accepted performance benchmarks are introduced
The custodian has reached consensus that the Fund may change the performance benchmark and make timely announcement after performing appropriate procedures. None
A general meeting of fund share holders is required.
6、 Risk return characteristics
The Fund is a bond fund with lower expected returns and risks than equity funds and hybrid funds,
Higher than money market funds.
7、 Principles and methods for the Fund Manager to exercise relevant rights on behalf of the Fund
1. It is conducive to the safety and appreciation of fund assets;
2. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with relevant national regulations and protect the Fund
The interests of the holder;
3. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
8、 Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without the need to convene a fund
Deliberation at the general meeting of unit holders.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance comparison benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal changes of specific assets of side pocket accounts
See the provisions of the Prospectus for details of matters such as cash and payments that have a significant impact on investors' rights and interests.
Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to all kinds of securities owned by the fund, principal and interest of bank deposits, and fund receivables
And other assets.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts and securities accounts for the Fund in accordance with relevant laws, regulations and normative documents
Account and other special accounts required for investment. The special fund account opened with the fund manager, fund custodian
The property accounts owned by the fund sales agency and the fund share registration agency and other fund property accounts are different
stand.
4、 Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody by the gold custodian. The Fund Manager, the Fund Custodian, the Fund Share Registrar and the Fund Sales Agency shall
Its own property shall bear its own legal liability, and its creditors shall not apply for freezing of the Fund's property
To settle, detain or other rights. Except for disposal in accordance with laws and regulations and the Fund Contract, the Fund property shall not
May be punished.
The Fund Manager and the Fund Custodian were dissolved, dissolved or declared bankrupt according to law
In case of liquidation, the fund assets shall not belong to its liquidation assets. Assets of fund manager management and operation fund assets
The generated creditor's rights may not offset the debts generated by its inherent assets; Different bases for fund manager management and operation
The creditor's rights and liabilities arising from the fund assets of the fund shall not offset each other. Liabilities not due to the fund property itself,
It shall not enforce the fund assets.
Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities exchange of the Fund and national laws and regulations
It is required to disclose the net value of the fund to the public on non trading days.
2、 Valuation object
Bonds, principal and interest of bank deposits, receivables, inter-bank deposit receipts, asset-backed securities
Other investment and other assets and liabilities.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with
Accounting Standards and relevant regulations of regulatory authorities.
（1） For investment varieties with an active market and the same quoted price of assets or liabilities
If there is a quotation on a daily basis, the quotation shall be applied to the fund without adjustment, except for the exceptions specified in the accounting standards
Fair value measurement of assets or liabilities. There is no quotation on the valuation date and there is no impact on fair value measurement after the latest trading day
In case of major events, the quoted price on the latest trading day shall be used to determine the fair value. There is sufficient evidence to indicate the valuation
If the quoted price on the latest trading day cannot truly reflect the fair value, the quoted price shall be adjusted to determine the fair value
Value.
The fair value of the same assets or liabilities shall be used if they are the same as the above investment varieties but have different characteristics
And consider the influence of different characteristic factors in the valuation technology. Feature refers to the sale or use of assets
If the limit is for the asset holder, the limit should not be made in the valuation technology
Consider the characteristics. In addition, the fund manager should not consider the risk of
Premium or discount.
（2） For investment varieties that do not have an active market, they should be suitable for the current situation and have enough
The fair value can be determined by using valuation techniques supported by data and other information. Use valuation techniques to determine fair price
The observable input value should be used preferentially, only when the observable input value of relevant assets or liabilities cannot be obtained
The unobservable input value can be used only when it is impracticable.
（3） In case of major changes in the economic environment or major events affecting the securities price of the securities issuer
If the impact of the potential valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%
The valuation is adjusted and the fair value is determined.
4、 Valuation method
1. Valuation of securities listed on stock exchanges
(1) Non equity fixed income varieties listed on the exchange market or transferred by listing (otherwise specified
Except), select the full valuation price of the corresponding varieties provided by the third-party valuation benchmark service agency on the valuation date
Line valuation.
(2) Fixed income varieties with rights listed on the exchange market or transferred by listing (unless otherwise specified
Select the unique full valuation price of the corresponding varieties provided by the third-party valuation benchmark service agency on the valuation date
Or recommend full valuation price for valuation.
(3) The fair value of the securities listed on the Exchange without an active market shall be determined by valuation techniques.
The fair value of asset-backed securities listed and transferred in the exchange market shall be determined by valuation techniques.
(4) For unlisted or unlisted bonds issued in the exchange market
Under such circumstances, the unadjusted quotation in the active market shall be taken as the fair value on the valuation date; For active markets
If the quotation fails to represent the fair value on the valuation date, the market quotation shall be adjusted to confirm the
Fair value; In the case of no or few market activities, valuation techniques should be used to determine
Its fair value.
2. For the initial public offering of unlisted bonds, valuation techniques shall be used to determine the fair value.
3. For the fixed income varieties without rights in the national inter-bank market, the third-party valuation benchmark shall be used
The full price valuation of the corresponding varieties provided by the institution on the current day. Fixed income products with rights in the inter-bank market
Type, according to the unique full valuation price or recommended valuation on the day of the corresponding type provided by the third-party valuation benchmark service agency
Value at full price. For the fixed income varieties that are not listed or transferred without listing and have no active market
The valuation technology determines its fair value.
4. For fixed income varieties including the investor's right to put back, if the right to put back is exercised
Select the unique full valuation price of the corresponding varieties provided by the third-party valuation benchmark service agency during the actual collection date
Or recommend full price valuation. If the right of resale is not exercised after the deadline of the registration period for resale (including the date)
The price corresponding to the payment period is estimated.
5. If the same security is traded in two or more markets at the same time, it shall be separately evaluated according to the market in which the security is located
Value.
6. Other assets shall be valued according to laws and regulations or relevant regulations of the regulatory authority.
7. In case of large amount purchase or redemption of the Fund, the Fund Manager may adopt the swing pricing mechanism,
In order to ensure the fairness of fund valuation, the specific handling principles and operating specifications comply with relevant laws, regulations and supervision
Provisions of departments and self-discipline rules.
8. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, make an appraisal based on the method that best reflects the fair value
Value.
9. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Undertake. The fund manager is the fund accounting responsible party of the Fund
If no agreement can be reached after full discussion on the basis of equality between relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
5、 Valuation procedures
1. The net value of various fund units is calculated by dividing the net value of various fund assets by the current
The daily balance of fund units of the corresponding category is calculated to the nearest 0.0001 yuan, with the fifth and fourth place after the decimal point
Rounding, and the resulting error shall be included in the fund assets. The fund manager may set up
Net worth accuracy emergency adjustment mechanism. If the national laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund and the net value of various fund units on each working day, and shall publish
Notice.
2. The Fund Manager shall evaluate the assets of the Fund every working day. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. The Fund Manager's valuation of the Fund's assets on each working day
After that, the information result of the net value of the fund will be sent to the Fund Custodian, and after the Fund Custodian has verified that there is no error, it will be managed by the Fund
The manager shall publish it to the public as required.
6、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When the net value of any type of fund unit is within 4 decimal places (including the 4th decimal place)
If the value is wrong, it shall be deemed that the net value of such fund units is wrong.
The parties to this Fund Contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
"Valuation error handling principle" shall pay compensation and bear compensation liability.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc. For errors caused by technical reasons, if
If the existing technical level of the same industry is unforeseeable, unavoidable or insurmountable, it is force majeure
The implementation of relevant provisions on "force majeure" is described.
The investor's transaction information is lost or wrongly handled or other problems are caused due to force majeure
Wrong, the party who made an error due to force majeure shall not be liable for compensation to other parties, but
The party who wrongly obtains the unjust enrichment shall still have the obligation to return the unjust enrichment.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors;
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
If the party with the obligation to assist has enough time to make corrections but fails to make corrections, the party with the obligation to assist shall
It shall bear the corresponding liability for compensation. The party responsible for the valuation error shall confirm the correction to the relevant parties,
Ensure that valuation errors have been corrected.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the liability for valuation error
Party A shall compensate the loss of the injured party, and shall, within the scope of the amount of compensation paid
People have the right to demand the delivery of unjust enrichment; If the party who has obtained the unjust enrichment has wronged this part
If the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of unjust gains it has received
The difference between the total return of interest and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of any type of fund unit, the Fund Manager shall immediately correct it,
Inform the Fund Custodian and take reasonable measures to prevent further losses.
(2) When the error deviation reaches 0.25% of the net value of such fund units, the Fund Manager shall notify the Fund Manager that
The fund custodian shall also report to the CSRC for filing; When the error deviation reaches 0.5% of the net value of such fund units
The fund manager shall announce and notify the fund custodian and report to the CSRC for filing.
(3) When the calculation error of the net value of fund units causes losses to the funds and fund unit holders
In case of compensation, the Fund Manager and the Fund Custodian shall define the responsibilities of both parties according to the actual situation, and upon confirmation
The compensation shall be made according to the following terms:
① The Fund Manager shall be responsible for the accounting of the Fund. Accounting issues related to the Fund,
If no agreement can be reached after full discussion on the basis of equality between the two parties, it shall be implemented according to the proposal of the fund manager
The Fund Manager shall be responsible for making compensation for the losses caused to the Fund Unitholders and the Fund property.
② If the net value of fund units calculated by the Fund Manager has been reviewed and confirmed by the Fund Custodian and announced
If losses are caused to fund share holders, compensation shall be paid to investors or funds in accordance with laws and regulations
The Fund Manager and the Fund Custodian shall, according to the amount of compensation actually paid to investors or the Fund
Each degree shall bear corresponding responsibilities.
③ For example, the calculation results of the fund manager and the fund custodian on the net value of fund units, although recalculated many times
If no agreement can be reached, in order to avoid the situation that the net value of fund units cannot be announced on time
The calculation results of the Fund Manager are published to the public, resulting in losses to the Fund Unitholders and the Fund, and
The fund manager shall be responsible for compensating the losses caused by the error of deferring the calculation of the net asset value of the fund on the trading day.
④ Due to the information error provided by the fund manager (including but not limited to the fund purchase or redemption amount),
The Fund Custodian still cannot find the error after performing the normal review procedure, which leads to the calculation of the net value of the Fund units
The Fund Manager shall be responsible for compensating the losses of the Fund Unitholders and the Fund property caused by the miscalculation.
(4) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions. If line
The fund manager and
The Fund Custodian shall renegotiate on the principle of equality and protection of the interests of Fund Unitholders
Then.
7、 Suspension of valuation
1. When the securities trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances stipulated by laws and regulations, recognized by the CSRC and the fund contract.
8、 Recognition of net fund value
The fund manager is responsible for calculating the net asset value of the fund and the net value of various fund units, and the fund custodian is responsible for
Review. The Fund Manager shall calculate the net asset value of the Fund on each working day and
The net value of Class A fund units shall be sent to the fund custodian. Issued after the Fund Custodian reviews and confirms the net value calculation results
The fund manager shall publish the net value of the fund according to the regulations.
9、 Handling of special cases
1. Errors caused by the Fund Manager or the Fund Custodian when conducting valuation according to Item 8 of the valuation method
The difference is not treated as an error in the valuation of fund assets.
2. Due to force majeure, or sent by the stock exchange, registration authority and other third-party institutions
Data error, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures
The Fund Manager and the Fund Custodian have made errors in the valuation of the Fund assets due to the inspection but no errors are found
The administrator shall be exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or
Mitigate the resulting impact.
10、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the main pocket account assets shall be valued and
Disclose the net fund value information of the main pocket account, and suspend the disclosure of the net fund value information of the side pocket account.
Part XV Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Sales service fees for Class C fund units;
4. Unless otherwise specified by laws and regulations and the CSRC, the Fund Contract shall be
Information disclosure fees;
5. Accounting fees, notarial fees, attorney fees, arbitration fees and
Legal costs;
6. Expenses for the general meeting of fund share holders;
7. Transaction expenses of the fund such as securities;
8. Bank transfer fees of the Fund;
9. Account opening fees and account maintenance fees of the relevant accounts of the Fund;
10. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 0.30% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H ＝ E × 0.30% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated day by day to the end of each month, and paid monthly
After the Fund Custodian checks and agrees, the Fund Custodian shall, on the first day of the following month, negotiate with the Fund Manager
It shall be paid to the fund manager in a lump sum from the fund property within 5 working days. In case of legal holidays and public holidays
In case of holiday or force majeure, the payment date shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.10% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.10% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian checks and agrees, the Fund Custodian shall, on the first day of the following month, negotiate with the Fund Manager
One time withdrawal from the fund property within 5 working days. In case of legal holidays, public holidays or force majeure
And the payment date shall be postponed.
3. Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and the annual rate of sales service fee for Class C fund units
0.25%. The calculation method of sales service fee is as follows:
H ＝ E × 0.25% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of Class C fund shares on the previous day
The sales service fee is accrued daily, accumulated day by day to the end of each month, and paid monthly
After the Fund Custodian checks and agrees, the Fund Custodian shall, on the first day of the following month, negotiate with the Fund Manager
It shall be paid to the fund manager in a lump sum from the fund property within 5 working days, and the fund manager shall pay it to the fund manager for sale
Seller. In case of legal holidays, public holidays or force majeure, the payment date shall be postponed.
Items 4-10 of the above "I. Types of Fund Fees" shall be paid in accordance with relevant regulations and corresponding agreements
Yes, it is included in the current expenses according to the actual amount of expenses, and the Fund Custodian shall, according to the instructions of the Fund Manager
Paid in gold property.
3、 Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
4、 Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
Please refer to the prospectus or relevant announcements for details of fees and other fees.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
The balance after relevant expenses. The realized income of the fund refers to the balance after the fund profit minus the income from changes in fair value
Eh.
2、 Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
3、 Principle of fund income distribution
1. On the premise of meeting the conditions for fund dividends, the fund manager can carry out
For income distribution, see the announcement issued by the fund manager at that time for the specific distribution plan. If the Fund Contract takes effect
No income distribution is required for less than 3 months;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or reinvestment of cash dividends automatically into corresponding types of fund units; If investors do not choose
Yes, the default income distribution method of the Fund is cash dividends;
3. Since Class A fund units of the Fund do not charge sales service fees, Class C fund units charge sales service fees
Service fees. The distributable profits corresponding to each fund share category will be different
Fund units enjoy equal distribution rights;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In the event that there is no material adverse effect on the interests of fund share holders, the fund manager may
If permitted by laws and regulations, the Fund Custodian shall perform appropriate procedures in accordance with the requirements of the regulatory authorities after consultation with the Fund Custodian
The above principles of fund income distribution shall be adjusted as appropriate in the future, and it is not necessary to convene a fund share holder for this adjustment
Yes, but it shall be announced in the specified media before the change implementation date.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Information Disclosure Measures are announced in the specified media.
6、 Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. When
When the investor's cash dividend is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund
The registration institution may automatically convert the cash dividends of fund share holders into corresponding fund shares. Bonus
The investment shall be calculated in accordance with the Business Rules.
7、 Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. See the prospectus for details
Definitely.
Part XVII Accounting and Audit of the Fund
1、 Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the Fund Contract takes effect less than 2 months, it can be incorporated into the next accounting year
Annual disclosure;
3. The bookkeeping base currency for fund accounting is RMB yuan, and the bookkeeping unit is RMB yuan;
4. The accounting system shall implement the relevant national accounting system;
5. The Fund establishes accounts and accounts independently;
6. The Fund Manager and the Fund Custodian shall respectively keep complete accounting accounts and vouchers and conduct daily
Accounting and preparation of fund accounting statements in accordance with relevant regulations;
7. The Fund Custodian shall check with the Fund Manager on the accounting and statement preparation of the Fund every month
And confirmed in writing.
2、 Annual audit of the Fund
1. The Fund Manager's engagement of mutual independence with the Fund Manager and the Fund Custodian is consistent with the requirements of the People's Republic of China
The annual financial statements of the Fund prepared by the accounting firm and its certified public accountants as prescribed by the Securities Law of the Republic of China
Bank audit.
2. An accounting firm shall obtain the prior consent of the fund manager to change its certified public accountant.
3. The Fund Manager shall notify the Fund Custodian if it believes that there is sufficient reason to change the accounting firm. more
The change of accounting firm shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Liquidity Risk Management Regulations, Fund Contract and other relevant regulations. Information about relevant laws and regulations
In case of any change in the disclosure provisions, the Fund shall comply with its latest provisions.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the convening fund unit holders
Natural persons, legal persons and non -
Legal organization.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and in accordance with the law
Disclose fund information in accordance with regulations and the provisions of the CSRC, and ensure the authenticity, accuracy
Completeness, timeliness, simplicity and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, submit the fund letter that should be disclosed
National newspapers and periodicals (hereinafter referred to as "regulated newspapers and periodicals") that meet the requirements of the CSRC and
Internet websites (hereinafter referred to as "regulated websites") and other media as specified in the Measures for Information Disclosure, and guarantee that
Fund investors can consult or copy the letter of public disclosure according to the time and method agreed in the Fund Contract
Information.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory words of any natural person, legal person or unincorporated organization;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. Fund letter in foreign language
The information disclosure obligor shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
This shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the currency unit is RMB
Yuan.
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Prospectus, Fund Contract, Fund Custody Agreement, Fund Product Information Summary
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract and clarifies the basis
The rules and specific procedures for holding the general meeting of gold share holders, specifying the characteristics of the fund products and other matters related to fund investment
Legal documents on matters of vital interest.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information disclosure
Disclose the services of fund share holders. Information of the Fund Prospectus after the Fund Contract takes effect
In case of major changes, the Fund Manager shall update the Fund Prospectus and publish it within three working days
On the specified website; If other information in the prospectus changes, the fund manager shall update it at least annually
once. If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
3. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
4. The fund product information summary is a summary document of the fund prospectus, which is used to provide investors with a brief summary
General information of the fund. After the Fund Contract comes into force, the information in the fund product information summary has changed significantly
Furthermore, the fund manager shall update the summary of fund product information within three working days and publish it in the regulations
Website and fund sales agency website or business outlet; In case of any change in other information of the fund product profile,
The Fund Manager shall be updated at least once a year. If the operation of the fund is terminated, the fund manager will no longer update the fund products
Data summary.
After the fund raising application is registered with the CSRC, the fund manager shall,
Publish the fund unit offering announcement, the indicative announcement of the fund prospectus and the indicative announcement of the fund contract on
It is required to publish the fund unit sale announcement, fund prospectus, fund product information summary, fund
The contract and fund custody agreement are published on the specified website, and the summary of fund product information is published on the fund sales
Institutional website or business outlet; The Fund Custodian shall simultaneously record the Fund Agreement and the Fund Custodian Agreement in the Regulations
On the website.
（2） Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units on the specific matters concerning the sale of fund units, and
The prospectus was published on the specified media on the day of disclosure.
（3） Announcement on the Effectiveness of the Fund Contract
The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC, publish the Fund on the specified media
Announcement of the effectiveness of the Contract.
（4） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
The net value of various fund units and the cumulative net value of fund units shall be disclosed at least once a week on the specified website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of, disclose all kinds of funds on the open day through the specified website, fund sales agency website or business outlets
Net value of units and cumulative net value of fund units.
The Fund Manager shall disclose the information on the prescribed website no later than the next day after the last day of the half year and the year
Net value of various fund units and accumulated net value of fund units on the year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall upload the base fund in the Fund Contract, Prospectus and other information disclosure documents
The calculation method of amount subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the sales agency looks up or copies the above information.
（6） Regular reports of the Fund, including annual reports, interim reports and quarterly reports of the Fund
The Fund Manager shall complete the annual report of the Fund within three months from the end of each year
The annual report is published on the specified website, and the advisory announcement of the annual report is published on the specified newspaper. Fund year
The financial accounting report in the report shall be certified by an accountant meeting the provisions of the Securities Law of the People's Republic of China
Audit by the office.
The Fund Manager shall, within two months from the end of the first half of the year, prepare the interim report of the Fund and
The interim report is published on the specified website, and the suggestive announcement of the interim report is published on the specified newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter,
Publish the quarterly report on the specified website, and publish the suggestive announcement of the quarterly report on the specified newspaper.
If the Fund Contract takes effect less than two months ago, the Fund Manager may not prepare the current quarterly report
Periodic report or annual report.
In the report period, if a single investor holds 20% or more of the total fund shares
In order to protect the rights and interests of other investors, the fund manager shall at least report regularly on "influencing investors' decisions"
The category, holding shares and proportion at the end of the reporting period, and report of the investor are disclosed under "Other important information of the policy"
Changes in shares held during the period and the unique risks of the Fund, except for special circumstances recognized by the CSRC.
The fund manager shall disclose the fund portfolio assets and their
Liquidity risk analysis, etc.
（7） Interim report
If a major event occurs to the Fund, the relevant information disclosure obligor shall prepare an interim report within 2 days,
And published on the specified newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
1. The convening and decisions of the general meeting of fund share holders;
2. The Fund Contract is terminated and the Fund is liquidated;
3. Conversion of fund operation mode and fund merger;
4. Change of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Institution to handle the accounting, valuation, review and other matters of the Fund on its behalf;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The Fund Manager changes the actual control of shareholders holding more than 5% of the equity and the Fund Manager
Person change;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior management of the fund manager, fund manager and special fund custody department of the fund custodian
The person in charge changes;
10. If the directors of the Fund Manager have changed by more than 50% in the last 12 months, the Fund Manager
The main business personnel of the special fund custody department of the fund custodian have changed by more than one percent in the last 12 months
Thirty;
11. Litigation or arbitration involving fund property, fund management business and fund custody business;
12. The fund manager or its senior managers or fund managers are subject to
Major administrative punishment and criminal punishment, and the fund custodian or the head of its special fund custody department
Business related behaviors are subject to major administrative and criminal penalties;
13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Accrual standard and accrual of management fee, custody fee, sales service fee, subscription fee, redemption fee, etc
Changes in methods and rates;
16. The valuation error of the net value of any type of fund unit amounts to 0.5% of the net value of such type of fund unit;
17. The Fund begins to handle subscription and redemption;
18. The Fund is redeemed in large amount and postponed;
19. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
20. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
21. The Fund launches new businesses or services;
22. Adjust the category of fund units;
23. Major events involving adjustment of fund subscription and redemption events or potential impact on investors' redemption occur;
24. The Fund Manager adopts the swing pricing mechanism for valuation;
25. After the Fund Contract comes into effect, the number of fund unit holders appears for 30, 40 and 45 consecutive working days
The number is less than 200 or the net asset value of the fund is less than 50 million yuan;
26. The price that the Fund Information Disclosure Obligor believes may be paid to the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact or other matters specified by the CSRC.
（8） Clarification announcement
During the duration of the Fund Contract, any public media or market circulation
The interest may have a misleading impact on the price of fund shares or cause major fluctuations, and may damage the fund shares
If the rights and interests of the relevant information disclosure obligor are known, it shall immediately make public clarification on the information.
（9） Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund unit holders shall be reported to the CSRC for record and announced in accordance with the law.
（10） Liquidation report
Where the operation of a fund is terminated, the fund manager shall organize a fund assets liquidation team to conduct a review of the fund assets in accordance with the law
Bank liquidation and prepare liquidation report. The fund assets liquidation team shall publish the liquidation report on the specified website,
And publish the suggestive announcement of the liquidation report on the prescribed newspapers and periodicals.
（11） Information disclosure of investment asset-backed securities
The Fund Manager shall disclose the total amount of asset-backed securities held by it in the Fund's annual report and interim report
Amount, the proportion of market value of asset-backed securities in the net assets of the fund and the description of all asset-backed securities during the reporting period
Thin. The Fund Manager shall disclose the total amount of asset-backed securities and asset-backed securities held by it in the quarterly report of the Fund
The proportion of the market value of securities in the net assets of the fund and the ranking by the proportion of the market value in the net assets of the fund at the end of the reporting period
Details of the top 10 asset-backed securities.
（12） Information disclosure during the implementation of the side pocket mechanism
Where the Fund implements the side pocket mechanism, relevant information disclosure obligors shall, in accordance with laws, regulations and fund contracts
And the prospectus. See the prospectus for details.
（13） Other information required by the CSRC
6、 Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system, designate special departments and
Senior management is responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information of the CSRC
The disclosure content and format standards and other laws and regulations.
The Fund Custodian shall comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net asset value of the fund, the net value of various fund units, and the purchase and redemption of fund units prepared by the fund manager
Price, regular fund report, updated prospectus, summary of fund product information, fund liquidation report, etc
Review and review the publicly disclosed fund information, and confirm it in writing or electronically to the fund manager.
The Fund Manager and the Fund Custodian shall choose one of the prescribed newspapers to disclose the information of the Fund.
The Fund Manager and the Fund Custodian shall submit the information to be disclosed to the electronic disclosure website of the CSRC
Fund information, and ensure the authenticity, accuracy, integrity and timeliness of relevant information submitted. Fund manager, fund
In addition to disclosing information in the prescribed media according to law, the custodian may also disclose the letter in other public media as required
However, other public media shall not disclose information earlier than the specified media, and disclose the same information on different media
The content of the information should be consistent.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
Business institutions shall prepare working papers and keep relevant files at least 10% after the termination of the Fund Contract
Years.
In addition to disclosing information as required by laws and regulations, fund managers and fund custodians can also focus on investment
From the perspective of providing useful information when making decisions, we should ensure that investors are treated fairly, not mislead investors, and not affect the
Under the premise of normal investment operation, independently improve the quality of information disclosure services. The specific requirements shall meet the requirements of
Relevant provisions of the CSRC and self regulatory rules. In case of information disclosure fees arising from the aforesaid independent disclosure, such fees shall not
It may be disbursed from the fund assets.
7、 Storage and reference of information disclosure documents
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with the relevant laws and regulations
The regulations require that information be kept in their respective residences for public reference and reproduction.
8、 Suspension or delay of information disclosure
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related letters in the following circumstances
Information:
1. Force majeure;
2. When the securities trading market involved in the Fund's investment is closed on statutory holidays or for other reasons;
3. The valuation is suspended as agreed in the fund contract;
4. Other circumstances stipulated by laws and regulations, fund contract or CSRC.
Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
The Fund Manager and
The Fund Custodian agrees to make changes and make an announcement after performing appropriate procedures.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
After the resolution takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
2、 Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. After the Fund Contract takes effect, the number of fund share holders is less than 200 for 50 consecutive working days
Or the net asset value of the fund is less than 50 million yuan;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation team: within 30 working days from the date of termination of the Fund Contract
Establish a fund asset liquidation group, and the fund manager shall organize the fund asset liquidation group and supervise it in the CSRC
Supervise the fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants, lawyers who meet the provisions of the Securities Law of the People's Republic of China, and the CSRC
Designated personnel composition. The Fund assets liquidation team may employ necessary staff.
3. During the liquidation of the Fund assets, the Fund Manager and the Fund Custodian shall perform their respective duties
Continue to faithfully, diligently and responsibly perform the obligations specified in the Fund Agreement and the Custody Agreement, and maintain the fund share holdings
The legitimate rights and interests of others.
4. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
5. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Property Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
6. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
4、 Liquidation expenses
Liquidation expenses refer to all contracts incurred by the fund assets liquidation team in the process of fund assets liquidation
The fund assets liquidation team shall pay the management fees and liquidation fees from the remaining assets of the fund in priority.
5、 Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the legal opinion shall be issued by the law firm and then submitted
The CSRC shall record and announce. The fund assets liquidation announcement shall be submitted to the CSRC in the fund assets liquidation report for filing
The Fund Assets Liquidation Group shall make a public announcement within 5 working days after the case, and the Fund Assets Liquidation Group shall liquidate
The report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper.
7、 Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian for a period not less than laws and regulations
Minimum period specified.
Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
As stipulated in laws and regulations or the Fund Contract, losses are caused to fund assets or fund unit holders
Those who have caused damage shall be liable for compensation according to law for their respective acts; Fund assets or funds due to joint action
If the holder of the gold share causes damage, he shall bear joint and several liability for compensation, and the compensation for the loss shall be limited to direct
In case of losses, one party has the right to claim compensation from the other party according to the degree of fault of the other party after assuming joint and several liabilities. But it happened
In case of any of the following circumstances, the party concerned shall be exempted from liability:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian conduct transactions in accordance with the then effective laws, regulations, rules and market
Rules or regulations of CSRC, State Financial Supervision and Administration and other regulatory bodies
Loss, etc;
3. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss caused, etc.
2、 To protect the interests of fund share holders to the greatest extent in the event of breach of contract by one or more parties
If the Fund Contract can continue to be performed, it shall continue to be performed. The non defaulting party is in office
Within the scope of responsibility, it is obliged to take necessary measures in time to prevent the expansion of losses. Failure to take appropriate measures resulted in
If the loss is further expanded, no claim may be made for compensation for the expanded loss. The non defaulting party paid for preventing the loss from expanding
The reasonable expenses incurred shall be borne by the defaulting party.
3、 Due to factors beyond the control of the Fund Manager and the Fund Custodian, business errors occur
Although the Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they fail to
If errors are found or cannot be avoided or corrected due to the above reasons, resulting in loss of fund assets or investors
In case of loss, the Fund Manager and the Fund Custodian shall be exempted from liability for compensation. However, the fund manager and the fund custodian shall
Take necessary measures to eliminate or mitigate the impact.
Part XXI Dispute Settlement and Applicable Law
All parties agree that all disputes arising from or in connection with the Fund Contract
It shall be settled through friendly negotiation. If no settlement can be reached through friendly negotiation, it shall be submitted to China International Economic and Trade Arbitration
The arbitration committee shall conduct arbitration in accordance with its arbitration rules in effect at that time, and the place of arbitration shall be Beijing
It is final and binding on all parties. Unless otherwise specified in the arbitral award, the arbitration fee
Lawyer fees shall be borne by the losing party.
During the dispute settlement period, the parties to the fund contract shall abide by their respective duties and continue to be faithful, diligent and responsible
To perform the obligations specified in the fund contract and the custody agreement and safeguard the legitimate rights and interests of fund unit holders.
The Fund Contract is governed by the laws of China (for the purpose of this Fund Contract, excluding Hong Kong, Macao and Taiwan
Law) shall govern and be construed accordingly.
Part XXII Effect of Fund Contract
The Fund Contract is a legal document that stipulates the rights and obligations between the parties to the Fund Contract.
1. The Fund Contract has been sealed by the Fund Manager and the Fund Custodian, and the legal representatives or
The authorized representative shall sign or seal and handle the fund filing with the CSRC through the fund manager after the end of the offering
The procedures shall come into force upon the written confirmation of the CSRC.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the time when the liquidation results of the Fund assets are reported to the CSRC
The date of filing and announcement.
3. From the effective date of the Fund Contract
All parties to the Fund Contract, including persons, shall have the same legal binding force.
4. The original of the Fund Contract is in triplicate. In addition to reporting one copy to the relevant regulatory authority
The Fund Custodian and the Fund Custodian each hold one copy, each of which has the same legal effect.
5. The Fund Contract can be printed in a volume for investors to use in the Fund Manager, Fund Custodian and Sales Machines
Check the office and business premises of the organization.
Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall consult with each other in accordance with relevant laws and regulations
It shall be settled through negotiation.
There is no text on this page, which is the Fund Contract of ICBC Credit Suisse Rising Bond Securities Investment Fund
Signature and seal page of.
Fund manager: ICBC Credit Suisse Fund Management Co., Ltd. (seal of legal person)
Legal representative or authorized representative (signature or seal):
Signed at:
Fund Custodian: Ping An Bank Co., Ltd. (seal of legal person)
Legal representative or authorized representative (signature or seal):
Signed at:
Signed on: