Cinda Australia Asia Fund Management Co., Ltd
Xin'ao State owned Enterprise Smart Choice Hybrid Securities Investment Fund
Custody Agreement
Fund Manager: Cinda Australia Asia Fund Management Co., Ltd
Fund Custodian: China Merchants Bank Co., Ltd
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1、 Parties to the Fund Custody Agreement four
2、 Basis, purpose and principle of fund custody agreement five
3、 Fund Custodian's Business Supervision and Verification of Fund Manager six
4、 The Fund Manager's business verification of the Fund Custodian sixteen
5、 Custody of Fund Property seventeen
6、 Sending, confirming and executing instructions twenty
7、 Transaction, clearing and settlement arrangements twenty-five
8、 Calculation, valuation and accounting of fund net asset value twenty-eight
9、 Fund income distribution thirty
10、 Fund information disclosure thirty-one
11、 Fund expenses thirty-three
12、 Custody of the Register of Fund Unitholders thirty-four
13、 Preservation of Fund related documents and archives thirty-five
14、 Replacement of Fund Manager and Fund Custodian thirty-six
15、 Prohibited acts thirty-seven
16、 Change and termination of custody agreement and liquidation of fund assets thirty-eight
17、 Liability for breach of contract thirty-nine
18、 Dispute resolution forty
19、 Effectiveness of the Escrow Agreement forty-one
20、 Other matters forty-two
21、 Signing of Escrow Agreement forty-three
Whereas Cinda Australia Asia Fund Management Co., Ltd. is a limited liability company legally established and validly existing in accordance with Chinese laws
The company has the qualification and ability to act as a fund manager in accordance with the provisions of relevant laws and regulations, and plans to raise and issue smart mix of Sino Australian state-owned enterprises
Hybrid securities investment fund;
Whereas China Merchants Bank Co., Ltd. is a bank legally established and validly existing in accordance with Chinese laws
Having the qualification and ability to act as the Fund Custodian as required by laws and regulations;
Whereas Cinda Aoya Fund Management Co., Ltd. intends to act as the fund manager of the Smart Choice Hybrid Securities Investment Fund of Xin'ao State owned Enterprises,
China Merchants Bank Co., Ltd. plans to act as the fund custodian of Sino Australian state-owned enterprise smart choice hybrid securities investment fund;
To clarify the rights and obligations between the fund manager and the fund custodian of Sino Australian state-owned enterprises' smart choice of hybrid securities investment funds
This Custody Agreement is hereby formulated;
Unless otherwise agreed, the Fund Contract of Sino Australian State owned Enterprise Smart Choice Hybrid Securities Investment Fund (hereinafter referred to as the "Fund Contract")
The terms defined in shall have the same meaning when used in this Custody Agreement. In case of any conflict, the Fund Contract shall prevail and be interpreted accordingly
Interpretation.
If the Fund implements the side pocket mechanism, the relevant arrangements during the implementation of the side pocket mechanism shall be implemented in accordance with the provisions of the Fund Contract.
1、 Parties to the Fund Custody Agreement
（1） Fund manager (also called asset manager)
Name: Cinda Australia Asia Fund Management Co., Ltd
Domicile: L1001, China Resources Building, 2666 Keyuan South Road, Haizhu Community, Yuehai Street, Nanshan District, Shenzhen
Office address: 10/F, China Resources Building, 2666 Keyuan South Road, Nanshan District, Shenzhen
Postal code: 518063
Legal representative: Zhu Yongqiang
Time of establishment: June 5, 2006
Approved by: China Securities Regulatory Commission
Approval No. of establishment: CSRC Zhengjian Jiji Zi [2006] No. 071
Organizational form: limited liability company
Registered capital: RMB 100 million
Duration: continuous operation
Business scope: fund raising; Fund sales; Asset management and other businesses permitted by the CSRC.
（2） Fund custodian (also called asset custodian)
Name: China Merchants Bank Co., Ltd. (hereinafter referred to as: China Merchants Bank)
Address: China Merchants Bank Building, No. 7088, Shennan Avenue, Shenzhen
Office address: China Merchants Bank Building, No. 7088, Shennan Avenue, Shenzhen
Postal code: 518040
Legal representative: Miao Jianmin
Time of establishment: April 8, 1987
Approval No. of fund custody business: Zheng Jian Ji Jin Zi [2002] No. 83
Organizational form: limited liability company
Registered capital: 25.22 billion yuan
Duration: continuous operation
2、 Basis, purpose and principle of fund custody agreement
（1） Basis for entering into custody agreement
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the "Fund Law"), the Public Offering Certificate
Management Measures for the Operation of Securities Investment Funds (hereinafter referred to as "Operation Measures"), Liquidity of Public Offering Open ended Securities Investment Funds
Risk Management Regulations (hereinafter referred to as "Liquidity Risk Management Regulations"), Information Disclosure Management of Publicly Offered Securities Investment Funds
The Administrative Measures (hereinafter referred to as the "Information Disclosure Measures") and other relevant laws and regulations, fund contracts and other relevant provisions are formulated.
（2） Purpose of entering into custody agreement
The purpose of entering into this Agreement is to clarify the custody, investment operation
Rights, obligations and responsibilities in matters related to value calculation, income distribution, information disclosure and mutual supervision to ensure the security of fund assets
All, to protect the legitimate rights and interests of fund share holders.
（3） Principles for entering into custody agreement
The Fund Manager and the Fund Custodian have fully protected the legitimate rights and interests of the Fund Unitholders on the basis of equality, voluntariness, honesty and credibility
In principle, this agreement is signed by consensus.
3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Investment proportion, investment restrictions, related party transactions, etc.
1. The investment scope of the Fund is:
Financial instruments with good liquidity, including domestic legally issued and listed stocks (including the main board, GEM and other financial instruments)
Stocks approved or registered for listing by the CSRC), depositary receipts, Hong Kong stocks, bonds (including treasury bonds and central bank notes
Bonds, financial bonds, corporate bonds, corporate bonds, publicly issued subordinated bonds, local government bonds, government supported institutional bonds, medium-term notes
Notes, convertible bonds (including pure bonds of separable convertible bonds), exchangeable bonds, short-term financing bonds, ultra short-term financing
Securities, etc.), asset-backed securities, bond repurchase, money market instruments, inter-bank certificates of deposit, bank deposits, stock index futures, and laws
Other financial instruments that are allowed to be invested by the Fund by laws and regulations or the CSRC (subject to the relevant provisions of the CSRC).
If laws and regulations or regulatory authorities allow the Fund to invest in other varieties in the future, the Fund Manager may, after performing appropriate procedures
Include it in the scope of investment.
2. The investment proportion and investment restrictions of various varieties of the Fund are:
(1) The proportion of the Fund's investment portfolio is: the proportion of the Fund's shares and depositary receipts assets in the Fund's assets is 60% - 95%,
Among them, the proportion of Hong Kong shares that are the subject of general standard shall not exceed 50% of stock assets; Investment in state-owned enterprise theme related securities accounted for non cash funds
The proportion of production shall not be less than 80%. At the end of each trading day of the Fund, after deducting the trading margin required to be paid for the stock index futures contract
The total proportion of cash retained by the fund and government bonds invested within one year of maturity shall not be less than 5% of the net asset value of the fund;
Cash does not include provisions for settlement, deposits and subscription receivables.
If laws and regulations or the CSRC change the investment proportion limit of investment varieties, the Fund Manager shall, after performing appropriate procedures,
The investment proportion of the above investment varieties can be adjusted.
(2) Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
1) The proportion of the Fund's shares and depositary receipts in the Fund's assets is 60% - 95%, of which the shares of Hong Kong Stock Connect account for
The proportion of ticket assets shall not exceed 50%; The proportion of investment in state-owned enterprise theme related securities in non cash fund assets shall not be less than 80%;
2) Cash retained by the Fund at the end of each trading day after deducting the trading margin required to be paid for stock index futures contracts
And the proportion of investment in government bonds with maturity date less than one year shall not be less than 5% of the net asset value of the fund; Including cash
Excluding settlement provisions, deposits and subscription receivables;
3) The Fund holds securities issued by a company (total of A+H shares of the same company listed both in China and Hong Kong
The market value shall not exceed 10% of the net asset value of the fund;
4) All funds managed by the Fund Manager hold securities issued by one company (the same company in China and Hong Kong
The total amount of A+H shares listed on the stock exchange shall not exceed 10% of the securities;
5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10％；
6) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed that of the asset-backed securities
10% of the scale;
8) All funds managed by the Fund Manager shall invest in all kinds of asset-backed securities of the same original equity holder, and shall not exceed
10% of the total size of its various asset-backed securities;
9) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB). Assets held by the fund
During the period of holding securities, if its credit rating declines and it no longer meets the investment standards, it shall give a
Sell in full;
10) Fund assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total assets of the Fund
The number of shares declared shall not exceed the total number of shares issued by the company to be issued this time;
11) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
12) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed 15% of the Fund's net asset value; Due to securities
Factors other than the fund manager, such as market fluctuations, stock suspension of listed companies, changes in fund size, etc., cause the fund to fail to meet the requirements of this item
If the proportion limit is specified, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
13) All open-ended funds managed by the Fund Manager shall hold tradable shares issued by a listed company, which shall not exceed
15% of the tradable shares of the listed company; All investment portfolios managed by the Fund Manager hold the shares issued by a listed company
The tradable shares shall not exceed 30% of the tradable shares of the listed company;
14) The Fund, private securities asset management products and other subjects identified by the CSRC carry out reverse repurchase for counterparties
For transactions, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the fund contract;
15) When the Fund holds stock index futures, it shall comply with the following investment restrictions prescribed by the CSRC:
① At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed the net asset value of the Fund
10%；
② At the end of any trading day, the sum of the value of stock index futures contracts purchased and the market value of securities held by the Fund shall not exceed
95% of the net asset value of the fund. Among them, marketable securities refer to stocks, bonds (excluding government bonds with a maturity of less than one year)
Asset backed securities, redemptory financial assets for sale (excluding pledge repurchase), etc;
③ At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed the total shares held by the Fund
20% of the market value;
④ The total (netting calculation) of the market value of the stocks held by the Fund and the value of the stock index futures contracts purchased and sold shall conform to
Relevant provisions on the proportion of stock investment in the Fund Contract;
⑤ The trading amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions) shall not exceed that of the previous one
20% of the net asset value of Yiri Fund;
16) The proportion limit of the Fund's investment in depositary receipts shall be subject to the shares listed and traded in China, and the shares listed and traded in China
Bill consolidation calculation;
17) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
In addition to items 2), 9), 12) and 14) above, due to fluctuations in securities and futures markets, mergers of securities issuers, and fund size
If the investment proportion of the Fund does not meet the above investment proportion due to factors other than changes in the Fund Manager, the Fund Manager shall
The adjustment shall be made within 10 trading days, except for the special circumstances stipulated by the CSRC. If laws and regulations provide otherwise
Its provisions.
The Fund Manager shall, within six months from the effective date of the Fund Agreement, make the proportion of the Fund's investment portfolio conform to the Fund Agreement
Relevant agreements. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract. Fund Custody
The supervision and inspection of the investment of the Fund shall begin from the effective date of the Fund Agreement.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall perform appropriate procedures
After that, the investment of the Fund will no longer be subject to relevant restrictions or in accordance with the adjusted provisions.
3. The assets of the Fund shall not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, unless otherwise stipulated by laws and regulations or the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
4. The fund manager uses the fund property to buy and sell the fund manager, fund custodian and their controlling shareholders, actual controllers or
Securities issued by companies with other major interests or securities underwritten during the underwriting period, or engaging in other major matters
In case of joint trading, it shall comply with the investment objectives and strategies of the Fund, follow the principle of giving priority to the interests of fund share holders, and prevent profits
Conflict of interests, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable market prices. Relevant transactions must be carried out in advance
Obtain the consent of the Fund Custodian and disclose in accordance with laws and regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review,
And passed by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall conduct related party transactions at least every half a year
examination.
If laws, administrative regulations or regulatory authorities cancel or adjust the above restrictions, and if applicable to the Fund, the Fund Manager shall
After due process, the Fund is not subject to the above provisions or the adjusted provisions shall prevail.
5. The Fund Manager shall make the proportion of the Fund's investment portfolio conform to the Fund Contract within 6 months from the effective date of the Fund Contract
Relevant agreements. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract.
The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Contract. Due to fluctuations in the securities market
Where the investment proportion does not meet the above provisions due to reasons other than the fund manager, such as the merger of the securities issuer or the change of the fund size,
The Fund Manager shall make adjustment within 10 trading days. Where laws and regulations provide otherwise, such provisions shall prevail.
6. If laws, regulations and regulatory policies restrict the investment prohibition and portfolio proportion agreed in the fund contract
In case of any change, the Fund may adjust the prohibitions and investment proportion restrictions accordingly, which need not be reviewed by the general meeting of fund share holders.
If the Fund Law and other relevant laws and regulations or the regulatory authorities cancel the above restrictions, the Fund will not be subject to the above after performing appropriate procedures
Limitations.
（2） The Fund Custodian shall select and deposit fund management candidates in accordance with the provisions of relevant laws and regulations and the Fund Contract
The bank shall supervise. If the Fund invests in fixed deposits with banks, the Fund Manager shall, in accordance with the provisions of laws and regulations and the Fund Contract
To determine the list of all eligible deposit banks and provide it to the Fund Custodian in a timely manner. The Fund Custodian shall
Supervise whether the counterparties of fund investment bank deposits comply with relevant regulations, such as the fund manager's investment operation in the fund
If the list of deposit banks has not been provided to the Fund Custodian before, it shall be deemed that the Fund Manager has recognized all banks. For unqualified
For bank deposits, the Fund Custodian may refuse to execute and notify the Fund Manager.
The investment bank deposits of the Fund shall comply with the following provisions:
1. The proportion of the Fund's investment in fixed term bank deposits shall not exceed 30% of the net asset value of the Fund, but the investment in
Deposit term, bank deposits that can be withdrawn in advance according to the agreement are not subject to the above proportion restrictions; Invest in a fund custodian
The total proportion of bank deposits and interbank deposit receipts of the same commercial bank in the net asset value of the fund shall not exceed 20%; Invest in
The total proportion of bank deposits and interbank deposit receipts of the same commercial bank with the qualification of fund custodian in the net asset value of the fund shall not
More than 5%.
Relevant laws and regulations or regulatory authorities formulate or modify new fixed deposit investment policies, and the Fund Manager performs appropriate procedures
After that, the provisions on portfolio restrictions can be adjusted accordingly.
2. The Fund Manager is responsible for evaluating and studying the deposit banks of the Fund, and establishing and improving the business processes and positions of bank deposits
Responsibilities, risk control measures and supervision and audit system to effectively prevent relevant risks. The Fund Custodian is responsible for the regular
Supervision and verification of deposit business, examination and review of relevant agreements, account information, investment instructions, deposit certificates and other relevant documents,
Effectively perform the trusteeship duties.
(1) The fund manager is responsible for controlling credit risk. The credit risk mainly includes the credit rating of the deposit bank and the deposit bank
The payment ability of the bank is related to the risk of deposit bank selection. If the loss of fund property is caused by improper selection of deposit bank
The Fund Manager shall bear the responsibility.
(2) The Fund Manager is responsible for controlling the liquidity risk and bearing the losses caused by ineffective control. Liquidity risk
It shall include all withdrawals in advance, partial withdrawals in advance or withdrawals at maturity required by the fund manager, but the deposit bank fails to pay in time
Risk, the risk that the fund investment bank deposit cannot meet the normal settlement business of the fund, and the withdrawal in advance in whole or in part
The interest loss involved affects the valuation and other risks related to fund liquidity.
(3) The fund manager shall strengthen the construction of internal risk control system. If the fund manager's job behavior results in
In case of any loss of gold property, the fund manager shall bear the resulting loss.
(4) The Fund Manager and the Fund Custodian shall strictly abide by the Fund Law and the Operation Office when carrying out the fund deposit business
Law of the People's Republic of China and other relevant laws and regulations, as well as various national regulations on account management, interest rate management, payment and settlement.
（3） Signing of deposit agreement of fund investment bank, account opening and management, investment instruction and fund transfer, account checking
Cash at maturity and withdraw in advance
1. Signing of the Fund Investment Bank Deposit Agreement
(1) The Fund Manager shall sign the Overall Contract for Fund Deposit Business with the head office of a qualified deposit bank or its authorized branch
Agreement (subject to the name of the final signed document, the same below) (hereinafter referred to as the "Overall Cooperation Agreement") to determine the "Deposit Agreement"
The format of the book. The format of the Overall Cooperation Agreement and the Deposit Agreement shall be determined by the Fund Custodian and the Fund Manager
To be mutually agreed.
(2) The Fund Custodian shall review the contents of the Overall Cooperation Agreement and the Deposit Agreement in accordance with relevant laws and regulations,
Review the qualification of deposit bank, etc.
(3) The Fund Manager shall specify in the Deposit Agreement the handling method of the deposit certificate or other valid deposit certificates
If the mailing address, contact person and telephone number, as well as the deposit certificate or other valid vouchers are lost in the process of mailing, the deposit balance
Confirmation and payment method of the amount.
(4) The deposit shall be sent or delivered by the branch designated by the deposit bank for deposit (hereinafter referred to as "deposit branch")
If the deposit certificate or other valid deposit certificates are delivered, the fund custodian may issue the balance of deposits to the superior bank of the deposit branch
The deposit branch and its superior bank shall cooperate with the confirmation letter.
(5) The Fund Manager shall stipulate in the Deposit Agreement that all funds due for deposit or cashed in advance shall be transferred
Transfer to the designated fund custody account and write down the account name and account number in the Deposit Agreement. If it is not transferred to the designated account
The deposit bank assumes all responsibilities.
(6) The Fund Manager shall specify in the Deposit Agreement that during the deposit period, such as the Bank Account of the Fund and the reserved seal
In case of any change, the Manager shall promptly notify the depository bank in writing, and the written notice shall be stamped with the seal reserved by the Fund Custodian. Deposit branch
The institution shall issue formal written confirmation to the Fund Manager and the Fund Custodian on the change in a timely manner. The delivery method of change notice is the same as
Account opening procedures. During the deposit period, if the designated contact person of the deposit branch and the fund custodian changes, the official seal shall be affixed in writing in a timely manner
Know each other.
(7) The Fund Manager shall stipulate in the Deposit Agreement that the certificates of deposit arising from time deposits shall not be pledged or held as
The mortgage shall not be used for transfer or endorsement.
2. Account opening and management when the fund invests in bank deposits
(1) When the Fund invests in bank deposits, the Fund Manager shall, in accordance with the General Agreement signed between the Fund Manager and the deposit bank
Cooperation Agreement, Deposit Agreement, etc., opened in the name of the fund at the head office of the deposit bank or the branch designated by the authorized branch
bank account.
(2) The reserved seal of the Fund when investing in bank deposits shall be kept and used by the Fund Custodian.
3. Transfer of deposit certificates, account verification and due cashing
(1) Transfer of deposit certificates such as deposit certificates
Deposit funds can only be deposited in the branch designated by the head office of the deposit bank or its authorized branch. The Fund Manager shall enter a deposit in the
According to the provisions of the Agreement, the branch of the deposit bank shall issue a deposit certificate or other valid deposit certificates (hereinafter referred to as "deposit certificates") for the fund
Payment voucher "), which is a valid voucher for fund deposit confirmation or withdrawal at maturity, and can only be issued for each deposit
Deposit certificate. On the day the funds arrive at the account, the accounting supervisor designated by the branch of the deposit bank shall fax a copy of the deposit certificate and
After the Fund Custodian confirms receipt by telephone, the original of the deposit certificate shall be sent by courier or delivered to the designated page of the Fund Custodian
Tie person; If the branch of the deposit bank keeps the deposit voucher on its behalf, the accountant designated by the branch of the deposit bank shall fax a copy
The copy of the deposit certificate shall be confirmed by phone with the fund custodian.
(2) Replacement of lost deposit certificates
If the deposit certificate is lost in the process of mailing, the Fund Manager shall submit a replacement application to the deposit bank, and the Fund Manager shall supervise
Urge the deposit bank to reissue the deposit certificate as soon as possible, and deliver the original deposit certificate to the custodian by express delivery or door-to-door delivery according to the above (1)
Automatically void.
(3) Reconciliation of accounts
On each working day, the Fund Manager shall check with the Fund Custodian the investment balance and accrued interest of each bank deposit.
The Fund Manager shall stipulate in the Deposit Agreement that for time deposits with a deposit term of more than 3 months, the Fund Custodian shall
The deposit bank shall initiate inquiry and reply to the deposit bank quarterly, and the deposit bank shall comply with the relevant time limit requirements of the People's Bank of China for inquiry and reply and
Reply when. The Fund Manager has the responsibility to urge the deposit bank to reply to the inquiry in a timely manner. Capital caused by the deposit bank's failure to reply in time
The responsibility for misappropriation and theft of gold shall be borne by the deposit bank.
The deposit bank shall cooperate with the fund custodian to inquire about the deposit certificate, and affix the official seal of the deposit bank on the letter of inquiry and send it to
The designated contact person of the Fund Custodian.
(4) Cash at maturity
The Fund Manager shall notify the Fund Custodian in advance to send the original of the deposit certificate to the bank designated by the branch of the deposit bank by express
Accounting supervisor. If the deposit bank has not received the original deposit certificate, it shall inquire with the fund custodian by telephone. Fund management before deposit maturity
The person and the deposit bank confirm the receipt of the deposit certificate and cash the principal and interest of the deposit on the maturity date.
When the Fund Custodian fails to receive the principal and interest of the deposit on the maturity date of the deposit or the amount of the principal and interest of the deposit is inconsistent, it shall notify the Fund Manager to
The debtor bank shall negotiate the time of deposit arrival and the supplementary payment of interest. The Fund Manager shall inform the Fund Custodian of the contact result
The custodian shall notify the fund manager on the day when it receives the principal and interest of the deposit.
The Fund Manager shall stipulate in the Deposit Agreement that the deposit bank shall immediately
Inform the Fund Custodian that the Fund Custodian shall, after affixing its official seal on the copy of the original deposit certificate and issuing relevant supporting documents
After the designated accounting supervisor of the bank confirms by telephone, the deposit bank shall transfer the principal and interest of the deposit to the designated fund account on the maturity date. as
If the due date of deposit is a legal holiday, the deposit bank shall postpone the payment to the first working day after the due date, and the deposit bank shall follow the original agreement
The agreed interest rate and the actual number of days of delay shall pay the deferred interest.
4. Withdrawal in advance
If, during the deposit term, due to the reduction of fund size or the need for liquidity management
The fund manager may withdraw all or part of the funds in advance.
The specific matters of withdrawal in advance shall be subject to the Deposit Agreement signed between the Fund Manager and the deposit bank.
5. Supervision of fund investment bank deposits
The Fund Custodian finds that the Fund Manager violates the provisions of relevant laws and regulations and the Fund Contract when making deposit investment
The Fund Manager shall be notified in writing in a timely manner to make corrections within 10 working days. Fund manager to fund
If the violation notified by the custodian fails to be corrected within 10 working days, the fund custodian shall report to the CSRC. Gikinto
If the custodian finds that the fund manager has major violations, it shall immediately report to the CSRC, and notify the fund manager to
Correct or refuse to settle within working days. If the Fund Manager refuses to implement the settlement, resulting in the loss of fund property, the relevant loss shall be managed by the Fund
The manager shall bear the responsibility, and the fund custodian shall not bear the corresponding responsibility.
（4） In accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract, the Fund Custodian participates in the Bank
The inter-bank bond market shall be supervised. The Fund Manager shall provide the Fund Custodian with information in compliance with laws and regulations prior to the investment and operation of the Fund
And the list of industry standard, carefully selected inter-bank bond market counterparties applicable to the Fund, and agree on each counterparty
Applicable transaction settlement method. If the fund manager fails to provide inter-bank bonds to the fund custodian before the fund investment operation
The list of market counterparties shall be deemed as the fund manager's recognition of all market counterparties. The Fund Manager is responsible for ensuring that the
The new list of counterparties is sent to the Fund Custodian, otherwise the Fund Custodian will not be liable for the losses caused thereby. Fund management
The manager shall select counterparties in the inter-bank bond market in strict accordance with the scope of the list of counterparties. The Fund Custodian supervises the Fund
Whether the manager conducts transactions according to the list of counterparties in the inter-bank bond market provided in advance (including updating them from time to time). stay
During the duration of the Fund, the Fund Manager may adjust the list of counterparties, but the adjustment result shall be written at least one working day in advance
Notify the Fund Custodian. When the new list is determined, the transactions that have been carried out with the counterparties that have been eliminated this time but have not been settled shall still be
Settlement shall be carried out by agreement, but no new transaction shall occur. If the fund manager temporarily adjusts inter-bank bond transactions according to market needs
For the list of counterparties and settlement method, the reason shall be explained to the fund custodian, and within 3 trading days before the transaction with the counterparty
Negotiate with the Fund Custodian.
The fund manager is responsible for controlling the credit of the counterparty, conducting transactions according to the trading rules of the inter-bank bond market, and is responsible for
Deal with disputes and losses caused by counterparties' failure to perform the contract. If the non performing counterparties are confirmed by the fund manager
If the Fund Manager fails to bear the liability for breach of contract and other relevant legal liabilities within the time limit, the Fund Manager may (but is not obliged to) pay the corresponding losses first
The bank will assume the responsibility and then recover from the relevant counterparty. The Fund Custodian shall perform the contract according to the inter-bank bond market transaction sheet
Supervise the operation. If the Fund Custodian discovers that the Fund Manager has not conducted transactions in accordance with the previously agreed counterparties
The Fund Custodian shall timely remind the Fund Manager that the Fund Custodian will not bear any losses and liabilities arising therefrom.
（5） The Fund's investment in tradable restricted securities shall comply with the Regulations on Investment in Non public Offering of Stocks and other tradable restricted securities
Notice on Relevant Issues and other relevant regulatory provisions.
1. The restricted negotiable securities include the non-public issuance of shares, the offline placement of public issuance of shares, etc
The tradable securities with fixed time limit and fixed time limit, excluding the securities temporarily suspended due to the release of major news or other reasons, and the issued securities
Unlisted securities, pledged bonds in repurchase transactions and other restricted negotiable securities.
The Fund may invest in non-public securities approved by the China Securities Regulatory Commission, and is limited to China Securities Depository and Clearing Corporation Limited
The responsible company, the Central Government Securities Depository and Clearing Co., Ltd. or the Interbank Market Clearing House Co., Ltd. are responsible for registration and deposit
And can be traded in the stock exchange or the national inter-bank bond market.
The Fund shall not invest in non-public securities without the approval of the CSRC.
The Fund shall not invest in securities with an indefinite lock up period.
2. The Fund Manager shall provide the directors of the Fund Manager with
The investment decision-making process and risk control system for the Fund's investment in restricted negotiable securities approved by the Commission. Fund investment in non-public shares
The Fund Manager shall also provide the liquidity risk disposal plan approved by the Board of Directors of the Fund Manager. The above data shall include but not include
It is limited to the investment quota and investment proportion control of the Fund's investment in restricted securities.
The Fund Manager shall send the above information to the Fund Custodian in writing at least two working days before the first execution of the investment order,
Ensure that the Fund Custodian has enough time to review. The Fund Custodian shall, within two working days after receiving the above information
Confirm the receipt of the above materials in person or in other ways agreed by both parties.
The Fund Manager shall be responsible for the liquidity risk of the Fund's investment in restricted securities, and ensure that relevant risks are actively
Effective measures to effectively solve the liquidity problem of fund operation within a reasonable time. In case of huge fund redemption or market drama
When the cash flow of the Fund is difficult due to severe changes and other reasons, the Fund Manager shall ensure to provide sufficient cash to ensure the payment of the Fund
settlement. The Fund Custodian shall not bear any responsibility for the liquidity risk caused by the Fund's investment in restricted securities.
3. Before the Fund invests in the restricted securities in circulation, the Fund Manager shall provide the Fund Custodian with relevant information that meets the requirements of laws and regulations
Written information, including but not limited to the approval documents of the CSRC, the number of securities to be issued, the issue price
Lock up period, the amount, price, total cost, subscription amount to be paid, and time of fund transfer to be subscribed by the fund. Fund manager
The above information shall be true and complete, and shall be sent in writing to
The Fund Custodian shall ensure that the Fund Custodian has enough time to review.
Due to the Fund Manager's failure to timely provide specific and necessary information on securities as agreed above, the Custodian is unable to
The Fund Custodian shall be exempted from liability if the transfer of subscription funds is affected by the review of subscription instructions.
4. The Fund Custodian shall review the Fund Manager's investment and circulation restriction certificate in accordance with laws and regulations, the Fund Contract and the Custodian Agreement
The behavior of coupons. If the Fund Manager is found to have violated the Fund Contract, the Custody Agreement and other relevant laws and regulations
It is stipulated that the fund manager shall be notified in time and reported to the CSRC, and reasonable measures shall be taken to protect the interests of fund investors.
The Fund Custodian has the right to refuse the Fund Manager's investment instructions that violate laws and regulations as well as the Fund Contract and the Custodian Agreement
And immediately notify the Fund Manager to make corrections. The Fund Manager refuses to make corrections or has signed a contract on behalf of the Fund, which has to be implemented
The Fund Custodian shall report to the CSRC.
5. The fund manager shall, within two trading days after the fund invests in the non-public offering of shares
The name, quantity, total cost and book value of the non-public offering shares invested by the investors, as well as the total cost and book value in the fund assets
Information such as the proportion of net asset value and locking period.
（6） The fund manager shall study the investment in medium-term notes business, carefully evaluate the risks of medium-term notes investment business,
The investment business of medium-term notes shall be carried out in the principle of prudence, diligence and responsibility, and shall comply with laws and regulations as well as relevant regulations of regulators
Definitely.
（7） The Fund Custodian shall calculate the net asset value of the Fund
Calculation of net value of various fund units, determination of fund expenses and income, distribution of fund income, relevant information disclosure, and fund publicity
The fund performance data in the promotion materials shall be monitored and verified.
（8） The Fund Custodian finds that the above matters and investment orders or actual investment operations of the Fund Manager violate laws and regulations
In accordance with the provisions of the Fund Contract and this Custodian Agreement, the Fund Manager shall be notified in a timely manner by telephone, email or written prompt
Periodic correction. The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision and verification. After receiving the notice, the Fund Manager shall
Check and reply to the Fund Custodian when receiving the written notice, and the Fund Manager shall send it to the Fund Custodian in writing
Reply, explain or provide evidence on the reasonable doubts of the Fund Custodian, explain the reasons for the violation and the time limit for correction. During the above specified period
The Fund Custodian has the right to review the notice at any time and urge the Fund Manager to make corrections. Fund Manager's Custody of the Fund
If the violations notified by the CSRC fail to be corrected within the time limit, the Fund Custodian shall report to the CSRC.
（9） The Fund Manager has the obligation to cooperate and assist the Fund Custodian in accordance with laws and regulations, the Fund Contract and this Custodian Agreement
It is suggested to check the fund business. Including but not limited to: the Fund Manager shall send the prompt to the Fund Custodian within the specified time
Reply and correct, or explain or provide evidence on the reasonable doubts of the Fund Custodian; In accordance with laws and regulations
The Fund Manager shall actively cooperate with the CSRC in matters requiring the submission of fund supervision reports to the CSRC as required by the gold contract and this Custody Agreement
Cooperate to provide relevant data and systems.
（10） If the Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate laws, administrative regulations and
In case of any other relevant provisions or violation of the fund contract, the fund manager shall be notified immediately to make corrections in a timely manner, and the resulting losses
The Fund Manager shall be liable for the loss, and the Custodian shall be exempted from liability after timely performing its obligation of notification.
（11） If the Fund Custodian finds that the Fund Manager has major violations, it shall report to the CSRC in a timely manner and notify
The fund manager shall make corrections within a time limit.
4、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of custody duties by the Fund Custodian, and the verification items shall include the security of the Fund Custodian
Fully custody of fund assets, opening of fund accounts, securities accounts and other accounts required for investment of fund assets, and review of fund manager calculations
Net value of fund assets and net value of various fund units, clearing and settlement according to the instructions of the fund manager, relevant information disclosure and supervision
Supervise fund investment and operation.
（2） The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization, fails to manage the Fund assets separately, and fails to
It violates the Fund Law, the Fund Agreement
In case of the custody agreement and other relevant provisions, the Fund Custodian shall be notified of the deadline in writing or in other forms agreed by both parties
Correction. After receiving the written notice, the Fund Custodian shall check it in time before the next working day and send it to the Fund Manager in writing
Send a letter to explain the reasons for the violation and the time limit for correction, and ensure that the violation is corrected within the specified time limit. During the above specified period, the Fund
The Manager has the right to review the notice at any time and urge the Fund Custodian to make corrections.
（3） The Fund Custodian has the obligation to cooperate and assist the Fund Manager to
The fund business implementation verification includes but is not limited to: the fund custodian shall send a written prompt to the fund manager within the specified time
Reply and correct, or explain or provide evidence on the doubts of the Fund Manager; The Fund Custodian shall actively cooperate in providing relevant materials
So that the Fund Manager can verify the integrity and authenticity of the custody property.
（4） If the Fund Manager finds that the Fund Custodian has major violations, it shall report to the CSRC in a timely manner and notify the Fund Custodian
The gold custodian shall make corrections within a time limit and report the results of the corrections to the CSRC.
5、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The fund property shall be independent of the inherent property of the fund manager, fund custodian and securities/futures brokerage institutions.
2. The Fund Custodian shall keep the Fund assets in safe custody.
3. The Fund Custodian shall open relevant accounts required for the investment of the Fund assets in accordance with the provisions.
4. The fund custodian shall set up separate accounts for different fund assets under its custody to ensure the integrity and independence of the fund assets.
5. The Fund Custodian shall, in accordance with the instructions of the Fund Manager, keep the Fund assets in accordance with the Fund Contract and this Agreement. have not yet
The Fund Manager shall not use, dispose of or distribute any assets of the Fund on its own with its proper instructions. Not actually belonging to the fund custodian
The Fund Custodian shall not be liable for the damage and loss of assets and physical securities under effective control during the custody of the Fund Custodian
Liability arising.
6. For the assets receivable arising from the fund investment, the fund manager shall be responsible for determining the date of receipt with the relevant parties
The Fund Custodian shall also notify the Fund Custodian that if the Fund assets fail to reach the Fund's capital account on the account day, the Fund Custodian shall notify the Fund Custodian in a timely manner
The Fund Manager shall be responsible for recovering the loss of the Fund property from the relevant parties, and the Fund Custodian shall
Provide necessary assistance.
7. Fund funds deposited or deposited by the Fund Custodian in institutions other than the Fund Custodian due to the investment of the Fund Manager
Or the fund assets (including but not limited to the securities trading capital account) that are delivered to the futures company or securities company for clearing and settlement
The funds, securities fund assets, funds in futures margin accounts, futures contracts, etc
Or the fund assets are caused by fraud, negligence, fault or bankruptcy of a third party other than the party to this agreement, such as the member unit of the institution
Shall not be liable for the loss of.
8. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust a third person to custody the Fund assets.
（2） Fund raising period and capital verification of raised funds
1. A "special account for fund raising" shall be opened for the funds raised during the fund raising period. The account shall be opened and managed by the fund manager.
2. The total amount of fund units raised, the amount of fund raised, and the holding of fund units when the fund raising period expires or the fund is stopped
After the number of persons meets the relevant provisions of the Fund Law and the Operating Measures, the Fund Manager shall allocate all funds belonging to the Fund property
Transfer to the fund fund account opened by the fund custodian for the fund. At the same time, within the specified time, the fund manager shall apply for the position in accordance with the requirements of
The accounting firm specified in the Securities Law of the People's Republic of China shall conduct capital verification and issue a capital verification report. The capital verification report issued by
The capital verification is valid only if it is signed by two or more Chinese certified public accountants.
3. If the fund raising period expires and the conditions for the effectiveness of the fund contract are not met, the fund manager shall handle refunds as required
The Fund Custodian shall provide necessary assistance and cooperation.
（3） Opening and management of fund account
1. The Fund Custodian shall open a fund account (also referred to as "custody account") in its business institution in the name of the Fund,
To keep the bank deposits of the Fund and handle the receipt and payment of funds according to the instructions of the Fund Manager. The name of the escrow account should be "Sino Australian state-owned enterprise"
Intelligent selection of hybrid securities investment funds ", the reserved seal is the seal of the fund custodian.
2. The opening and use of the Fund's capital account shall be limited to meet the needs of conducting the Fund's business. Fund Custodian and Fund Management
I shall not open any other bank account in the name of the Fund; Nor use any account of the Fund to conduct the Fund industry
Non business activities.
3. The opening and management of the fund account shall comply with laws and regulations and the relevant provisions of the banking regulatory authority.
（4） Opening and management of fund securities accounts and securities trading capital accounts
1. The Fund Custodian shall open the Fund Funds in the Shanghai Branch and Shenzhen Branch of China Securities Depository and Clearing Corporation Limited
A securities account jointly signed by the fund custodian and the fund.
2. The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Fund Custodian and Fund Management
The Manager shall not lend or transfer any securities account of the Fund without the consent of the other party, nor use any account of the Fund to
Conduct activities other than the Fund's business.
3. The fund custodian shall be responsible for the opening of the fund securities account and the safekeeping of the securities account card, and the management and application of the account assets
The Fund Manager shall be responsible for it.
4. The Fund Manager shall open a securities trading capital account in a securities brokerage institution for the purpose of fund assets for securities delivery of fund assets
Depository of easy settlement funds, recording the details of changes in transaction settlement funds and clearing of over-the-counter securities transactions, and opening an agreement with the fund custodian
Establish a third-party custody relationship with the established custody account.
The Fund Custodian and the Fund Manager shall not lend or transfer securities accounts, securities trading capital accounts, or use securities
The account or securities trading capital account carries out activities other than the business of the Fund. Transactions of the Fund through securities brokers
The securities brokerage institution shall act as a clearing participant to conduct clearing on behalf of the Fund.
5. The Fund Manager promises that the securities trading capital account will be the main capital account and will not open any auxiliary capital account; Not securities
The transaction capital account shall open another bank account other than the bank custody account.
6. If the CSRC or other regulatory authorities allow the Fund to engage in other investment varieties after the date of this Custody Agreement
Investment business involving the opening and use of relevant accounts shall be opened, used and managed in accordance with relevant regulations; If there is no relevant regulation
The Fund Custodian shall follow the above provisions on account opening and use.
（5） Opening and management of bond custody account
After the Fund Contract comes into force, the Fund Custodian shall, in accordance with the provisions of the People's Bank of China, the Central Government Securities Depository and Clearing Co., Ltd. and the Bank
The relevant provisions of the Inter market Clearing House Co., Ltd., to issue bonds in the name of the fund in the inter-bank market registration and clearing institution
Custody account, and settlement of inter-bank market bonds on behalf of the Fund.
（6） Opening and management of other accounts
1. The fund manager shall open a futures margin account and futures trading code according to the investment needs and regulations, and the fund shall be placed in custody
People shall open futures settlement accounts and other accounts required for investment in accordance with regulations. After the above account is opened, the Fund Manager shall
Report the initial capital password of the futures margin account provided by the futures company and the login user name and password of the market monitoring center
Know the Fund Custodian. The fund manager shall reset the fund password and the login password of the Market Monitoring Center, and must notify the fund manager in time after resetting
Know the custodian.
The Fund Custodian and the Fund Manager shall cooperate with each other in the process of opening accounts and provide the necessary information. Fund Manager Guarantee
The authenticity and validity of the account opening materials provided, and timely provide the changed materials to
Gold Custodian.
2. Other accounts opened for business development may be managed by the fund in accordance with laws and regulations and the provisions of the fund contract
The Fund Custodian shall assist the Fund Custodian to open the Fund after consultation in accordance with relevant laws and regulations and this Agreement. The new account shall be used according to relevant regulations and
Administration.
3. If laws and regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail.
（7） Custody of relevant valuable certificates of fund property investment
Valuable certificates such as physical securities invested by the Fund assets shall be deposited by the Fund Custodian in the custody of the Fund Custodian as agreed
Treasury, or deposited in the Central Government Securities Depository and Clearing Co., Ltd., Interbank Market Clearing House Co., Ltd., and China Securities Depository
The physical custody certificate of the depository of the clearing limited liability company or the bill business center shall be held by the fund custodian. Physical securities, etc
The purchase and transfer of valuable vouchers shall be handled by the Fund Custodian in accordance with the instructions of the Fund Manager. The Fund Custodian shall pay the deposit
Valuable vouchers actually and effectively controlled by institutions other than the institution and the fund custodian shall not bear the custody responsibility.
（8） Custody of major contracts related to fund assets
The originals of the major contracts signed by the Fund Manager on behalf of the Fund and related to the Fund property shall be respectively
Custody by the gold custodian. Unless otherwise specified in this Agreement, major contracts signed by the Fund Manager on behalf of the Fund in connection with the Fund's assets
The Fund Manager and the Fund Custodian shall each hold at least one original as far as possible. The Fund Manager shall be responsible for
After signing the contract, fax the major contract to the Fund Custodian in a timely manner, and deliver the original to the Fund Custodian within 30 working days.
For the consequences caused by the inconsistency between the fax of the contract sent by the fund manager and the original contract delivered afterwards, the fund manager shall
be responsible for. The term of custody of a material contract shall be no less than 20 years after the termination of the fund contract. Where laws, regulations or regulatory rules provide otherwise,
From its provisions.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with a fax of the contract with the official seal affixed
The original contract shall not be transferred without mutual agreement. The fax of the contract provided by the Fund Manager to the Fund Custodian and the
If the original documents retained by the fund manager are inconsistent, the fax shall prevail.
6、 Sending, confirmation and execution of instructions
When the Fund Manager uses the Fund assets, it sends to the Fund Custodian instructions for the transfer of foreign funds and payment of other funds
The fund custodian shall implement the instructions of the fund manager and handle the fund transactions under the name of the fund.
The instructions sent by the fund manager include electronic instructions and paper instructions.
The electronic instructions include the electronic instructions sent by the fund manager (electronic instructions transmitted by electronic message, custody of China Merchants Bank
+Electronic instructions entered on the integrated service platform), automatically generated electronic instructions (the custodian end of online custodian bank is subject to the same
The electronic instructions automatically generated by the business rules set intentionally). Paper instructions include faxed instructions or
Original instruction.
（1） Written authorization of the Fund Manager to the personnel who send instructions
The Fund Manager shall provide the Fund Custodian with a written notice of authorization (hereinafter referred to as "the notice of authorization") in advance to specify instructions
The authorized person and authorized seal of, and the content of the authorization notice includes the list of authorized persons, signature/seal samples, and authority
And reserved seal, as well as authorized fax number, email address, telephone number, etc. The notice of authorization shall be stamped with the fund manager company
Seal and signature/seal of the legal representative (or authorized person). If it is signed by the authorized representative, the power of attorney of the legal representative shall also be attached,
The effective time shall be specified. If the effective time is not specified, the effective time shall be the signing date of this Agreement or the signing date of the notice of authorization.
The Fund Manager shall send a notice of authorization to the Fund Custodian by fax or other means agreed with the Fund Custodian,
At the same time, notify the Fund Custodian by telephone. The notice of authorization is managed by the Fund Manager and the Fund Custodian by telephone or other funds
After being confirmed in a manner approved by the Manager and the Fund Custodian, it will take effect at the effective time specified in the notice of authorization. If the effective time is not specified
It shall take effect at the time of signing the notice of authorization. The Fund Manager shall send the original of the Notice of Authorization to the Fund Manager within three working days thereafter
Gold Custodian. If the content of the original letter of authorization is inconsistent with the fax received by the Fund Custodian, the fax received by the Fund Custodian shall prevail
Shall prevail.
The Fund Manager and the Fund Custodian shall be obliged to keep confidential the Notice of Authorization, and its contents shall not be disclosed to the authorizer, the authorized person and
Disclosed by anyone other than the relevant operators, unless otherwise required by laws and regulations or the competent authority.
（2） Content of instructions
Investment instruction refers to the transaction order, transaction instruction and capital issued by the Fund Manager to the Fund Custodian during the management of the Fund
Money transfer instructions (hereinafter referred to as "instructions"). The instruction shall be stamped with the reserved seal and sealed/signed by the authorized person. fund management
The fund transfer instructions issued by the Fund Custodian to the Fund Custodian shall specify the reason, time, amount, account information of withdrawal and collection, etc.
（3） Time and procedure for sending, confirming and executing instructions
1. Instruction sending mode
The Fund Manager chooses the following (2) method to send instructions to the Fund Custodian:
(1) The fund manager sends the electronic transfer to the fund custodian through the China Merchants Bank custody+integrated service platform entry mode
Orders or investment orders.
China Merchants Bank custody+integrated service platform refers to the fund custodian's Internet based
Customer service software, realizing instruction processing, data transmission, business query and data transmission between fund managers and fund custodians
And information services.
The Fund Manager and the Fund Custodian separately signed the "Custody+" Integrated Service Platform Service Agreement of China Merchants Bank
The agreement in the "Trusteeship+" Integrated Service Platform Service Agreement of China Merchants Bank "should prevail.
(2) The Fund Manager sends the electronic transfer instruction or investment to the Fund Custodian through SZTE's electronic direct connection connection
Instruction.
If the fund manager sends an electronic order through SZTE electronic direct connection, the fund manager shall at least
The Fund Custodian shall be informed of the Fund Code of the Fund through the reserved mailbox or the letter with the reserved seal one day before the establishment date.
The Fund Manager shall not deny the effectiveness of the instructions sent by the Fund Manager through the above (1) and (2) methods.
If the fund manager sends instructions through the above methods (1) and (2), the fund manager may, in case of emergency
Send the transfer instruction or the original instruction of express delivery and on-site interaction. The specific operation methods are as follows (3) and (4)
Order the transmission mode to execute.
(3) The Fund Manager chooses to send instructions by fax
The Fund Manager shall not deny the effectiveness of the instructions issued by the Fund Manager through the reserved fax number.
Under special circumstances, if the fund manager is unable to use the reserved fax number to send instructions, it can use the non reserved fax number for emergency response
When sending fax instructions, the Fund Manager must notify the Fund Custodian to receive the fax instructions through the authorized telephone number. In case of fund management
The Fund Custodian shall not be liable for any loss caused by the Manager's failure to notify the Fund Custodian to receive the fax instruction. The above special cases are solved
After that, the Fund Manager shall issue a notice of updating the reserved fax number to the Fund Custodian and affix the notice of authorization of the Fund Manager
Reserved seal in.
(4) The Fund Manager shall deliver the instructions in the form of express delivery or original on-site interactive instructions
If it is necessary to change the form of instruction sending, the Fund Manager must provide the Fund Custodian with an instruction to change the form of instruction sending in advance
Notification of change of sending method.
2. Transmission mode of directive annex
When the fund manager sends instructions to the fund custodian, it will reserve faxes through the custody+integrated service platform of China Merchants Bank
The number or reserved instruction attachment shall be sent to the email address to provide relevant contracts, transaction vouchers or other supporting materials. The Fund Manager shall
Be responsible for the authenticity, validity, integrity, legality and compliance of such materials.
For the attachment of instructions sent through China Merchants Bank's custody+integrated service platform, reserved fax number or reserved email address,
The Fund Manager and the Fund Custodian shall not deny their effectiveness.
3. Command sending time
For offline public offerings such as subscription of new shares and new bonds, the fund manager shall, before 10:00 on the payment date of offline subscription
The order is sent to the fund custodian.
For the futures deposit and withdrawal business, the fund manager shall transfer the futures deposit and withdrawal 2 hours before the deadline of the deposit and withdrawal on the trading date
The gold instruction is sent to the fund custodian. Under normal circumstances, the Fund Custodian shall, in accordance with the withdrawal and withdrawal instructions issued by the Fund Manager
The bank futures transfer system of the futures settlement bank conducts cash withdrawal and withdrawal operations. Other emergencies such as failure of the bank futures transfer system of the settlement bank
Under such circumstances, the fund manager can use non bank period transfer to withdraw and withdraw funds manually.
Manual deposit and withdrawal of non bank term transfer, the deposit shall be paid by the fund custodian through the settlement bank according to the transfer instruction provided by the fund manager
After the bank's online banking system is transferred to the designated account of the futures company, the fund manager shall notify the futures company to carry out the deposit operation, and the withdrawal shall be made by
After the fund manager notifies the futures company of the withdrawal, the futures company shall transfer the withdrawal instruction provided by the fund manager to the Fund for custody
Accounts.
After executing the operation of futures cash out or cash in, the fund manager shall query the cash out transfer through its trading system or terminal system
Outgoing and incoming cash.
For over-the-counter business, before the fund manager uses the fund assets to carry out over-the-counter securities trading, the fund manager shall
The established third-party custody system between the custody account and the securities trading capital account is between the fund custody account and the securities trading capital account
Transfer refers to mutual transfer between bank and securities.
For inter-bank business, if it is necessary to send inter-bank transaction notes or transfer instructions, the fund manager shall
The inter-bank transaction order and relevant transfer instructions shall be sent to the Fund Custodian. The Fund Manager shall confirm the Fund with the Fund Custodian
The custodian may conduct inter-bank transactions of the Fund only after it has completed the certificate and authority settings. It is unnecessary to issue a certificate to the fund custodian
In case of inter-bank transaction order authorization letter, the Fund Manager shall notify the Fund Custodian by reserved telephone at the time of the first inter-bank transaction, such as
If the Fund Manager fails to notify the Fund Custodian, resulting in the failure to implement or fail to implement the order, the Fund Custodian shall not be liable.
The Fund Manager shall send the trading instructions to the Fund Custodian 2 hours in advance for the withdrawal at a specified time; about
The Fund Custodian does not guarantee that the funds will be disbursed on the same day but should try its best to distribute the instructions sent by the Fund Manager to the Fund Custodian after 15:00
The Fund Custodian will not be responsible for the failure of the withdrawal.
4. Confirmation of instructions
The Fund Manager is obliged to confirm by telephone with the Fund Custodian after sending the instructions
The Fund Custodian shall not be liable for any loss caused by the Fund Custodian's receipt of fax instructions. For those issued in accordance with the "Notice of Authorization"
The fund manager shall not deny its effectiveness.
5. Execution of instructions
When sending instructions, the Fund Manager shall ensure that the withdrawal account has sufficient fund balance, complete documents, and
The Custodian has set aside the time necessary for the execution of the order, and because the Fund Manager has not given the time reasonably necessary, the Fund Custodian has
The Fund Custodian shall not be liable for any failure.
After the Fund Custodian confirms receipt of the instructions sent by the Fund Manager, it shall conduct formal review of the instructions and verify the elements of the instructions
(Amount, collection account number, name and purpose of the collection account). Fax instructions should also check whether the seal and seal/signature are consistent with
The reserved seal is consistent with the surface of the signature sample, and there is no difference in the form between the seal affixed to the fax instruction and the reserved seal, that is
It shall be deemed as passing the surface consistency review, and the Fund Custodian shall not
Undertake the review obligation. The Fund Custodian only reviews the apparent consistency of the instructions submitted by the Fund Manager in accordance with this Agreement,
It is not responsible for reviewing the legality, authenticity, integrity and effectiveness of other documents submitted at the same time as the Fund Manager sends instructions,
The Fund Manager shall ensure that the above documents are legal, true, complete and effective. If the above documents provided by the fund manager do not
Legal, untrue, incomplete or ineffective, affecting the review of the Fund Custodian or causing losses to any third person
The manager assumes responsibility.
The Fund Custodian shall implement the instructions in a timely manner within the specified time limit after reviewing them.
6. Cancellation of instructions
On the premise that the order has not been executed, if the fund manager cancels the order, the fund manager shall indicate "invalid"
"Abolished", "Cancelled" and other words shall be faxed to the Fund Custodian after being stamped with the reserved seal and the seal/signature of the authorized person, and the telephone call shall be made
Know the Fund Custodian. If the electronic order is revoked, the fund manager shall revoke it through the relevant system. If the system function does not support revocation,
The electronic instruction shall be revoked by referring to the revocation of fax instruction.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
1. The circumstances under which the fund manager sends wrong instructions include that the instruction sender has no right or exceeds the authority to send instructions, and the instructions do not
It can be identified or the elements are incomplete, which leads to the failure of implementation.
2. When the Fund Custodian believes that the received instruction is an error instruction, it shall confirm with the Fund Manager by telephone in a timely manner, and
The execution of the suspension order shall be revoked by the fund manager or re sent after revocation.
（5） The circumstances and handling procedures under which the Fund Custodian suspends or refuses to execute the order in accordance with laws and regulations
The Fund Custodian finds that the instructions sent by the Fund Manager may violate the Fund Law, the Operation Measures, the Fund Contract
In case of provisions of this Agreement or other relevant laws and regulations, the execution of instructions shall be suspended or refused, and the Fund Manager shall be notified in a timely manner
The manager shall timely check and correct after receiving the notice; If the relevant transaction has taken effect, the Fund Manager shall be notified within the period specified in the regulations
Correct within the time limit. For transactions that are difficult to supervise before the fund custodian, the fund custodian performed the fund management afterwards
After the manager's notification obligation, it is deemed that he has fully performed his investment supervision duties. For fund managers who violate the Fund Law
If any loss of fund property is caused by the provisions of the Measures, the Fund Contract, this Agreement or other relevant laws and regulations, it shall be deposited in the Fund
The Fund Manager shall bear the responsibility and the Fund Custodian shall be exempted from the responsibility in the event that the Fund Custodian has performed the supervision responsibilities in accordance with this Agreement
Corresponding responsibilities.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
For the effective instructions and notices of the fund manager, unless it violates laws and regulations, the fund contract, the custody agreement or has the provisions of Article (4)
The Fund Custodian shall not unreasonably refuse or delay the implementation of the errors mentioned in subparagraph (1). Except for the Fund and Fund Management caused by intentional or gross negligence
In addition to being liable for compensation for damage to the interests of the Fund Manager, the Fund Custodian shall implement the legal instructions of the Fund Manager and
No compensation liability shall be borne for the losses caused.
（7） Procedures for replacing authorized personnel
The Fund Manager replaces the authorized personnel, changes the authority of the authorized personnel, changes or adds the number to receive fax instructions
The telephone number and e-mail address must be reserved at least one trading day in advance by fax or other fund managers and funds
Re issue the notice of authorization stamped with the official seal of the Fund Manager to the Fund Custodian in a manner approved by the Custodian, and call
Notify the Fund Custodian. Recognized by the Fund Manager and the Fund Custodian by telephone or by other Fund Managers and Fund Custodians
After being confirmed in an acceptable way, it will take effect at the effective time specified in the notice of authorization, and the original notice of authorization will become invalid. The Fund Manager
The original of the notice of change of the authorized person shall be delivered to the Fund Custodian within three working days thereafter. The original content of the notice of authorization and the fund
If the fax received by the custodian is inconsistent, the fax received by the fund custodian shall prevail. The Fund Custodian changes the Receiving Fund Manager
The personnel instructed shall notify the fund manager in advance.
（8） Custody of instructions
If the instruction is sent by fax, the original shall be kept by the Fund Manager, and the Fund Custodian shall keep the fax of the instruction. When both
In case of any inconsistency, the fax of the instruction received by the Fund Custodian shall prevail.
（9） Relevant responsibilities
The instruction given to the Fund Custodian by the Fund Manager without sufficient funds has resulted in the failure to liquidate funds in a timely manner
The losses caused shall be borne by the fund manager. The transmission is not timely or not reserved enough for implementation due to the fund manager
Time, loss caused by failure to timely clear funds or transaction failure due to failure to timely confirm instructions with the Fund Custodian
It shall be borne by the Fund Manager, except in case of force majeure. The Fund Custodian correctly executes the following documents sent by the Fund Manager:
The Fund Custodian shall not bear any responsibility in any form for any loss of the Fund property caused by the effective instruction. In the normal business acceptance channel and
Within the time limit specified in the order, the fund asset fails to execute the legal and compliant order in time or correctly due to the reason of the fund custodian
If the assets are damaged, the Fund Custodian shall bear corresponding responsibilities, except in case of force majeure.
The Fund Custodian shall, in accordance with the relevant provisions of this Agreement, perform the duty of examining the apparent consistency of seals and signatures. If the Fund
The manager's instructions are in fact unauthorized, fraudulent, forged or failed to provide the notice of authorization in a timely manner
I will not be liable for any loss caused to the Fund Manager or the Fund assets or any third party due to the execution of the relevant instructions or refusal to execute the relevant instructions
The Fund Manager shall bear all the responsibility for the losses caused by the Fund, but the Fund Custodian fails to perform its obligation to review in a formal manner as agreed in the Custodian Agreement
Except in the case of loss caused by the order.
7、 Transaction, clearing and settlement arrangements
（1） Select securities and futures brokerage institutions that act as agents for securities and futures trading
1. The Fund Manager shall formulate the criteria and procedures for selection and be responsible for the implementation of relevant
After the investigation, the securities brokerage institution shall determine the securities brokerage institution to act as the agent for the securities trading of the Fund and bear the corresponding responsibilities. fund management
The Fund Manager shall notify the Fund Custodian of the form of signing a securities brokerage contract or other agreements with the selected securities brokerage institution
And disclose relevant contents in the statutory information disclosure report according to the requirements of laws and regulations. Fund Manager, Fund Custodian and Securities
A securities brokerage institution may sign a separate securities brokerage service agreement on the specific matters concerning the Fund's participation in securities trading.
2. The Fund Manager is responsible for selecting the futures brokerage institutions that act as agents for the futures trading of the Fund and signing futures brokerage contracts with them,
Other matters shall be carried out in accordance with the relevant provisions of laws and regulations and the Fund Contract. If there are no clear provisions, you can refer to the relevant securities purchase
The rules selected by the selling and securities brokerage institutions shall be implemented.
(1) The futures company selected by the fund manager shall be responsible for the clearing and delivery of futures transactions of fund assets.
(2) The Fund Manager shall instruct the futures company selected by it to send to the Fund Custodian and the Fund Manager through SZSE
Transaction settlement report showing the transaction results of the Fund in the format of the Market Monitoring Center and the display made with reference to the format of the Market Monitoring Center
A trading settlement report on the equity status of the Fund's futures margin account. With the consent of the Fund Custodian, e-mail can be used for transmission
The mode is used as an emergency backup mode to transmit the transaction settlement data of the day.
Under normal circumstances, the transaction settlement report of the day should be sent before 17:00 on the trading day. Due to the exchange
If the data is delayed, the Fund Manager shall notify the Fund Custodian in time and notify the futures company to send the data immediately after recovery
Send it to the Fund Custodian and confirm the data reception by telephone. If the futures data sent by the futures company is incorrect, it shall be reported to the fund management again
If the manager or the fund custodian sends the new futures data, the fund manager shall instruct the futures company to notify the fund custodian immediately after sending the new futures data
Manage the personnel and confirm the data reception status by telephone.
(3) The fund manager shall oblige the futures company it selects to be responsible for the accuracy, integrity and authenticity of the data sent.
Due to the inconsistency between the items recorded in the transaction settlement report and the actual transaction results and equity, the valuation calculation of this fund is wrong
The Fund Manager shall be responsible for recovering from the data sender, and the Fund Custodian shall not be liable.
（2） Settlement arrangements after the fund invests in securities
The transactions of the Fund through securities brokerage institutions shall be settled by the securities brokerage institutions as clearing participants on behalf of the Fund
Calculation; The transactions of the Fund through futures brokerage institutions shall be settled by the futures brokerage institutions as clearing participants on behalf of the Fund
Calculation; Other securities transactions of the Fund shall be settled by the Fund Custodian or relevant institutions. Fund Manager, Fund Custodian and
The selected securities brokerage institution shall sign a securities brokerage service agreement in accordance with relevant laws and regulations and relevant business rules to specify
Clarify the responsibilities of the three parties in the securities trading capital settlement business.
The Fund Custodian shall implement the Fund Manager's fund transfer instructions within the specified time limit without delay after reviewing them without error.
The Fund Custodian shall be responsible for the transfer of funds invested by the Fund in all OTC transactions.
The securities brokerage agency completes the securities trading and the securities capital settlement industry not involved in the trading with the Zhongdeng Company on behalf of the Fund's property
And bear the responsibility for the failure to complete the normal settlement and settlement business caused by the securities brokerage institutions.
（3） Basic Provisions on Fund Purchase, Redemption and Conversion
1. The Fund Manager or its entrusted registration institution shall be responsible for the confirmation and liquidation of subscription, redemption and conversion of fund units.
2. The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day to the Fund Custodian.
The Fund Manager shall be responsible for the authenticity and accuracy of the data transmitted for subscription, redemption and conversion of open-ended funds. Fund Custodian
It shall timely check the receipt of subscription and transferred funds and timely transfer the redemption and transferred funds according to the instructions of the fund manager.
3. The Fund Manager shall ensure that the registration authority of the Fund (or the registration authority entrusted by the Fund Manager) shall report to the Fund before 15:00 every working day
The Financial Custodian shall send the above relevant data on the previous opening day and ensure the accuracy and completeness of the relevant data.
4. The registration authority shall send relevant data through the system established with the fund manager, and the fund manager shall send the data to the fund custodian
Send relevant data. If the system cannot send the data normally due to various reasons, both parties can solve the problem through negotiation. Fund manager
The data sent to the Fund Custodian shall be kept by both parties in accordance with relevant regulations.
5. If the Fund Manager entrusts other institutions to handle the registration business of the Fund, it shall ensure that the above related matters are carried out on time. no
The Fund Manager shall bear corresponding responsibilities.
6. Establishment and management of special clearing account
In order to meet the needs of subscription, redemption, conversion and dividend capital remittance, the fund manager shall open a special account for capital clearing,
The account is managed by the registration authority.
7. The fund manager shall be responsible for determining the accounts receivable generated in the process of fund purchase and conversion with relevant parties
The Fund Custodian shall notify the Fund Custodian on the date when the accounts receivable do not reach the Fund's capital account on the account day. The Fund Custodian shall notify the Fund in a timely manner
The Fund Manager shall be responsible for recovering the Fund from the relevant parties if the Fund Manager takes measures to collect the Fund and thereby causes losses to the Fund
In case of loss, the Fund Custodian shall provide full assistance.
8. Redemption and conversion fund transfer regulations
When transferring the redemption money and the transfer out money, if the fund fund account has sufficient funds, the fund custodian shall transfer them on time; because
The Fund Custodian shall timely notify the Fund Custodian if the Fund Custodian fails to transfer funds on time due to insufficient funds in the Fund's capital account
The Fund Manager and the Fund Custodian shall not bear the corresponding responsibility, the responsibility shall be borne by the Fund Manager, and the Fund Custodian shall not bear the obligation of advance.
9. Capital Instruction
In addition to the payment, redemption and dividend related to the investment, the subscription amount shall reach the fund account and need to be reconciled by both parties according to the agreed method
When transferring funds, the Fund Manager shall issue instructions to the Fund Custodian.
The format, content, sending, receiving and confirmation methods of capital orders are the same as those of investment orders.
（4） Net fund settlement
The fund settlement between the fund account and the "fund clearing account" follows the principle of "full settlement and net settlement"
The net receivable amount or net payable amount of the fund account is determined according to the difference between the receivable funds and the payable funds of the fund account on the
The Fund Custodian shall provide the Fund Manager with appropriate means to facilitate the Fund Manager's inquiry and account management
Li. When there is a net receivable amount in the fund account, the fund manager shall transfer it from the fund clearing account to the base fund before 15:00 on the settlement date
For the fund account, the Fund Manager shall inquire the results through the method provided by the Fund Custodian; When there is a net payable amount in the fund account,
The Fund Custodian shall, in accordance with the transfer instruction of the Fund Manager, transfer the net payable amount of the escrow account to the fund clearing account on the settlement date in a timely manner,
The Fund Manager shall inquire the results through the method provided by the Fund Custodian.
When there is a net payable amount in the fund account, if the fund bank account has sufficient funds, the fund custodian shall transfer them on time; because
The Fund Custodian shall timely notify the Fund Custodian if the Fund Custodian fails to transfer funds on time due to insufficient funds in the Fund's capital account
The Manager and the Fund Custodian shall not be liable; If it is caused by the fund manager, the responsibility shall be borne by the fund manager
The custodian shall not assume the obligation of advance payment.
（5） Fund cash dividends
1. The Fund Manager shall notify the Fund Custodian after determining the dividend plan, and both parties shall verify the dividend plan in accordance with the relevant provisions of the Information Disclosure Measures
It is required to publish on the media specified by the CSRC.
2. After the fund custodian and the fund manager conduct accounting treatment and check on the fund dividend, the fund manager shall place the fund in custody
The Fund Custodian shall promptly transfer the dividend to the fund clearing account in accordance with the transfer instructions of cash dividends sent by the Fund Custodian.
3. When giving instructions, the Fund Manager shall allow the Fund Custodian the necessary time to transfer funds.
8、 Calculation, valuation and accounting of the net asset value of the Fund
（1） Time and procedure for calculation, review and completion of net asset value of the Fund
1. Net value of fund assets
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
The net value of various fund units is the net value of the fund assets of such fund units divided by the current
The balance quantity of Class A fund units is calculated to the nearest 0.0001 yuan, and the fifth digit after the decimal point is rounded off. The resulting error
Included in the fund assets. The Fund Manager may establish an emergency adjustment mechanism for the accuracy of net worth in the case of large redemption. Other national regulations
The 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 make an announcement in accordance with regulations.
2. Review procedure
The Fund Manager shall value the assets of the Fund on each valuation date. However, the Fund Manager shall, in accordance with laws and regulations or the provisions of the Fund Agreement
Except when the valuation is suspended. The fund manager will send the net value results of various fund units after valuing the fund assets on each valuation day
After the Fund Custodian has checked and found no error, the Fund Manager shall, in accordance with the provisions of the Fund Contract and relevant laws and regulations
Public announcement.
3. According to relevant laws and regulations, the Fund Manager shall be responsible for the calculation of the net asset value of the Fund and the accounting of the Fund. Base
The Fund Manager shall be responsible for the accounting of the Fund, and the Fund Custodian shall be responsible for the review. Therefore, it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality
The results of the calculation of the net value of the Fund shall be published to the public.
（2） Valuation of Fund Assets
The Fund Manager and the Fund Custodian shall conduct valuation in accordance with the provisions of the Fund Contract.
（3） Treatment method for net value error of fund units
The Fund Manager and the Fund Custodian shall handle the error of unit net value in accordance with the provisions of the Fund Contract.
（4） Fund accounting system
The accounting system stipulated by relevant national departments shall be followed.
（5） Establishment of fund account book
After the fund contract comes into effect, the fund manager and the fund custodian shall follow the same bookkeeping method and accounting department agreed by both parties
Management principle, independently set up, record and keep the full set of account books of the Fund, and regularly check the respective account books of relevant parties
Yes, mutual supervision to ensure the safety of fund assets.
（6） Preparation and review of fund financial statements and reports
1. Preparation of financial statements
The financial statements of the Fund shall be prepared by the Fund Manager and reviewed by the Fund Custodian.
2. Report review
After receiving the financial statements of the Fund prepared by the Fund Manager, the Fund Custodian shall independently review them. In case of discrepancy
Timely notify the fund manager to jointly find out the reasons and make adjustments until the data of both parties are completely consistent.
3. Preparation and review schedule of financial statements
The Fund Manager and the Fund Custodian shall complete the preparation and review of the monthly statements within 5 working days after the end of each month; stay
Complete the preparation and review of the quarterly report of the Fund within 15 working days from the end of each quarter; From the end of the first half year 2
To complete the preparation and review of the interim report of the Fund within six months; Complete the preparation of the annual report of the Fund within three months from the end of each year
Preparation and review. When the Fund Custodian finds discrepancies in the statements of both parties during the review process, the Fund Manager and the Fund Custodian
The reasons shall be jointly identified and adjusted, and the adjustment shall be subject to the relevant national regulations. The financial and accounting report of the Fund's annual report shall
It has been audited by an accounting firm conforming to the Securities Law of the People's Republic of China. If the fund contract takes effect less than two months
The fund manager may not prepare the current quarterly report, interim report or annual report.
（7） When necessary, the Fund Manager shall provide the Fund Custodian with the basic data of the benchmark of fund performance quarterly
And prepare the results.
9、 Fund income distribution
The Fund Manager and the Fund Custodian shall handle the distribution of fund income in accordance with the provisions of the Fund Contract.
10、 Fund information disclosure
（1） Confidentiality obligations
The Fund Custodian and the Fund Manager shall disclose information in accordance with laws and regulations and the relevant provisions of the Fund Agreement, and plan to disclose it publicly
The information of shall be kept confidential before public disclosure. Except in accordance with the Fund Law, the Fund Contract, the Information Disclosure Measures and other relevant regulations
In addition to the information disclosure, the Fund Manager and the Fund Custodian shall provide the information generated in the operation of the Fund and the business obtained from the other party
The information shall be kept confidential. However, the following circumstances shall not be deemed as breach of confidentiality obligations by the Fund Manager or the Fund Custodian:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the judgment or ruling of the court, the arbitral award or the supervision of the CSRC
Information disclosure or disclosure made by the order or decision of the regulatory authority.
（2） Contents of information disclosure
The information disclosure of the Fund mainly includes the Fund Prospectus, the Fund Contract, the Custody Agreement, the Fund Product Information Summary
Fund unit offering announcement, fund contract effectiveness announcement, fund net value information, fund unit subscription, redemption price, fund term
Report (including annual report, interim report and quarterly report (including quarterly report of asset portfolio), interim report
Clarification announcement, resolution of the general meeting of fund share holders, information disclosure of fund investment stock index futures, and fund investment asset-backed securities
Information disclosure, information disclosure of restricted securities for fund investment and circulation, information disclosure of stocks invested in Hong Kong stocks, implementation side
Information disclosure, liquidation report, information disclosure of investment in depositary receipts, and other information specified by the CSRC during the period of the bag mechanism.
The financial accounting report in the annual report of the Fund shall be audited by an accounting firm in accordance with the Securities Law of the People's Republic of China
It can be disclosed only after.
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports, as well as the Prospectus (update) and other documents
Disclose the trading of stock index futures, including investment policies, positions, profits and losses, risk indicators, etc., and fully disclose
The impact of stock index futures trading on the overall risk of the fund and whether it conforms to the established investment policies and investment objectives.
The Fund Manager shall disclose the total amount of asset-backed securities and asset-backed securities held by it in the Fund's annual report and interim report
The proportion of the market value of securities in the net assets of the Fund and the details of all asset-backed securities during the reporting period. The Fund Manager shall
The report discloses the total amount of asset-backed securities held, the proportion of the market value of asset-backed securities in the net assets of the fund and the reporting period
Details of the top 10 asset-backed securities ranked by the proportion of market value in the net assets of the fund.
The Fund Manager shall submit quarterly reports, interim reports, annual reports and other regular reports, as well as the Prospectus (update) and other documents
The information on the Fund's investment in Hong Kong stocks is disclosed in the document. If laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
If laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
（3） Responsibilities and information disclosure procedures of the Fund Custodian and the Fund Manager in information disclosure
1. Responsibilities
The Fund Custodian and the Fund Manager shall be honest in the process of information disclosure with the purpose of protecting the interests of fund share holders
Keep your promises and keep your secrets. The Fund Manager is responsible for handling information disclosure matters related to the Fund
The information disclosure documents that need to be reviewed by the Fund Custodian as stipulated in the Fund Agreement shall be reviewed by the Fund Custodian
The administrator shall publish it as required.
The Fund Manager and the Fund Custodian shall actively cooperate with each other and supervise each other to ensure that they perform the disclosure in accordance with the statutory method and within the time limit
Obligations.
The fund manager shall, within the time limit prescribed by the CSRC, pass the fund information to be disclosed through the CSRC's regulations
Determine the media disclosure. Information that should be publicly disclosed by the Fund Custodian according to laws and regulations shall be publicly disclosed by the Fund Custodian in the specified media.
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund related information when:
(1) The securities, futures trading market or foreign exchange market involved in the Fund's investment is suspended on statutory holidays or for other reasons
When the business or fund participates in the trading of the Hong Kong Stock Connect and the Hong Kong Stock Connect is temporarily closed;
(2) The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure or other circumstances;
(3) The valuation is suspended as agreed in the fund contract;
(4) Other circumstances stipulated by laws and regulations, recognized by the CSRC or the fund contract.
2. Procedure
Information disclosure documents that must be reviewed by the Fund Custodian according to relevant regulations shall be drafted by the Fund Manager and replied by the Fund Custodian
After verification, the Fund Manager shall make an announcement. In case of any event required to be disclosed in the fund contract, it shall be announced in accordance with the provisions of the fund contract.
3. Storage of information text
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall, in accordance with the relevant laws and regulations
It is available at the company's domicile for public reference and reproduction. Investors can consult it free of charge. After paying the cost of production
Obtain copies or copies of the above documents. The Fund Manager and the Fund Custodian shall ensure that the content of the text is consistent with the published
The content is completely consistent.
11、 Fund expenses
（1） The withdrawal method, withdrawal standard and payment method of fund custody fee are as follows:
The custody fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. The calculation method of custody fee is as follows
Bottom:
H ＝ E × 0.20% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily, accumulated day by day to the end of each month, and paid monthly
After verification by both parties, the Fund Custodian shall, in the first 5 working days of the next month
It shall be withdrawn from the fund property in a lump sum. In case of legal holidays, public holidays or force majeure, the payment date shall be postponed.
（2） Other fund expenses shall be withdrawn and paid in accordance with the Fund Contract.
12、 Custody of the Register of Fund Unitholders
The register of fund unit holders shall at least include the name, certificate number and fund units held by the fund unit holders. base
The register of fund share holders shall be prepared and kept by the fund registration authority in accordance with the instructions of the fund manager
The custodian shall keep the register of fund unit holders for at least 20 years,
From its provisions. If it cannot be properly kept, it shall be liable according to relevant laws and regulations.
Before the Fund Custodian requests or prepares the interim report and annual report, the Fund Manager shall send the relevant information to the Fund Custodian
The manager shall not refuse or delay the provision without reason, and shall ensure its authenticity, accuracy and integrity. Fund Manager and Custodian
The register of fund unit holders kept shall not be used for purposes other than fund custody business, and shall comply with confidentiality obligations,
If laws, regulations or regulatory rules provide otherwise, such provisions shall prevail.
13、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager shall keep the records, account books, statements and other relevant materials of the fund property management business activities. Fund Custody
People shall keep records, account books, statements and other relevant materials of fund custody business activities. Both the Fund Manager and the Fund Custodian
It shall be kept within the specified time limit. The storage period shall not be less than 20 years. If laws and regulations or regulatory rules provide otherwise, such provisions shall prevail.
（2） Establishment of contract archives
1. Unless otherwise agreed in this Agreement, the Fund Manager shall promptly send the original of the contract to Daji after signing the major contract text
Financial Custodian Division.
2. The Fund Manager shall promptly fax or pass through both parties the contracts and agreements related to the accounting treatment and fund transfer of the Fund
Other methods approved shall be sent to the Fund Custodian.
（3） Change and assistance
If the Fund Manager/Fund Custodian changes, the unchanged party is obliged to assist the successor after the change to accept the corresponding
File.
（4） The Fund Manager and the Fund Custodian shall keep the original vouchers, accounting vouchers, fund account books
Transaction records and important contracts shall be kept confidential for at least 20 years, unless otherwise stipulated by laws, regulations or regulatory rules,
From its provisions.
14、 Replacement of Fund Manager and Fund Custodian
（1） After the termination of the duties of the fund manager, it shall still properly keep the fund management business information and ensure that it will not make any contribution to the fund shares
Any act that causes damage to the interests of the holder, and timely handle the fund management business with the new fund manager or temporary fund manager
The temporary fund manager or the new fund manager shall accept the handover procedures in time. The Fund Custodian shall give active cooperation,
And check the total value of fund assets and the net value of fund assets with the new fund manager or temporary fund manager.
（2） After the termination of the duties of the fund custodian, it shall still properly keep the fund assets and the fund custody business information, and ensure that it will not make
Any act that causes damage to the interests of fund share holders, and shall be handled in a timely manner with the new fund custodian or temporary fund custodian
The new Fund Custodian or the temporary Fund Custodian shall take over the transfer procedures of the Fund assets and the Fund custody business in a timely manner. base
The Fund Manager shall actively cooperate and check the total value of the Fund's assets and the Fund with the new Fund Custodian or the temporary Fund Custodian
Net worth.
（3） For other matters, please refer to the relevant provisions of the fund contract.
15、 Prohibited acts
The behaviors prohibited by the parties to this agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian mix their own property or other people's property with the Fund property to engage in securities investment.
（2） The fund manager treats the different fund assets under its management unfairly, and the fund custodian treats its custody unfairly
Different fund assets.
（3） The Fund Manager and the Fund Custodian use the Fund assets or their positions to be the third party other than the Fund Unitholders
People seek benefits.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders gains or bear losses in violation of regulations.
（5） The Fund Manager and the Fund Custodian disclose to others that any fund operation and management process has not been in accordance with laws and regulations
Information disclosed in a prescribed manner.
（6） The Fund Manager sends investment instructions and payment instructions to the Fund Custodian without sufficient funds, or violates
To issue instructions to the Fund Custodian.
（7） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior managers and other practitioners
Members work part-time for each other.
（8） The Fund Custodian privately uses or disposes of the Fund assets, and in accordance with the legal instructions of the Fund Manager, the Fund Agreement or the Trust
Except for the punishment stipulated in the management agreement.
（9） Other acts prohibited by laws and regulations and the fund contract, as well as in accordance with the relevant provisions of laws and administrative regulations
Other acts prohibited by the CSRC for fund managers and fund custodians.
16、 Change and Termination of Custody Agreement and Liquidation of Fund Assets
（1） Change procedure of custody agreement
The parties to this agreement may amend the agreement upon consensus. The contents of the revised new agreement shall not be consistent with those of the basic agreement
There is any conflict between the provisions of the gold contract. Changes to the Fund Custody Agreement shall be reported to the CSRC for filing.
（2） Termination of Fund Custody Agreement
1. The Fund Contract is terminated;
2. The Fund Custodian is unable to continue to serve as the Fund Custodian due to dissolution, bankruptcy, cancellation and other reasons
There is no other appropriate custodian institution to undertake its original rights and obligations within the month;
3. The Fund Manager is unable to continue to serve as the Fund Manager due to dissolution, bankruptcy, cancellation and other reasons
No other appropriate fund management company has undertaken its original rights and obligations within the month;
4. Other termination events specified by laws and regulations, CSRC or the Fund Contract occur.
（3） Liquidation of fund assets
The Fund Manager and the Fund Custodian shall handle the liquidation of the Fund assets in accordance with the provisions of the Fund Contract.
17、 Liability for breach of contract
（1） If the Fund Manager or the Fund Custodian fails to perform this Agreement or fails to perform this Agreement in accordance with the agreement, they shall be liable for breach of contract
Responsibility.
（2） The Fund Manager and the Fund Custodian violate the Fund Law and other laws and regulations in the process of performing their respective duties
Provisions, the Fund Contract and this Custody Agreement shall be divided into
Do not be liable for compensation for their respective acts according to law; If the joint act has caused damage to the fund assets or the holders of fund units,
They should bear corresponding responsibilities for the direct losses caused by this according to their respective fault degrees.
（3） If one party breaches the contract and causes losses to the other party or the fund property, it shall compensate for the direct losses,
The other party has the right and obligation to claim compensation from the defaulting party on behalf of the fund. However, the party concerned shall be exempted from liability if:
1. The Fund Manager and the Fund Custodian shall act or refrain from acting in accordance with the then effective laws and regulations or the provisions of the CSRC
And losses caused by it;
2. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss, etc;
3. Computer system failure, network failure
Loss caused by communication failure, power failure, computer virus attack and other accidents;
4. Force majeure.
（4） If one party breaches the contract, the other party has the obligation to take necessary measures in a timely manner within the scope of its duty to prevent
Stop or mitigate the expansion of losses.
（5） If the breach of contract has occurred, but this Custodian Agreement can continue to be performed, the fund share holding shall be protected to the maximum extent
The Fund Manager and the Fund Custodian shall continue to perform this Agreement on the premise of the interests of others. If the fund manager or fund custodian
If a person is sued for performing this Agreement, the other party shall provide reasonable and necessary support.
（6） Due to the uncontrollable factors of the Fund Manager and the Fund Custodian, business errors occur
Although the custodian has taken necessary, appropriate and reasonable measures to carry out the inspection, it fails to find any errors or fails to do so due to the above reasons
The Fund Manager and the Fund Custodian shall be exempted from the liability of compensation for the loss of the Fund property or investors caused by the error that can be avoided or corrected
Ren. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to mitigate or eliminate the impact caused thereby.
18、 Dispute resolution
Both parties agree that all disputes arising from or in connection with this Agreement, if not resolved through friendly negotiation
Either party shall submit the dispute to Shenzhen International Arbitration Court in accordance with the then effective arbitration rules of Shenzhen International Arbitration Court
Arbitration. The place of arbitration shall be Shenzhen. The arbitral award is final and binding on both parties, unless otherwise specified in the arbitral award
It was decided that the arbitration fees and attorney fees shall be borne by the losing party.
During the dispute settlement period, both parties shall abide by the responsibilities of the Fund Manager and the Fund Custodian, and continue to be faithful, diligent
Fulfill the obligations specified in the Fund Agreement and this Custodian Agreement and safeguard the legitimate rights and interests of the Fund Unitholders.
This Agreement shall be governed by and interpreted in accordance with the laws of the People's Republic of China (for the purpose of this Agreement, excluding the legislation of Hong Kong, Macao and Taiwan).
19、 Effect of Custody Agreement
Both parties agree on the effectiveness of the custody agreement as follows:
（1） The draft custody agreement submitted by the fund manager when applying to the CSRC for offering registration shall be
Seals of both parties and signatures or seals of their legal representatives or authorized representatives
And formally sign the custody agreement. The custody agreement shall take the text registered with the CSRC as the official text.
（2） The Custodian Agreement shall be established as of the date of establishment of the Fund Contract and shall come into force as of the date of entry into force of the Fund Contract. The custody agreement includes
The validity period shall be from the effective date to the date when the liquidation results of the fund assets are reported to the CSRC for filing and announcement.
（3） The trusteeship agreement shall have the same legal binding force on the parties to the trusteeship agreement as of the effective date.
（4） This agreement is made in triplicate, with each party holding one copy and the fund manager reporting one copy to the regulatory authority as required,
Each copy has the same legal effect.
20、 Other matters
In the event that the competent judicial authority freezes the fund units of the fund unit holders according to law, the fund manager shall cooperate and undertake
Undertake the obligation of judicial assistance.
Unless explicitly defined in this Agreement, the definitions of terms in this Agreement shall apply to the provisions of the Fund Contract. Matters not covered in this agreement
People shall negotiate in accordance with the fund contract and relevant laws and regulations.
Annexes to this Agreement form an integral part of this Agreement.
21、 Signing of Escrow Agreement
Signature, seal, signing place and signing date of legal representatives or authorized representatives of both parties