Dacheng Zhuoyuan Hybrid Securities Investment Fund
Custody Agreement
Fund Manager: Dacheng Fund Management Co., Ltd
Fund Custodian: Bank of China Limited
Whereas Dacheng Fund Management Co., Ltd. is a legally established and validly existing limited liability company in accordance with Chinese laws
The company has the qualification and ability to act as the fund manager in accordance with relevant laws and regulations;
Whereas Bank of China Limited is a bank legally established and validly existing under the laws of China
Having the qualification and ability to act as the Fund Custodian in accordance with relevant laws and regulations;
Whereas Dacheng Fund Management Co., Ltd. intends to act as the fund manager of Dacheng Zhuoyuan hybrid securities investment fund,
Bank of China Limited plans to act as the fund custodian of Dacheng Zhuoyuan hybrid securities investment fund;
To clarify the rights and obligations between the fund manager and the fund custodian of Dacheng Zhuoyuan hybrid securities investment fund
This Agreement is hereby formulated.
1、 Parties to the Escrow Agreement
（1） Fund manager (or "manager" for short)
Name: Dacheng Fund Management Co., Ltd
Domicile: 5F, 27-33 F, Dacheng Fund Headquarters Building, No. 1236, Haide 3rd Road, Nanshan District, Shenzhen, Guangdong Province
Legal representative: Wu Qingbin
Date of establishment: April 12, 1999
Approval authority and approval number: China Securities Regulatory Commission, CSRC
[1999] No. 10
Organizational form: limited liability company
Registered capital: RMB 200 million
Duration: continuous operation
Tel: 0755-83183388
（2） Fund Custodian (or "Custodian" for short)
Name: Bank of China Limited
Address: No.1 Fuxingmennei Street, Xicheng District, Beijing
Legal representative: Ge Haijiao
Time of establishment: October 31, 1983
The establishment approval authority and the establishment approval document number:
Decision (GF [1983] No.146)
Approval No. of fund custody business: ZJJZ [1998] No. 24 of China Securities Regulatory Commission
Organizational form: limited liability company
Registered capital: RMB twenty-nine million four billion three hundred and eighty seven million seven hundred and ninety-one thousand two hundred and forty-one only
Business scope: absorbing RMB deposits; Issue short-term, medium-term and long-term loans; Settlement; Handle bill discount;
Issuance of financial bonds; Issuing, cashing and underwriting government bonds as an agent; Buying and selling government bonds;
Interbank lending; Provide letter of credit service and guarantee; Acting for collection and payment and insurance business;
Provide safe deposit box service; Foreign exchange deposit; Foreign exchange loans; Foreign exchange remittance; Foreign exchange; International knot
Calculation; Interbank foreign exchange borrowing; Acceptance and discount of foreign exchange bills; Foreign exchange borrowing; Foreign exchange guarantee; junction
Foreign exchange and sales; Issuance and agency of foreign currency securities other than stocks; Sales and agency sales
Foreign currency securities other than stocks; Self operated foreign exchange trading; Foreign exchange trading on behalf of customers; Foreign exchange credit card
The issuance and agency of foreign credit card issuance and payment; Credit investigation, consultation and witness business;
Organize or participate in syndicated loans; International precious metal trading; Operation of overseas branches and local laws
All licensed banking business; Branches in Hong Kong and Macao can issue or participate in the agency in accordance with local laws and regulations
Local currency of the barber bank; Other businesses approved by the People's Bank of China.
Duration: continuous operation
2、 Basis, purpose, principle and interpretation of custody agreement
（1） Basis
This agreement is based on the Civil Code of the People's Republic of China (hereinafter referred to as "the Civil Code")
Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as "the Fund Law"), Operation Management Office of Publicly Offered Securities Investment Funds
Law of the People's Republic of China (hereinafter referred to as "Operation Measures"), Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds (
Hereinafter referred to as "Information Disclosure Measures"), "Provisions on the Management of Liquidity Risk of Publicly Offered Open ended Securities Investment Funds"
(hereinafter referred to as "Liquidity Risk Management Regulations") and other relevant laws and regulations and Dacheng Zhuoyuan Vision Hybrid
The Securities Investment Fund Contract (hereinafter referred to as the "Fund Contract") is concluded.
（2） Purpose
The purpose of entering into this agreement is to define the fund custodian of Dacheng Zhuoyuan hybrid securities investment fund and Dacheng Zhuoyuan
Custody, investment operation, net value calculation and income distribution of fund assets among fund managers of wild hybrid securities investment funds
Rights, obligations and responsibilities in matters related to allocation, information disclosure and mutual supervision to ensure the safety and protection of fund assets
The legitimate rights and interests of fund unit holders.
（3） Principles
The Fund Manager and the Fund Custodian sign this Agreement on the principle of equality, voluntariness, honesty and credibility through consensus.
（4） Interpretation
Unless the context otherwise requires, all terms in this Agreement have the same meaning as those in the Fund Agreement.
3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian shall supervise the following investment operations of the Fund Manager in accordance with relevant laws and regulations:
1. Supervise the investment scope and objects of the Fund. The Fund Manager shall transfer the shares and depositary receipts to be invested
The securities vault shall be provided to the fund custodian. The fund manager may, according to the changes of the actual situation, determine the specific scope of each investment variety
It shall be updated and adjusted, and the Fund Custodian shall be notified in a timely manner. The Fund Custodian's investment in the Fund according to the above investment scope
Supervise.
The investment scope of the Fund is mainly financial instruments with good liquidity, including stocks legally issued and listed in China
(including the main board, GEM and other stocks that the CSRC allows funds to invest in), depositary receipts, mainland and Hong Kong stocks
Stock listed on the Stock Exchange of Hong Kong within the scope of investment allowed under the interconnection mechanism of ticket market transactions (hereinafter referred to as
"Hong Kong stocks"), bonds (including government bonds, central bank bills, financial bonds, corporate bonds, corporate bonds
Medium term notes, short-term financing bonds, ultra short-term financing bonds, publicly issued subordinated bonds, government supported institutional bonds, government expenditures
Holding bonds, local government bonds, convertible bonds, exchangeable bonds and other bonds permitted by the CSRC)
Asset backed securities, bond repurchase, inter-bank deposit receipts, bank deposits (including negotiated deposits, time deposits, etc.), money market
Market instruments, stock index futures, treasury bond futures, and other financial instruments allowed by laws and regulations or the CSRC for fund investment,
However, it must comply with the relevant provisions of the CSRC. The Fund may participate in financing business.
If laws and regulations or regulatory authorities allow the Fund to invest in other varieties in the future, the Fund Manager, after performing appropriate procedures,
It can be included in the scope of investment.
The proportion of the Fund's investment portfolio: the proportion of the Fund's investment in stocks and depositary receipts is 60% - 95% of the Fund's assets
(The proportion of stock investment of Hong Kong Stock Standard shall not exceed 50% of the stock assets of the Fund); The fund is withholding at the end of each trading day
Except for the trading margin required to be paid for stock index futures contracts and treasury bond futures contracts, it shall be kept at least 5% of the net asset value of the fund
Cash or government bonds with a maturity of less than one year, of which cash does not include settlement provisions, deposits
Collection and application of purchase money; The investment proportion of stock index futures and treasury bond futures shall comply with relevant national laws and regulations.
If laws and regulations or regulators change the investment proportion limit of investment varieties, the Fund Manager, after performing appropriate procedures,
The investment proportion of the above investment varieties can be adjusted.
2. Supervise the proportion of fund investment and financing;
(1) The proportion of the Fund's investment in stocks and depositary receipts is 60% - 95% of the Fund's assets
The investment proportion shall not exceed 50% of the Fund's stock assets);
(2) At the end of each trading day, the Fund deducts the trading deposits required to be paid for stock index futures contracts and treasury bond futures contracts
After that, it shall maintain no less than 5% of the net asset value of the fund in cash or government bonds with a maturity date of less than one year
The fund does not include the settlement reserve, the deposit, the subscription receivable, etc;
(3) The Fund holds securities issued by a company (A+H shares of the same company listed in both the Mainland 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 and managed by the Fund Custodian hold securities issued by a company
(The total number of A+H shares of the same company listed in the mainland and Hong Kong), not more than 10% of the securities;
(5) All open-ended funds managed by the Fund Manager and managed by the Fund Custodian (including open-ended funds
And open-ended funds in the open period) may not hold more tradable shares issued by a listed company than the listed company
15% of the outstanding shares; All investment portfolios managed by the Fund Manager and managed by the Fund Custodian are held on
The tradable shares issued by a municipal company shall not exceed 30% of the tradable shares of the listed company;
(6) 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 factors other than the fund manager, such as fluctuations in the securities market, stock suspension of listed companies, and changes in fund size, the fund does not
If the proportion limit is met, the Fund Manager shall not actively increase the investment of liquidity restricted assets;
(7) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed the net assets of the Fund
10% of the value;
(8) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
(9) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed that of such asset-backed securities
10% of the securities scale;
(10) All funds managed by the Fund Manager and managed by the Fund Custodian are invested in the same original equity holder
All kinds of asset-backed securities shall not exceed 10% of the total size of all kinds of asset-backed securities;
(11) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB). Fund holdings
During the period of asset-backed securities, if its credit rating declines and no longer meets the investment standards, it shall be issued from the date of rating report
Sell all within 3 months;
(12) Fund assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total assets of the Fund
The number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued;
(13) The fund balance of the Fund entering the national inter-bank market for bond repurchase shall not exceed the net assets of the Fund
40% of the value, the longest term of bond repo entering the national inter-bank market is one year, and after the maturity of bond repo
Extension period;
(14) The Fund, private securities asset management products and other subjects recognized by the CSRC are counterparties to carry out anti trust activities
For repurchase transactions, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the fund contract;
(15) The Fund's participation in stock index futures trading shall comply with the following investment proportion restrictions: at the end of any trading day
The value of some stock index futures contracts purchased shall not exceed 10% of the net asset value of the fund; At the end of any trading day
The sum of the value of bond futures and stock index futures contracts purchased and the market value of securities 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
Resale financial assets (excluding pledge repurchase), etc; The contract price of selling stock index futures held at the end of any trading day
The value shall not exceed 20% of the total market value of the shares held by the Fund; Stock index period for trading (excluding closing positions) on any trading day
The transaction amount of the futures contract shall not exceed 20% of the net asset value of the fund on the previous trading day; Market value and
The total value of the stock index futures contracts purchased and sold (calculated by netting) should be in line with the proportion of stock investment in the fund contract
Relevant regulations, that is, the investment proportion is 60% - 95% of the fund assets;
(16) The Fund's participation in treasury bond futures trading shall comply with the following investment proportion restrictions:
In the end, the value of the treasury bond futures contracts held shall not exceed 15% of the net asset value of the fund; At the end of any trading day,
The value of futures contracts for selling treasury bonds held by the Fund shall not exceed 30% of the total market value of bonds held by the Fund; At the end of any trading day,
The sum of the contract value of treasury bond futures and stock index futures held and the market value of securities shall not exceed the net asset value of the fund
95%, of which, marketable securities refer to stocks, bonds (excluding government bonds with maturity within one year) and asset-backed certificates
Securities, redemptory financial assets for sale (excluding pledge repurchase), etc; The Fund is traded on any trading day (excluding closing positions)
The transaction amount of the treasury bond futures contract shall not exceed 30% of the net asset value of the fund on the previous trading day;
(17) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(18) The proportion limit of the Fund's investment in depositary receipts shall be subject to the shares listed and traded in China, and shall be handed over to the domestic listed companies
Consolidated calculation of shares;
(19) If the Fund participates in financing, it will hold financing stocks and other securities markets at the end of any trading day
The sum of the values shall not exceed 95% of the net asset value of the fund;
(20) Other investment proportion restrictions stipulated by laws and regulations and the CSRC.
Except for items (2), (6), (11) and (14) above, due to fluctuations in the securities/futures market, securities issuer contracts
In addition, the fund investment proportion does not meet the above stipulated investment proportion due to factors other than the fund manager, such as fund size change,
The fund manager shall make adjustment within 10 trading days, except for special circumstances stipulated by the CSRC.
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 of. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract. fund
The Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Contract.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After the procedure, the investment of the Fund will no longer be subject to the relevant restrictions or the adjusted provisions.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, actual controllers or
Securities issued by a company that has a major interest with it or securities underwritten during the underwriting period, or other major issues
Joint trading 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
To avoid conflicts of interest, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable prices in the market. Related transactions
It must be approved by the Fund Custodian in advance and disclosed in accordance with laws and regulations. Major related party transactions shall be submitted to fund management
And approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related transactions.
If laws, administrative regulations or regulatory authorities cancel or adjust the above prohibitive provisions, if applicable to the Fund
The gold investment is no longer subject to the relevant restrictions or the adjusted regulations.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, portfolio restrictions and other agreements in this part are only applicable to the main pocket account.
（2） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Value calculation, calculation of net value of various fund units, receipt of funds receivable, determination of fund expenses and income, and fund income
The fund performance data published in relevant information disclosure and fund promotion materials shall be reviewed.
（3） The Fund Custodian discovers that the Fund Manager has violated the provisions of the preceding paragraph
The Fund Manager shall promptly notify the Fund Manager of the agreement, and the Fund Manager shall check and confirm the agreement in writing after receiving the reminder
The Fund Custodian shall send a reply and make corrections. Within the time limit, the Fund Custodian shall have the right to review the matters prompted at any time. fund
If the Fund Custodian fails to correct the violations prompted by the Manager to the Fund Custodian within the time limit, the Fund Custodian shall promptly report to the CSRC
Will report.
（4） If the Fund Custodian finds that the investment order of the Fund Manager violates the provisions of laws, regulations and this Agreement, it shall be deemed that
If the execution is suspended or refused, timely remind the fund manager and report to the CSRC in accordance with the provisions of laws and regulations
Notice. The Fund Custodian finds that the effective instructions of the Fund Manager in accordance with the trading procedures violate laws, regulations and the provisions of this Agreement
It shall timely remind the fund manager and report to the CSRC in accordance with the provisions of laws and regulations.
（5） The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision and verification, including but not limited to:
Reply to the Fund Custodian and correct within a fixed time, explain or provide evidence on the reasonable doubts of the Fund Custodian, and provide relevant data
According to data and system, etc.
4、 The Fund Manager's business verification of the Fund Custodian
1. During the validity period of this Agreement, the Fund Custodian shall not violate the principles of fairness and reasonableness and shall not be prevented from complying with relevant laws
On the basis of laws, regulations and industry regulatory requirements, the Fund Manager has the right to conduct
Necessary verification, including but not limited to the safe custody of fund assets by the fund custodian and the funds for opening fund assets
Account, securities account and other accounts required for investment, review the net value of fund assets calculated by the fund manager and the net value of various fund units
Value, clearing and settlement, relevant information disclosure and supervision of fund investment operation according to the instructions of the fund manager.
2. The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization, fails to manage the Fund assets in separate accounts, and is not correct
Violation of laws and regulations, such as failure to execute or delay in executing the fund manager's fund transfer instructions, disclosure of fund investment information
In case of relevant provisions in the Fund Contract and this Agreement, the Fund Custodian shall be notified in writing to make corrections within a time limit
After receiving the notice, the custodian shall check it in a timely manner and send a written reply to the fund manager. Within the time limit, the fund manager
Have the right to review the notice at any time and urge the Fund Custodian to make corrections. The Fund Custodian's violation of the Fund Manager's notice
If the prescribed matters cannot be corrected within the time limit, the fund manager shall report to the CSRC in accordance with the provisions of laws and regulations.
3. The Fund Custodian shall actively cooperate with the Fund Manager in its verification activities, including but not limited to: submitting relevant materials for
The Fund Manager shall verify the integrity and authenticity of the assets under custody, reply to the Fund Manager and make corrections within the specified time.
5、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
2. The Fund Custodian shall keep the Fund assets in a safe manner without any legal compliance instructions or laws, regulations
As otherwise stipulated in the Fund Contract and this Agreement, any property of the Fund shall not be used, disposed of or distributed on its own.
3. The Fund Custodian shall, in accordance with the provisions, open capital accounts, securities accounts and other accounts required for investment of the Fund assets.
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody, conduct independent accounting and separate account management to ensure that
The integrity and independence of gold property.
5. In addition to the Fund Law, the Operation Measures, the Fund Contract and other relevant laws and regulations
The fund custodian may not entrust a third person to trust the fund assets.
（2） Capital verification and entry of raised funds before the fund contract takes effect
1. The total amount of fund units raised, the amount of fund raised
If the number of fund unit holders meets the relevant provisions of the Fund Law and the Operation Measures, the fund manager shall
During the period, an accounting firm conforming to the Securities Law of the People's Republic of China shall be engaged to verify the capital of the Fund and issue
The capital verification report issued shall be signed by more than two (including two) Chinese certified public accountants participating in the capital verification
Valid.
2. The Fund Manager shall transfer all the funds belonging to the Fund property into the fund opened for the Fund at the Fund Custodian
In the gold bank account, ensure that the funds transferred in are consistent with the amount confirmed in the capital verification.
（3） Opening and management of the Fund's bank account
1. The Fund Custodian shall be responsible for the opening and management of the Bank Account of the Fund.
2. The Fund Custodian shall open a bank account of the Fund in the name of the Fund. The reserved seal of the Fund's bank shall be
Custodian custody and use. All monetary income and expenditure activities of the Fund, including but not limited to investment, payment of redemption amount
The payment of fund income and the collection of subscription funds shall be conducted through the bank account of the Fund.
3. The opening and use of the Fund's bank account shall be limited to the needs of conducting the Fund's business. Fund Custodian and Fund
The Fund Manager shall not open any other bank account in the name of the Fund; And may not use the bank account of the Fund
Conduct activities other than the Fund's business.
4. The management of the Fund's bank account shall comply with the relevant provisions of laws and regulations.
（4） Opening and management of accounts for fixed deposit investment of the Fund
The Fund Manager shall open a deposit account in the name of the Fund at the designated business outlet of a deposit bank recognized by the Fund Custodian,
The Fund Custodian shall be responsible for the custody and use of the bank reserved seal of the account. Opening of the above account and change of account related information
In the process, the Fund Manager shall provide the Fund Custodian with relevant information required for opening an account or changing an account in advance.
（5） Opening and management of fund securities accounts, settlement reserve accounts and other investment accounts
1. The Fund Custodian shall, on behalf of the Fund, register and settle in Chinese securities in the joint name of the Fund Custodian and the Fund
A limited liability company shall open a securities account.
2. The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Fund Custodian and Fund
The Fund Manager shall not lend or transfer the securities account of the Fund, nor use the securities account of the Fund to conduct the fund industry
Non business activities.
3. The fund custodian shall open a settlement reserve account in the name of its own legal person with China Securities Depository and Clearing Co., Ltd,
It is used to handle the securities investment of all funds under the custody of the Fund Custodian, including the Fund, in the stock exchange
And fund settlement business. The collection of settlement provisions shall be subject to the provisions of China Securities Depository and Clearing Corporation Limited.
4. After the effective date of this Custodian Agreement, if the Fund is allowed to engage in the investment business of other investment varieties, it involves
If there are no relevant regulations on the opening and use of accounts, the Fund Custodian shall refer to and comply with the above regulations on account opening
Provisions for use.
5. Other accounts opened for business development may be registered in the
The Fund Manager and the Fund Custodian shall open the Fund after consultation. The new account shall be used and managed according to relevant rules.
6. If there are other provisions on the opening and management of relevant accounts in laws and regulations, such provisions shall prevail.
（6） Opening and management of special bond custody account
After the Fund Contract comes into force, the Fund Manager shall be responsible for applying in the name of the Fund and obtaining access to national inter-bank lending
Trading qualification of the market and trading on behalf of the Fund; The fund manager shall be responsible for reporting to the People's Bank of China
After the completion of the procedures, the fund custodian shall be responsible for the registration and clearing of the central government bonds in the name of the fund
The inter-bank market clearing house Co., Ltd. opens an inter-bank bond market bond custody account and conducts inter-bank transactions on behalf of the fund
Clearing of bonds and funds in the bond market.
（7） Custody of relevant valuable certificates of fund property investment
The Fund Custodian shall be responsible for the safekeeping of such valuable certificates as physical securities invested by the Fund assets and certificates of deposit of fixed bank deposits.
The Fund Custodian shall not be liable for the valuable certificates actually and effectively controlled by institutions other than the Fund Custodian.
（8） Custody of major contracts and relevant vouchers related to fund assets
The Fund Custodian shall, in accordance with laws and regulations, keep the major contracts signed by the Fund Manager on behalf of the Fund and
Relevant vouchers. The Fund Manager, after signing relevant major contracts on behalf of the Fund, shall submit one original within 30 days after receiving the original contract
The original of this is submitted to the Fund Custodian. Unless otherwise specified in this Agreement, the Fund Manager, on behalf of the Fund
In case of any major contract, it shall be ensured that one party of the fund holds more than two originals as far as possible, so that the fund manager and the fund can be entrusted
Each person shall hold at least one original. The Fund Manager and the Fund Custodian shall, in accordance with regulations
It shall be kept for at least 20 years, unless otherwise stipulated by laws and regulations or required by competent authorities.
If more than two originals cannot be obtained, the Fund Manager shall provide the Fund Custodian with a copy of the contract and
The copy shall be stamped with the official seal, and the original contract shall not be transferred without mutual consultation or within the scope of the contract.
6、 Sending, confirmation and execution of instructions
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 (using the electronic instructions sent by the SZSE financial data exchange platform
Instructions, electronic instructions sent via SWIFT electronic message, electronic instructions sent via BOC custody online banking)
Automatically generated electronic instructions (the Global Custody System of the Fund Custodian is authorized by the Fund Manager to
Electronic instructions automatically generated by business rules). Once the electronic order is sent, it will be deemed as a legal and effective order, and the faxed paper order refers to
Order is used as an emergency mode. Electronic instructions sent by the fund manager through the SZSE financial data exchange platform
The custodian shall uniquely identify the identity of the fund manager according to the USER ID and APP ID, and the fund manager shall properly keep the USER ID
And APP ID, the Fund Custodian will not be liable for any loss caused by the implementation of the electronic order after the Fund Custodian's identification
Responsibility.
（1） Written authorization of the Fund Manager to the personnel who send paper instructions
1. The Fund Manager shall send a written notice (hereinafter referred to as "the authorization notice") to the Fund Custodian in advance, which shall set out the basis
The list of persons who are authorized to send instructions by the Financial Manager (hereinafter referred to as "instruction sender") and the scope of authority of each person.
The Fund Manager shall provide the Fund Custodian with the reserved specimen of the seal and signature of the person sending the order.
2. The notice of authorization sent by the Fund Manager to the Fund Custodian shall be stamped with the official seal and signed by the legal representative or his authorized signature
If it is signed by an authorized signatory, the power of attorney of the legal representative shall also be attached. The Fund Manager reports to the Fund Custodian
After sending the authorization notice by fax, the Fund Custodian shall be notified by telephone at the same time. The authorization notice is confirmed by the fund custodian through telephone
It shall take effect from the effective time specified in the notice. The effective time specified in the notice shall not be earlier than the time of telephone confirmation. fund management
I will send the original of the authorization notice to the Fund Custodian within three working days thereafter.
3. The Fund Manager and the Fund Custodian are obliged to keep confidential the authorization notice and its changes, and their contents shall not be sent to the order
Disclosure and disclosure by anyone other than the sending personnel and relevant operators, except as required by laws and regulations or required by competent authorities.
（2） Content of instructions
The instruction is a fund transfer and investment instruction issued by the fund manager to the fund custodian when operating the fund property. mutually
The settlement notice sent by the relevant registration and clearing company to the fund custodian shall be deemed as the instruction sent by the fund manager to the fund custodian.
（3） Sending, confirmation and execution of instructions
1. The instruction sender determined by the "Authorization Notice" shall use fax or other methods on behalf of the fund manager
The confirmation shall be sent to the Fund Custodian. The fund manager shall not deny the effectiveness of the instructions issued by the instruction sender
power. However, if the Fund Manager has revoked or changed the authorization of the person who sent the order, and the Fund Custodian has received the
Notice, the fund manager will not
assumed liabilities.
2. The Fund Manager shall comply with the Fund Law, the Operation Measures, the Fund Contract and relevant laws and regulations
And send instructions according to relevant business rules within its legal business authority and transaction authority. After the command is issued, the base
The Fund Manager shall promptly notify the Fund Custodian by telephone.
3. When receiving an order, the Fund Custodian shall check whether the elements of the order are complete and whether the seal is consistent with the authorization notice
Check the apparent consistency. The Fund Custodian shall execute the legal and compliant instructions within the specified time limit and have to comply
Manage delays. In case of any doubt, timely notify the Fund Manager.
4. The fund manager shall sign the inter-bank market bond transaction form and add
Fax to the Fund Custodian in a timely manner after sealing the reserved seal.
5. When sending instructions, the Fund Manager shall reserve the time necessary for the Fund Custodian to execute the instructions.
The instruction of the Fund Manager is not executed in time due to the untimely transmission of the instruction and the failure to reserve sufficient execution time
The loss shall be borne by the fund manager.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
The situations where the fund manager sends wrong instructions mainly include: wrong instruction elements, instructions without investment behavior, and reservation
Wrong seal, etc.
The Fund Custodian has the right to refuse to execute the instructions of the Fund Manager when it finds that the instructions of the Fund Manager are wrong, and timely notify the Fund Manager to change
Yes. The instructions corrected and re sent to the Fund Manager can only be executed after being checked and confirmed by the Fund Custodian.
（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 of the Fund Manager violate the provisions of laws and regulations or the Fund Contract and the Custodian Agreement
The agreement shall not be implemented, and the Fund Manager shall be notified in a timely manner to request it to change or revoke relevant instructions. If the Fund Manager
If the relevant order has not been changed or revoked after the Fund Custodian has sent the above notice, the Fund Custodian shall refuse to execute it and report to
Report of China Securities Regulatory Commission.
When giving instructions to the Fund Custodian, the Fund Manager shall ensure that the bank deposit account of the Fund has sufficient fund balance,
Ensure that the fund's securities account has sufficient securities balance. Orders for excess positions and those exceeding the securities balance in the securities account
The Fund Custodian may refuse to execute the order, but shall notify the Fund Manager in a timely manner
People bear.
（6） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
The Fund Custodian's failure to correctly implement the lawful and compliant instructions of the Fund Manager has damaged the interests of the Fund,
The Fund Custodian shall, upon discovery, take timely measures to remedy the situation and bear corresponding responsibilities. In addition, fund custody
I will not bear any responsibility for the losses caused to the Fund by the implementation of the legal compliance instructions of the Fund Manager.
（7） Change of authorized personnel and authorized authority
If the Fund Manager modifies the content of the authorization notice (including but not limited to the modification of the list of the personnel who send the instructions),
And/or amendment of authority), the Fund Custodian shall be notified at least one working day in advance; The document amending the authorization notice shall be
The fund manager shall affix its official seal and be signed by the legal representative or its authorized signatory. If it is signed by the authorized signatory, it shall also attach
Power of attorney of the legal representative. The Fund Manager's amendment to the authorization notice shall be sent to the Fund Custodian by fax
And notify the fund custodian by telephone at the same time. The Fund Manager's amendment to the authorization notice shall be confirmed by the Fund Custodian through telephone
After recognition, it shall come into force at the effective time specified in the notice. The effective time specified in the notice shall not be earlier than the time of telephone confirmation. Fund management
The Manager shall send the original of the document amending the notice of authorization to the Fund Custodian within three working days thereafter.
7、 Transaction, clearing and settlement arrangements
（1） The Fund Manager shall be responsible for selecting the securities and futures operating institutions that act as agents for the trading of the Fund's securities and futures.
1. Criteria for selecting securities and futures operating institutions that act as agents for securities trading:
(1) Strong funds and good reputation.
(2) Financial condition is good, business conduct is standard, and relevant management authorities have not been affected by major violations in the past year
Penalties.
(3) The internal management is standardized and strict, with a sound internal control system, and can meet the requirements of highly confidential operation of the Fund
Ask.
(4) Have efficient and safe communication conditions required for fund operation, and the trading facilities meet the requirements of acting as an agent for fund securities trading
And can provide comprehensive information services for the Fund.
(5) Strong research strength, with fixed research institutions and specialized researchers, which can be timely, regularly and comprehensively based
Jin provides research reports and thoughtful information services on macro-economy, industry situation, market trend and stock analysis, and can
Provide special research reports according to the specific requirements of fund investment.
2. Procedures for selection of securities and futures operating institutions for securities and futures trading
The Fund Manager shall determine the selection of securities operating institutions after investigation according to the above standards. Fund Manager and Selected
The securities operating institution of the Company shall sign an entrustment agreement and report to the CSRC in accordance with the provisions of laws and regulations. The Fund Manager shall
The original of the entrustment agreement (or transaction unit rental agreement) shall be delivered to the fund custodian in a timely manner.
The Fund Manager is responsible for selecting the futures operating 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 for the selection of sales and securities operating institutions shall be implemented.
3. Notice of relevant information
The Fund Manager shall promptly notify the Fund Custodian in writing of the number of the Fund Special Trading Unit, the name of the securities firm
Commission rate and other fund basic information and changes, of which the rental of trading units should be at least 10
The Fund Custodian shall be notified before working days, and the withdrawal of the trading unit shall be notified to the Fund Custodian within the next day.
（2） Fund settlement
1. The Fund Custodian shall be responsible for the clearing and settlement of all over-the-counter and over-the-counter transactions arising from the Fund's investment in securities
It shall be handled according to the settlement rules of the relevant registration and clearing company.
2. In case of fund fund overdraft, overbought or oversold due to the fund manager or fund custodian, the responsibility shall be borne by
Either party shall bear corresponding responsibilities. The Fund Manager agrees that in the event of the above circumstances, the Fund Custodian shall register
The fund manager shall be notified in a timely manner.
3. If the Fund fails to pay the liquidation amount on time due to the Fund Manager or the Fund Custodian, the responsible party shall
It shall bear the corresponding compensation liability for the losses caused to the fund property.
4. The Fund Manager shall ensure that the fund bank account has sufficient funds for payment before 10:00 on the settlement date (T+1 day)
Clearing of securities trading funds of the Exchange. If the fund's capital position is insufficient, the fund custodian shall register and settle in accordance with Chinese securities
Relevant regulations of limited liability company.
5. The Fund Manager shall ensure that when the Fund Custodian executes the transfer instructions sent by the Fund Manager
Or there is sufficient funds in the capital settlement account. When the fund's capital position is insufficient, the fund custodian has the right to refuse fund management
The fund manager shall be responsible for compensating the losses caused by the transfer instructions sent by the fund manager. The fund manager sends the transfer reference
When making an order, full consideration shall be given to the fund custodian's transfer processing time. For the order requiring the receipt of the account on the same day, it should be at 15:00 on the same day
Forward transmission; If it is required to arrive at the account at a certain time of the day, the instructions should be sent 2 working hours in advance, and the relevant payment terms
Already has. For the offline public offering business of subscription of new shares, the fund manager shall, before the offline subscription payment date (T day)
1. Send the new share subscription instruction to the custodian before the end of the working day, and the instruction shall be sent no later than 10:00 a.m. on the T day at the latest
00 hours.
For the business of China Securities Depository and Clearing Corporation Limited implementing T+0 non guaranteed settlement, the fund manager shall
Send the transfer instruction to the custodian before 14:00 on the trading day.
The funds were not transferred to China Securities Depository and Clearing Corporation Limited in time due to the untimely transmission of the fund manager's instructions
The losses caused by the Company shall be borne by the fund manager, including compensation for other custody clients' transaction failure and compensation in Shenzhen market
To compensate for the interest losses caused by the occupation of the minimum reserves of China Securities Depository and Clearing Corporation Limited Shenzhen Branch. In the Fund
If the fund position is sufficient, the Fund Custodian shall comply with laws and regulations, the Fund Contract and this Agreement with the Fund Manager
The execution of the order of.
In case of new investment scope or investment variety of the Fund, the Fund Manager and the Fund Custodian shall negotiate in a manner acceptable to both parties
Operational process.
（3） Reconciliation of funds, securities, futures accounts and transaction records
The Fund Manager and the Fund Custodian shall check the funds, securities, futures accounts and transaction records of the Fund.
（4） Capital clearing of subscription, redemption and fund conversion
1. On T day, investors apply for fund subscription, redemption and conversion, and the fund manager and the fund custodian calculate them separately
The net asset value of the fund and check it; Funds that the Fund Manager has sealed and confirmed by both parties or decided to adopt by the Fund Manager
The net value of units shall be faxed to the relevant information disclosure media in the form of announcement of net value of fund units.
2. On the T+1 day, the registration institution calculates the subscription units, redemption amount and conversion units according to the net value of fund units on the T day
Database of new fund share holders; And submit the confirmed subscription, redemption and conversion data to the Fund Custodian and the Fund Manager
delivery. The Fund Manager and the Fund Custodian shall conduct accounting treatment according to the confirmed data.
3. The fund custody account and the "fund clearing account" shall be cleared on T+2 days (if the clearing time of subscription and redemption is different,
Can be specified).
4. The capital clearing between the fund custody account and the "fund clearing account" follows the original principle of "net clearing, net settlement"
Then, that is, according to the amount receivable (including subscription fund and fund conversion transfer in) and the amount payable in the custody account on the current day
(including redemption fund, redemption fee, fund conversion transfer out and conversion fee)
The payable amount is used to determine the capital delivery amount. When there is a net receivable amount in the custody account, the fund manager is responsible for
The net receivables shall be transferred from the "fund clearing account" to the fund custody account before 16:00 on T+[2] day; When there is a custody account net
When the amount is payable, the Fund Custodian shall transfer the net amount payable of the escrow account before 16:00 on T+[2] to
"Fund clearing account".
5. If the Fund Manager fails to remit the net receivables of the escrow account in full and in time to the fund escrow account as agreed in the preceding paragraph
The fund manager shall bear the responsibility arising from this (except for force majeure or no fault of the fund manager); Fund Custody
The person fails to remit the net payable amount of the escrow account in full and in time to the "fund clearing account" as agreed in the preceding paragraph, and the resulting liability
Any responsibility shall be borne by the Fund Custodian (except for force majeure or no fault of the Fund Custodian).
6. The Fund Manager shall transmit the data of subscription, redemption and conversion of open-ended funds on each open day to the Fund Custody
People. The Fund Manager shall be responsible for the authenticity of the data transmitted for subscription, redemption and conversion of open-ended funds. Fund Custodian
It shall timely check the receipt of subscription funds and timely transfer the redemption funds according to the instructions of the fund manager.
（5） Hong Kong Stock Connect Trading
The Hong Kong Stock Connect transactions of the Fund shall comply with relevant laws, regulations and business rules, and the total share investment proportion shall comply with the law
Laws, regulations and fund contract, and fully disclose the risks.
1. Statement and commitment of the Fund Manager
(1) The Fund Manager promises that it is a legal entity established and validly existing in accordance with the laws of the mainland of China, and has the ability to engage in Hong Kong
Qualifications for stock trading business;
(2) The Fund Manager promises that the assets under custody have the legal trading qualification of Hong Kong Stock Connect, and there are no relevant laws and administrative laws
Prohibitions, restrictions or inappropriateness to participate in Hong Kong Stock Connect trading stipulated in regulations, departmental rules, normative documents and business rules
situation;
(3) The Fund Manager guarantees that all certificates and materials provided by it are true, accurate, complete, legal and effective, and
The source of funds used for the Hong Kong Stock Connect transaction is legal, and we guarantee to comply with the relevant provisions of the state on anti money laundering;
(4) The Fund Manager promises to abide by the laws, administrative regulations and departmental rules of the Mainland and Hong Kong regions of China on the Hong Kong Stock Connect transaction
Chapter, normative documents, business rules and other relevant provisions, and promises to handle business in accordance with the relevant business processes of the Fund Custodian;
The Fund Manager shall accurately understand the business rules of Hong Kong Stock Connect transactions, including but not limited to settlement rules, investment quota, and exchange security
Due to the Fund Manager's wrong understanding of the Hong Kong Stock Connect business rules
The Fund Manager shall bear all compensation for the settlement failure and other acts that damage the legitimate rights and interests of the Fund Unitholders
The Fund Custodian shall not bear any liability for compensation;
(5) The Fund Manager undertakes to agree that China Securities Depository and Clearing Corporation Limited (hereinafter referred to as "CSDCC")
Holding securities obtained through Hong Kong Stock Connect in its own name; The fund manager has clearly understood and is willing to undertake
The relevant risks of Hong Kong Stock Connect transactions, especially the exemption clauses of the Fund Custodian.
2. Account opening
Before participating in the Hong Kong Stock Connect transaction, the Fund Manager shall first entrust the Fund Custodian in accordance with laws, regulations and relevant business rules
Open RMB common stock (A-share) securities account and capital account for clearing and settlement in China
Collect, calculate and pay interest, etc. If the fund manager has opened a RMB common stock (A-share) securities account and a capital account,
The above existing account can be used for Hong Kong Stock Connect transactions.
The securities purchased by the fund manager through Hong Kong Stock Connect are recorded in China Clearing and Clearing Corporation Limited (hereinafter referred to as HKSCC)
It is called "Hong Kong Clearing") and is deposited by China Clearing. Held by the fund manager in the name of China Clearing
And listed on the Stock Exchange of Hong Kong Limited in the name of Hong Kong Central Clearing (Agent) Co., Ltd
The register of shareholders of the Company. The Fund Manager shall not require the deposit or withdrawal of paper stocks, unless otherwise specified by the CSRC.
3. Hong Kong Stock Connect transaction and settlement arrangements
CSDCC shall, in accordance with the business rules of Hong Kong Clearing, complete the settlement of securities and funds traded in Hong Kong Stock Connect with Hong Kong Clearing.
The domestic settlement of Hong Kong Stock Connect transactions shall be completed by the Fund Custodian and China Settlement in accordance with the relevant business rules.
If Hong Kong Clearing implements cash settlement for China Clearing due to failure to deliver securities, China Clearing shall refer to Hong Kong Clearing for treatment
Carry out corresponding business processing in principle. Hong Kong Clearing failed to fully perform due to default or bankruptcy and other reasons
For the settlement obligation of China Settlement, China Settlement shall assist the domestic settlement participants in recourse against Hong Kong Settlement, and China Settlement and
The gold custodian shall not bear the relevant losses arising therefrom.
The collection and payment time points of various businesses of the Hong Kong Stock Connect transaction shall be as follows:
The fund manager shall ensure that the fund account has sufficient funds for the clearing of securities trading funds. If the fund position is insufficient
The Fund Custodian shall handle in accordance with the relevant provisions of China Clearing.
(1) Transaction funds
If the clearing result of the Hong Kong Stock Connect transaction on T day is net payable of the assets under custody, the Fund Manager shall ensure that on T+1 day
14: There is enough capital in the fund account before 00, and the fund custodian will deduct the payable capital from the fund account at 14:00 on T+1
Gold. If the clearing result of the Hong Kong Stock Connect transaction on T day is the net receivable of the assets under custody, the fund custodian shall, after receiving the Chinese settlement expenses
The funds paid shall be returned to the fund account before 12:00 a.m. on T+3.
(2) Risk control funds, cash dividends, company acquisition funds, securities portfolio fees
If the above funds are net payables of the assets under custody on T day, the fund manager shall guarantee that the funds will be paid before 9:30 a.m. on T+1 day
The account has sufficient funds, and the fund custodian will deduct the payable funds from the fund account at 9:30 a.m. on T+1. For T
If the above funds are net receivables of the assets under custody on the date of
17: Return the receivable funds to the fund account before 00.
The Fund Custodian shall be responsible for the calculation of risk control funds such as balance payments and deposits. The Fund Manager shall
The calculation results shall be deposited into the risk control fund in the fund account at the time agreed in the previous paragraph. If the Fund Manager calculates the Fund Custodian
If there is any objection to the result, it can be solved through communication and negotiation with the Fund Custodian after the payment is completed.
If the settlement in Hong Kong is delayed due to bad weather and other reasons, if the assets under custody are net payable, the fund management
The Fund Custodian and the Fund Custodian shall still make deduction at the time agreed above; If the entrusted assets are net receivables, the delivery time is deemed to be medium
The payment made by CSDCC to the Fund Custodian shall be determined. The Fund Manager shall properly manage the fund position to avoid delay in settlement
The overdraft caused by.
For funds that have been transferred out of the fund account or have not been transferred in due to the fund custodian's fund delivery time and other reasons
Fund account: if the fund is detained in the reserve account of the fund custodian, the fund custodian shall
Interest is paid to the assets under custody.
In case of overdraft, overbought or oversold of the assets under custody due to the Fund Manager or the Fund Custodian
The responsible party shall bear corresponding responsibilities. The Fund Manager agrees that in the event of the above circumstances, the Fund Custodian has the right to settle
The relevant provisions of accounting shall be handled.
If the Fund Custodian defaults on China's settlement due to the Fund Manager's breach of capital delivery, the Fund Custodian
Have the right to designate the securities receivable of the fund manager equal to the amount of default as the securities not to be delivered temporarily and to be settled by China according to its industry
The fund manager shall be fully responsible for the risks, losses and liabilities arising therefrom.
The Fund Manager shall ensure that there are enough securities in the securities account for clearing securities transactions before the trading day (T day) of the Hong Kong Stock Connect
If the Fund Manager defaults on securities delivery, the Fund Custodian has the right to transfer the amount of capital equivalent to the amount of securities delivery default
The funds will not be transferred to the fund manager temporarily.
The fund manager knows and recognizes that for the reason of reducing the cost of capital in the whole market, China settlement can be settled in accordance with Hong Kong settlement
Calculate the relevant business rules, and submit the daily net sales of securities to Hong Kong Clearing as collateral for settlement.
4. Corporate Action
(1) Service type
The types of services provided by the Fund Custodian in connection with the Company's actions are limited to those that can be provided by the China Clearing House,
Both parties agree that if China Clearing increases or decreases the corresponding service categories, the fund custodian's corporate action service categories and
The synchronous increase or decrease of the contract does not need to modify this agreement.
(2) Scope of Services
The services provided by the Fund Custodian in connection with the Company's actions are limited to the following items:
A. According to the clearing details (hk_jsmx) database of Hong Kong Stock Connect of China Securities Clearing Shanghai Branch (hereinafter referred to as "Shanghai Zhongdeng")
And the settlement rules formulated by Shanghai Zhongdeng to receive funds from Shanghai Zhongdeng or pay funds related to the action of Shanghai Zhongdeng,
And debit or credit the fund account opened in the fund custodian according to the receiving and payment results.
B. According to the results (szhk_sjsjg) database of Hong Kong Stock Connect of Shenzhen Branch of China Securities Depository and Clearing Corporation Limited (hereinafter referred to as "Shenzhen Zhongdeng")
And the settlement rules formulated by Shenzhen Zhongdeng to receive or pay funds related to the company's actions from Shenzhen Zhongdeng,
And debit or credit the fund account opened in the fund custodian according to the receiving and payment results.
C. Companies that open securities accounts in Shanghai Zhongdeng according to the changes in securities of Shanghai Zhongdeng Hong Kong Stock Connect (hk_zqbd) database
Changes in action related securities.
D. According to the results of Shenzhen Zhongdeng Hong Kong Stock Connect (szhk_sjsjg) database, record the companies that open securities accounts in Shenzhen Zhongdeng
Changes in action related securities.
E. For cash dividends, voting, company acquisition, etc. with options that need to be provided by the fund manager in the securities issuer
The Fund Manager shall send the declaration data to the Fund Custodian
The custodian is responsible for completing the declaration through the real-time interface of action declaration of Hong Kong Stock Connect. Corporate action services provided by the Fund Custodian
The following items are excluded:
A. Provide the Fund Manager with the Company's action announcement and detailed information related to the Company's actions.
B. Review the contents of the declaration data sent by the fund manager.
C. Tax treatment.
5. Exchange rate
The valuation of foreign currency securities held by Hong Kong Stock Connect involves Hong Kong dollars, US dollars, British pounds, euros, Japanese yen and other major currencies
The exchange rate against RMB shall be subject to the provisions of the fund contract. If there is no explicit agreement in the fund contract, the valuation date shall be
The central parity rate of RMB against foreign currency published by the People's Bank of China or its authorized institution shall prevail.
8、 Calculation and accounting of fund net asset value
（1） Calculation and review of fund net asset value
1. The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund. Net value of various fund units refers to
The net asset value of various funds on the calculation date divided by the total number of such funds on the calculation date.
2. The Fund Manager shall value the Fund assets on each valuation date, but the Fund Manager shall, in accordance with laws and regulations or the Fund Agreement
Except when the valuation is suspended according to the provisions of the same regulations. The valuation principle should comply with the Fund Contract and the Securities Investment Fund Accounting Industry
Financial Guidelines, Accounting Standards for Business Enterprises and other laws and regulations. Net value of fund assets and net value of various fund units
The Fund Manager shall be responsible for calculation and the Fund Custodian shall be responsible for review. The Fund Manager shall close the transaction on each open day
The net value of fund assets and the net value of various fund units on the current day will be calculated according to the fund category and sent to
Fund Custodian. The Fund Custodian shall review and confirm the net value calculation result and send it to the Fund Manager in a manner agreed by both parties,
The Fund Manager shall publish the net value of the Fund. The valuation review at the end of the month, the middle of the year and the end of the year is the same as the reconciliation of the fund accounting accounts
When.
3. When the valuation method specified in relevant laws and regulations or the Fund Contract cannot objectively reflect the fair value of the fund property,
The Fund Manager may, according to the specific circumstances and after consultation with the Fund Custodian, value at the price that best reflects the fair value,
The errors caused shall not be treated as errors in fund asset valuation.
4. The Fund Manager and the Fund Custodian find that the fund valuation violates the valuation methods and procedures specified in the Fund Contract
And relevant laws and regulations or fails to fully protect the interests of fund share holders, both parties shall negotiate and
Correction.
5. In case of valuation error within four decimal places (including the fourth decimal place) of the net value of any type of fund unit, it shall be deemed as such type of fund
The net value of gold shares is wrong. In case of any error in the calculation of the net value of fund units, the Fund Manager shall immediately correct it and notify the Fund Manager
And take reasonable measures to prevent further expansion of losses; The net value of fund units of various fund units is calculated incorrectly
When the error reaches 0.25% of the net value of such fund units, the Fund Manager shall notify the Fund Custodian and report to the CSRC
Will be filed; When the error deviation reaches 0.5% of the net value of such fund units, the fund manager shall make an announcement and report to the CSRC
It will be filed. If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions.
6. The holding of fund assets or fund units due to the error of any fund net value data published by the fund manager
The Fund Manager shall be liable for the actual loss of the Fund Manager. If the net value calculated by the fund custodian is correct, the fund
The custodian is not liable for the loss; If the net value of the Fund announced by the Fund Manager is reviewed and approved by the Fund Custodian,
Then the Fund Custodian shall bear the responsibility for failing to correctly perform the review obligation, and the Fund Custodian shall not bear the responsibility for the Fund Manager's failure to accept the Fund
The responsibilities arising from the information disclosure of the review opinions of the financial custodian. If the above errors result in fund assets or fund shares
If the holder's unjust enrichment and the Fund Manager and the Fund Custodian have respectively undertaken the liability for compensation, the Fund Manager shall
Be responsible for claiming the return of unjust enrichment to the subject of unjust enrichment. If the returned amount is insufficient to make up for the fund manager and fund trust
For the amount of compensation already borne by the administrator, both parties shall distribute the returned amount according to the proportion of their respective compensation amount.
7. Due to data errors or force majeure sent by securities/futures exchanges and their registration and clearing companies,
Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they have failed to find
In case of such error, the Fund Manager and the Fund Custodian shall be exempted from compensation liability for the resulting error in the valuation of the Fund assets, but
The Fund Manager and the Fund Custodian shall actively take necessary measures to mitigate or eliminate the impact caused thereby.
8. If there is a discrepancy between the review result of the Fund Custodian and the calculation result of the Fund Manager, and both parties fail to negotiate
Upon reaching an agreement, the Fund Manager may publish the results of its calculation of the net value of the Fund units to the public, and the Fund Custodian
Relevant information can be reported to the CSRC for filing.
（2） Fund accounting
1. Establishment of fund account book
After the Fund Agreement comes into force, the Fund Manager and the Fund Custodian shall follow the same accounting method and
The principle of accounting treatment is to independently set up, register and keep the full set of account books of the fund, and regularly review the respective account books of both parties
Check and supervise each other to ensure the safety of fund assets. If both parties disagree on the accounting treatment method
The handling method of the manager shall prevail.
2. Reconciliation of accounting data and financial indicators
The Fund Manager and the Fund Custodian shall regularly check the accounting data and financial indicators. If any discrepancy is found,
Both parties shall promptly find out the causes and correct them.
3. Preparation and review of the Fund's financial statements and periodic reports
The financial statements of the Fund shall be independently prepared by the Fund Manager and the Fund Custodian on a monthly basis. The monthly report shall be prepared on
It shall be completed within 5 working days after the end of each month. If the Prospectus is significantly changed after the Fund Contract takes effect, the Fund
The Manager shall, within three working days, update the Prospectus of the Fund and publish it on the prescribed website; Fund Prospectus
If other information changes, the Fund Manager shall update it at least once a year. The Fund Manager shall start from the end of the quarter
Within 15 working days, prepare the quarterly report of the fund, publish the quarterly report on the specified website, and submit the quarterly report
The notice shall be published in the required newspapers and periodicals. The Fund Manager shall complete the preparation of the Fund Management Plan within two months from the end of the first half of the year
The interim report of Jin will be published on the specified website, and the indicative announcement of the interim report will be published on the specified newspaper.
The Fund Manager shall complete the annual report of the Fund within three months from the end of each year and publish the annual report on
On the specified website, and publish the suggestive announcement of the annual report on the specified newspaper. If the fund contract has taken effect for less than two months,
The fund manager may not prepare the current quarterly report, interim report or annual report.
The Fund Manager shall timely complete the preparation of statements and provide relevant statements to the Fund Custodian for review
Upon receipt, the Fund Manager shall review in a timely manner and notify the Fund Manager of the review results in writing; When the fund manager should keep enough
To facilitate the Fund Custodian to review relevant statements and reports.
When the Fund Custodian finds discrepancies in the statements of both parties during the review process, the Fund Manager and the Fund Custodian shall
Find out the reasons together and make adjustments, which shall be subject to the accounting treatment method agreed by both parties; If both parties cannot reach an agreement
The fund manager's accounting treatment shall prevail. After verification, the Fund Custodian shall add a cover to the report provided by the Fund Manager
The official seal of the competent business department or the review opinion or electronic confirmation affixed with the official seal of the custody business department shall be issued by both parties
Keep one copy. If the Fund Manager and the Fund Custodian fail to reach an agreement on the relevant statements before the date of announcement
To, the Fund Manager has the right to make public announcements according to the statements prepared by it, and the Fund Custodian has the right to report relevant information to the CSRC
It will be filed.
9、 Fund income distribution
（1） Basis for distribution of fund income
1. Fund income distribution refers to the distribution of the profits available for distribution at the end of the fund period to the fund in proportion to the number of fund units held
Distribution by unit holders. The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized profits.
2. The income distribution shall comply with the provisions of the Fund Contract on the principle of income distribution.
（2） Time and procedure of fund income distribution
1. The fund manager shall formulate the fund income distribution plan in accordance with the relevant provisions of the Fund Contract.
2. The Fund Manager shall submit its income distribution plan to the Fund Custodian for review before the income distribution date
The Fund Custodian shall complete the review of the income distribution plan after receiving it, and the Fund Manager shall
Timely announcement; If the Fund Manager and the Fund Custodian cannot reach an agreement on the income distribution plan before the income distribution date,
The Fund Custodian has the obligation to notify the Fund Manager of the income distribution plan and the instructions of relevant information, and submit
The Fund Manager has the right to publicly announce its proposed income distribution plan from the date of delivery, and the Fund Custodian has the obligation to assist
Assisting the fund manager to implement the income distribution plan, but there is evidence to prove that the plan violates laws, regulations and the Fund Contract
except.
3. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash dividends or
The cash dividends are automatically transferred to the corresponding types of fund units for reinvestment; If the investor does not choose, the default income of the Fund
The distribution method is cash dividends.
4. According to the income distribution plan of the Fund Manager and the data on the amount of cash dividends provided by the Fund Custodian
The dividend capital shall be transferred to the account designated by the fund manager on the date of distribution. If the investor chooses to re purchase the fund shares, the fund manager
And the Fund Custodian shall carry out the accounting treatment of dividend reinvestment.
10、 Fund information disclosure
（1） Confidentiality obligations
In addition to disclosure in accordance with the relevant provisions of laws and regulations on fund information disclosure, the Fund Manager and the Fund Custodian
The administrator shall strictly abide by the obligation of confidentiality for the information generated in the operation of the fund and the business information obtained from the other party. Fund manager
Any information about the Fund with the Fund Custodian, except as required by laws and regulations, shall not be disclosed to the public before
Any third party disclosure. 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 court judgment, arbitration award or CSRC and other regulatory authorities
Information disclosure or disclosure made by the order and decision of the organization;
3. Provide information to external professional consultants for professional services such as audit and law, and require professional consultants to abide by confidentiality obligations.
（2） Responsibilities and information disclosure procedures of the Fund Manager and the Fund Custodian in information disclosure
1. The Fund Manager and the Fund Custodian shall bear their respective responsibilities in accordance with relevant laws and regulations and the provisions of the Fund Contract
Information disclosure responsibilities.
2. All documents for information disclosure of the Fund, including periodic reports and interim reports specified in the Fund Contract and this Agreement
The Fund Manager and the Fund Custodian shall, in accordance with relevant laws and regulations, submit the information on the net value of the Fund and other necessary announcement documents
To be published.
3. The financial and accounting report in the annual report of the Fund must be subject to the accounting provisions of the Securities Law of the People's Republic of China
Audit by certified public accountants.
4. The information disclosure of the Fund shall be carried out through the nationwide information disclosure meeting the conditions specified by the CSRC
Newspapers and periodicals (hereinafter referred to as "regulated newspapers and periodicals") and Internet websites (hereinafter referred to as "regulated websites") specified in the Information Disclosure Measures
Website); The Fund Manager and the Fund Custodian may disclose information in other public media as required,
However, other public media shall not disclose information earlier than the specified media, and the content of the same information disclosed on different media shall
When consistent.
5. Storage and future reference of information text
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall, in accordance with the relevant laws and regulations
The information is kept in their respective residences for public reference and reproduction. The Fund Manager and the Fund Custodian shall deposit
Fund share holders shall provide necessary places and other facilities for inquiring about relevant documents.
The Fund Manager and the Fund Custodian shall ensure that the content of the text is completely consistent with the content of the announcement.
6. For suspension or delayed disclosure of fund information due to force majeure and other reasons (such as suspension of disclosure of fund net value letter
The Fund Manager shall report to the CSRC in a timely manner and negotiate with the Fund Custodian to take remedial measures. Irresistible
The Fund Manager and the Fund Custodian shall resume information disclosure in a timely manner after the situation such as force disappears.
（3） Suspension or delay of information disclosure
The Fund Manager and the Fund Custodian may suspend or delay the disclosure of fund information in the following circumstances:
1. Force majeure;
2. The valuation is suspended as agreed in the fund contract;
3. Laws and regulations, fund contract or the situation stipulated by the CSRC.
（4） Fund Custodian Report
The Fund Custodian shall comply with the Fund Law, the Operation Measures, the Information Disclosure Measures and other relevant laws and regulations
Within two months after the end of each first half year and three months after the end of each fiscal year
The custodian report shall be issued in the annual report.
11、 Fund expenses
（1） Management fee of fund manager
The management fee of the Fund is accrued at an annual fee rate of 1.20% of the net asset value of the Fund on the previous day. The management fee is calculated as follows:
H ＝ E × 1.20% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated day by day to the end of each month, and paid monthly
After verification, the fund custodian shall make a one-time payment from the fund property to the fund manager within three working days from the first day of the next month
Manage people. In case of legal holidays, public holidays, etc., the payment date shall be postponed.
（2） Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. 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 to the end of each month day by day, and paid monthly
After verification, the Fund Custodian shall make a one-time withdrawal from the Fund assets within three working days from the first day of the following month. Contingency method
The payment date shall be postponed if the holidays and public holidays are fixed.
（3） Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and the sales service fee for Class C fund units will be used exclusively for the Fund
Sales of Class C fund units and services for fund unit holders.
The sales service fee for Class C fund units shall be accrued at the annual fee rate of 0.60% of the net asset value of Class C fund units on the previous day.
The calculation method is as follows:
H ＝ E × 0.60% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of Class C fund shares on the previous day
The sales service fees for Class C fund units are accrued daily, accumulated day by day to the end of each month, paid monthly, and managed by the fund
After the Fund Custodian and the Fund Custodian have checked the consistency, the Fund Custodian shall withdraw the funds from the Fund assets once within three working days from the first day of the following month
The sexual transfer out shall be collected by the registration authority on behalf, and the registration authority shall pay to the fund sales agency according to the relevant contract after receiving it. Contingency method
The payment date shall be postponed if the holidays and public holidays are fixed.
（4） The management fee of the fund manager, the custody fee of the fund custodian and Class C fund shall be disbursed from the fund property
The fund fees other than the sales service fees of units shall be subject to the provisions of relevant laws and regulations and the Fund Contract
that 's ok.
（5） For violations of laws and regulations, the Fund Contract, this Agreement and other relevant provisions (including fund fees
The fund expenses shall not be disbursed from any fund property.
（6） All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations.
The relevant taxes on the investment of fund assets shall be borne by the fund share holders, and the fund manager or other withholding agents shall
Withholding and remitting according to the provisions of the state on tax collection.
12、 Custody of the Register of Fund Unitholders
The register of fund unit holders shall at least include the names of fund unit holders and the fund units they hold. Fund shares
The register of holders shall be prepared and kept by the fund registration institution in accordance with the instructions of the fund manager, and the fund manager and the fund custodian
The register of fund share holders shall be kept separately, and the fund registration institution shall keep it for at least 20 years, as otherwise provided by laws and regulations, or
Unless otherwise required by the competent authority. If it cannot be properly kept, it shall be liable according to relevant 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
The custodian shall not refuse or delay to provide without reason, and shall guarantee its authenticity, accuracy and integrity. Fund Custodian No
The register of fund unit holders in custody may be used for purposes other than fund custody business, and shall comply with the obligation of confidentiality.
13、 Preservation of Fund related documents and archives
（1） The Fund Manager shall keep records, account books, statements and other relevant materials of the business activities of fund property management,
The Fund Custodian shall keep the records, account books, statements and other relevant materials of the Fund custody business activities for a long period of time
In 20 years, unless otherwise stipulated by laws and regulations or required by competent authorities.
（2） The Fund Manager and the Fund Custodian shall, in accordance with the provisions of Article 10 of this Agreement, execute the following documents and archives
To perform confidentiality obligations.
14、 Replacement of Fund Custodian and Fund Manager
（1） If the duties of the fund manager are terminated, the fund manager shall properly keep the fund management business information and report to the temporary
When the Fund Manager or the new Fund Manager handles the transfer procedures of fund management business, the temporary Fund Manager or the new Fund Manager
The fund manager shall receive it in time. The new fund manager or temporary fund manager shall check the total amount of fund assets with the fund custodian
Value and net value.
（2） Where the duties of a fund custodian are terminated, it shall properly keep the fund assets and the fund custody business information and handle them in a timely manner
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
Collection. The new fund custodian or temporary fund custodian shall check the total value and net value of the fund assets with the fund manager.
（3） For other matters, please refer to the relevant provisions of the Fund Contract.
15、 Prohibited acts
（1） Acts prohibited by the Fund Law.
（2） Investments or activities prohibited by the Fund Law.
（3） Unless otherwise specified in the Fund Manager's instruction or the Fund Contract and this Agreement, the Fund Custodian shall not
The fund assets may be used or disposed of.
（4） The senior managers and other employees of the fund manager and the fund custodian may not take concurrent jobs with each other.
（5） Other behaviors prohibited by laws and regulations, the Fund Contract and this Agreement.
If laws and regulations or regulatory authorities adjust or cancel the above restrictions, the Fund shall comply with their provisions.
16、 Change and Termination of Custody Agreement and Liquidation of Fund Assets
（1） Change of Custody Agreement
The parties to this agreement may change the agreement upon consensus. The contents of the new agreement after change shall not
Any conflict with the provisions of the Fund Contract. The new agreement after change shall be reported to the CSRC for filing.
（2） Termination of Escrow Agreement
This Escrow Agreement shall be terminated after performing relevant procedures in the following cases:
1. The Fund Contract is terminated;
2. The Fund changes its custodian;
3. The Fund replaces the Fund Manager;
4. The Fund Law, the Operation Measures or other laws and regulations require termination.
（3） Liquidation of fund assets
The Fund Manager and the Fund Custodian shall, in accordance with the provisions of the Fund Contract and relevant laws and regulations
Liquidation.
17、 Liability for breach of contract and division of liability
（1） If the parties hereto fail to perform this Agreement or perform this Agreement in a manner inconsistent with the agreement, they shall be liable for breach of contract.
（2） If the breach of this Agreement causes damage to the Fund property or the Fund Unitholders, the parties shall
If their respective acts are liable for compensation according to law, and joint acts cause damage to fund assets or fund share holders,
It shall bear joint and several liability for compensation. Compensation for losses shall be limited to direct losses. However, in the following cases, the party concerned shall be exempted
Responsibility:
1. The Fund Manager and/or the Fund Custodian shall act or
Losses caused by inaction;
2. Caused by the Fund Manager exercising or not exercising its investment right in accordance with the investment principles specified in the Fund Contract
Loss of;
3. Force majeure;
4. The Fund Custodian shall deposit or keep the Fund assets in institutions other than the Fund Custodian, or hand them over to securities companies, etc
Other institutions shall not bear any responsibility for the fund assets and their income that are responsible for clearing and settlement, unless otherwise stipulated by laws and regulations;
5. Computer system failure, network failure, communication failure, power failure, computer virus attack and other non fund
Accidents caused by the fault of the manager and fund custodian.
（3） If one party violates this Agreement and causes losses to the other party, it shall be liable for compensation
The compensation for loss is only limited to direct loss.
（4） If this Agreement cannot be performed due to force majeure, the defaulting party shall be relieved in part or in whole according to the impact of force majeure
Liability, unless otherwise stipulated by law. If force majeure occurs after the parties delay in performing, they shall not be exempted from liability.
（5） If one party breaches the contract, the non breaching party has the obligation to take necessary measures in a timely manner within the scope of its responsibilities,
Try to prevent the loss from expanding. If the loss is further expanded due to failure to take appropriate measures, no claim shall be made for the expanded loss
Indemnification. The reasonable expenses incurred by the non defaulting party to prevent the loss from expanding shall be borne by the defaulting party.
（6） If the breach of contract has occurred, but this 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.
（7） In order to clarify the responsibilities, the fund management shall not affect the general applicability of other provisions of this Agreement
The liability of the Fund Custodian and the Fund Custodian for losses caused by the following acts is specified as follows:
1. The Fund Manager shall bear the responsibilities arising from the illegal and illegal orders issued by the Fund Manager;
2. The responsibilities caused by the instructions given by the personnel giving the instructions of the Fund Manager within the scope of authority specified in the authorization notice,
It shall be borne by the fund manager, even if the personnel's instructions have not been actually authorized by the fund manager (such as fund management
The Manager fails to notify the Fund Custodian in time after revoking or changing the authorization authority);
3. The Fund Custodian failed to review the apparent consistency between the signature and seal on the instruction and the reserved signature sample and seal,
The Fund Manager and the Fund Custodian shall, according to their respective degrees of fault, undertake
Take responsibility;
4. Custody period of fund assets (including physical securities) under the effective control of the fund custodian
The Fund Custodian shall be liable for any damage or loss arising therefrom;
5. The Fund Manager shall bear the responsibility for the calculation error of the amount of management fees it shall collect. If the Fund Custodian reviews
If the Fund Manager's calculation results are subsequently agreed, the Fund Custodian shall also bear the corresponding responsibility for not correctly performing the review obligation;
6. The Fund Manager shall bear the responsibility for the miscalculation of the amount of the custodian fee that the Fund Custodian shall collect. If Gikinto
If the custodian agrees with the calculation result of the fund manager after review, the fund custodian shall also bear the responsibility for not correctly performing the review obligation
Responsible;
7. Due to the Fund Manager or the Fund Custodian, the Fund cannot be registered and settled in accordance with China Securities Depository and Clearing Co., Ltd
If the business rules of the company are liquidated in a timely manner, the responsible party shall bear the responsibility for the fund property, fund share holders and the injured party
The direct loss caused by the failure of the Fund to comply with the requirements of China Securities Depository and Clearing Co., Ltd
If the business rules are liquidated in a timely manner, both parties shall reasonably share the responsibility for the direct losses caused according to their respective fault degrees;
8. On the capital settlement date, the capital in the fund account is first used for other capital settlement obligations other than the subscription of new shares,
The balance of funds can be used for subscription of new shares only after the completion of settlement. If the new share subscription fails or the new share subscription fails due to insufficient funds
In case of insufficient purchase, the Fund Custodian will not bear any responsibility. If the fund share holder makes a claim for compensation, relevant legal liability
The responsibilities and losses shall be borne by the fund manager.
18、 Applicable Law and Dispute Resolution
（1） This Agreement is governed by the laws of the People's Republic of China (for the purpose of this Escrow Agreement, excluding the Hong Kong Special Administration
And the laws of the Macao Special Administrative Region and Taiwan).
（2） Any dispute arising from or in connection with this Agreement between the Fund Manager and the Fund Custodian may be settled through friendly negotiation
Good negotiation. However, if the dispute cannot be settled through negotiation, either party has the right to submit the dispute to China in Beijing
The International Economic and Trade Arbitration Commission shall conduct arbitration in accordance with the then effective arbitration rules. The arbitration award is final
Both parties are binding. Unless otherwise specified in the arbitration award, the arbitration fee shall be borne by the losing party.
（3） Except for the contents involved in the dispute, the parties to this agreement shall still perform other provisions of this agreement.
19、 Effect of Custody Agreement
（1） The draft fund custody agreement submitted by the fund manager when applying to the CSRC for fund offering registration shall
After the legal representatives or authorized representatives of both parties to the custody agreement sign or seal and affix their official seals, both parties to the agreement
Revise the draft custody agreement according to the opinions of the CSRC. The custody agreement shall take the text registered with the CSRC as the official text.
（2） This Agreement shall come into force from the date of establishment of the Fund Contract and shall come into force from the date of effectiveness of the Fund Contract. This 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） This agreement has the same legal binding force on both parties since the effective date.
（4） The original of this agreement is in sextuplicate, with each party holding two copies and reporting to the CSRC and the Bank of China Insurance Regulatory Commission
The Supervision Committee shall hold one copy each with the same legal effect.
20、 Signing of Escrow Agreement
See signature page.
(No text below)
(This page is the signature page of Dacheng Zhuoyuan Vision Hybrid Securities Investment Fund Custody Agreement, without text)
Fund Custodian: Bank of China Limited
Legal representative or authorized signatory:
Signing date:
Signed at:
Fund Manager: Dacheng Fund Management Co., Ltd
Legal representative or authorized signatory:
Signing date:
Signed at: