Xingzheng Global Dividend Hybrid Securities Investment Fund
Fund contract
Fund Manager: Xingzheng Global Fund Management Co., Ltd
Fund Custodian: Industrial Bank Co., Ltd
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catalog
Part I Preface three
Part II Definition five
Part III Basic Information of the Fund ten
Part IV Sale of Fund Units twelve
Part V Fund Filing fourteen
Part VI Subscription and Redemption of Fund Units fifteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-four
Part VIII General Meeting of Fund Unitholders thirty-two
Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian forty-one
Part X Custody of the Fund forty-four
Part XI Registration of Fund Units forty-five
Part XII Investment of the Fund forty-seven
Part XIII Assets of the Fund fifty-six
Part XIV Valuation of Fund Assets fifty-seven
Part XV Fund Fees and Taxes sixty-four
Part XVI Income and Distribution of the Fund sixty-seven
Part XVII Accounting and Audit of the Fund sixty-nine
Part XVIII Information Disclosure of the Fund seventy
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-seven
Part XX Liability for Breach of Contract seventy-nine
Part XXI Dispute Settlement and Applicable Law eighty
Part XXII Effectiveness of the Fund Contract eighty-one
Part XXIII Other Matters eighty-two
Part XXIV Summary of the Fund Contract eighty-three
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Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Civil Code of the People's Republic of China (hereinafter referred to as the "Civil Law")
Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as "the Fund Law")
Administrative Measures for the Operation of Securities Investment Funds Raised (hereinafter referred to as "Operation Measures")
Measures for the Supervision and Administration of Securities Investment Fund Sales Institutions (hereinafter referred to as "Sales Measures"), Public Offering
Administrative Measures for Information Disclosure of Securities Investment Funds (hereinafter referred to as "Information Disclosure Measures")
Provisions on Liquidity Risk Management of Raised Open ended Securities Investment Funds (hereinafter referred to as "Liquidity Risk Management Regulations")
And other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract
Any document or statement relating to the rights and obligations of the parties to the fund contract related to the fund, such as
In case of any conflict in the fund contract, the fund contract shall prevail. The parties to the fund contract shall comply with the Fund Law and the fund contract
And other relevant provisions.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. Fund investment
The investor shall become the fund share holder and a party to the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of holding fund shares itself indicates its recognition and acceptance of the fund contract.
3、 Xingzheng Global Dividend Hybrid Securities Investment Fund is managed by the fund manager in accordance with the Fund Law
The shares are raised according to the contract and other relevant regulations, and have been approved by the China Securities Regulatory Commission (hereinafter referred to as "CSRC")
Will ") register.
The registration of the Fund raised by the CSRC does not indicate the investment value of the Fund and the market value of the Fund
Jing and others make substantive judgments or guarantees, which does not mean that there is no risk in investing in the Fund.
The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, honesty, prudence and diligence,
However, there is no guarantee that investment in the Fund will be profitable, nor will there be any guarantee of minimum return.
Investors should carefully read the fund prospectus, fund contract, fund product information summary and other information
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Disclose documents, judge the investment value of the fund independently, make investment decisions independently, and bear investment risks independently.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract
If the content involves defining the rights and obligations between the parties to the fund contract, in case of conflict with the fund contract
The contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
6、 The Fund can invest in the underlying stocks of Hong Kong Stock Connect and meet with the Hong Kong Stock Connect mechanism due to the investment environment
Unique risks arising from differences in investment objects, market systems and trading rules, including but not limited to Hong Kong stock market
The risk of large stock price fluctuation, exchange rate risk, the risk brought by the limit of Hong Kong Stock Connect, and the investment of Hong Kong Stock Connect
The risks caused by the adjustment of the subject range and the possible risks caused by the discontinuity of trading days under the Hong Kong Stock Connect mechanism are detailed in
"XVII. Risk Disclosure" in the Prospectus of the Fund.
In addition, the Fund may select the general management department according to the needs of investment strategies or the changes in the market environment of different allocation places
The Fund is not bound to invest in Hong Kong if the sub fund assets invest in Hong Kong stocks or choose not to invest the fund assets in Hong Kong stocks
Shares.
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Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: Xingzheng Global Dividend Hybrid Securities Investment Fund
2. Fund Manager: Xingzheng Global Fund Management Co., Ltd
3. Fund Custodian: Industrial Bank Co., Ltd
4. Fund contract or the Fund contract: Xingzheng Global Dividend Hybrid Securities Investment Fund
The Fund Agreement and any effective amendments and supplements to the Fund Agreement
5. Custody Agreement: refers to the "Xingzheng Global Dividend" signed between the Fund Manager and the Fund Custodian for the Fund
Mixed Securities Investment Fund Custody Agreement and any effective amendments and supplements to the Custody Agreement
6. Prospectus: refers to the Prospectus of Xingzheng Global Dividend Hybrid Securities Investment Fund and its
to update
7. Announcement of Fund Unit Offering: Refers to the Fund Unit Offering of Xingzheng Global Dividend Hybrid Securities Investment Fund
Sales Announcement
8. Laws and regulations: refer to the laws, administrative regulations, normative documents
Judicial interpretations, administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
9. Fund Law: refers to the Law of the Standing Committee of the Tenth National People's Congress on October 28, 2003
Adopted at the Fifth Meeting and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting, implemented since June 1, 2013, and approved by the 12th meeting on April 24, 2015
The 14th Meeting of the Standing Committee of the National People's Congress
Certificate of the People's Republic of China amended by the Decision on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law and amendments made by the issuing authority from time to time
10. Sales Measures: promulgated by the CSRC on August 28, 2020 and implemented on October 1 of the same year
The Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies issued by the Ministry of Finance and the promulgating authority from time to time
Revision of
11. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019, and September 1, the same year
Implemented and approved by the Decision of the CSRC on Amending Some Securities and Futures Regulations on March 20, 2020
The Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds as amended by the Decision of the Ministry of Finance of the People's Republic of China
Revision issued
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12. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Management Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
13. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on January 1 and the issuing authority
As amended from time to time
14. China Securities Regulatory Commission: China Securities Regulatory Commission
15. Banking regulatory authority: refers to the People's Bank of China and/or the State Administration of Financial Supervision and Administration
16. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume obligations under the Fund Contract
The legal subjects of the Fund, including the Fund Manager, the Fund Custodian and the Fund Unitholders
17. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
18. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal person, public institution legal person and society legally registered and existing or established and existing with the approval of relevant government departments
Groups or other organizations
19. QFII: refers to qualified foreign institutional investors and RMB qualified foreign institutions
The Measures for the Administration of Investors' Domestic Securities and Futures Investment and relevant laws and regulations have been approved by the CSRC,
Foreign institutional investors who use funds from abroad for domestic securities and futures investment, including qualified foreign institutions
Institutional investors and RMB Qualified Foreign Institutional Investors
20. Investors, investors: individual investors, institutional investors, qualified foreign investors and legal
Other investors allowed by laws and regulations or the CSRC to purchase securities investment funds
21. Fund share holder: refers to the investment legally obtained from fund shares in accordance with the fund contract and prospectus
people
22. Fund sales business: refers to the promotion of funds and the sale of fund shares by fund managers or sales agencies,
Handle the subscription, redemption, conversion, re custody and fixed investment of fund units
23. Sales organizations: direct sales organizations and other sales organizations
24. Direct selling institution: Xingzheng Global Fund Management Co., Ltd
25. Other sales institutions: refer to those that meet other conditions specified in the Sales Measures and the CSRC
Obtained the qualification of fund sales business and signed a fund sales service agreement with the fund manager to handle the fund sales business
Business organization
26. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including
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Establishment and management of investor's fund account, registration of fund shares, confirmation, liquidation and settlement of fund sales business
Calculate and distribute dividends on behalf of others, establish and keep the register of fund share holders and handle non trading transfer, etc
27. Registration agency: refers to the agency that handles registration business. The registration authority of the Fund is Xingzheng Global Fund Management
Management Co., Ltd. or the institution entrusted by Xingzheng Global Fund Management Co., Ltd. to handle registration business on behalf
28. Fund account: refers to the fund manager's account opened by the registration institution for investors, which records their holdings
Account for the balance of fund units under management and their changes
29. Fund transaction account: it refers to the account opened by the sales agency for the investor to record the investor's passing through the sales machine
Fund shares arising from the organization's handling of subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in amounts and balances
30. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract,
The fund manager has completed the fund filing formalities with the CSRC and obtained the written confirmation of the CSRC
date
31. Fund contract termination date: refers to the date when the fund contract termination causes specified in the fund contract occur
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of liquidation
32. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, with the longest
Not more than 3 months
33. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
34. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
35. T day: refers to that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
open house
36. T+n day: refers to the nth working day from T day (excluding T day)
37. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units (if
If the Fund participates in the trading of Hong Kong Stock Connect and the working day is a non Hong Kong Stock Connect trading day, the Fund Manager may, according to the actual situation
The circumstances determine whether the Fund will suspend the subscription and redemption business, and the specific announcement issued in advance at that time shall prevail)
38. Opening Hours: refers to the time period during which the fund accepts subscription, redemption or other business on an open day
39. Business Rules: refer to the Open ended Fund Business Rules of Xingzheng Global Fund Management Co., Ltd,
It is a business rule regulating the registration of open-ended securities investment funds managed by the fund manager, and is managed by the fund
Both the manager and the investor shall abide by
40. Subscription: during the fund raising period, investors apply for
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Please purchase fund shares
41. Subscription: after the Fund Contract comes into effect, the investor applies for
Please purchase fund shares
42. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the provisions of the Fund Contract and the Prospectus
The act of converting fund units into cash under specified conditions
43. Fund conversion: refers to the fund share holders' effective public funds in accordance with the Fund Agreement and the Fund Manager at that time
To apply for converting the fund units of a fund managed by the fund manager into
The behavior of the fund manager to manage and open the converted shares of other funds
44. Custody transfer: refers to the change place implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of sales institutions holding fund units
45. Regular and quota investment plan: refers to the application submitted by the investor through the relevant sales agency and the agreement on each application
The purchase date, amount and method shall be recorded in the bank account designated by the investor by the sales agency on the agreed purchase date of each period
An investment method for automatically completing subscription and accepting fund subscription applications in the account
46. Massive redemption: refers to the net redemption application of the Fund on a single open day (the total number of redemption application units
Add the total number of transferred out application units in fund conversion and deduct the total number of subscription application units and transferred in in fund conversion
The balance after the total number of applied shares) exceeds 10% of the total fund shares on the previous open day
47. RMB: refers to RMB
48. Fund income: refers to dividend, dividend, bond interest, price difference of securities, silver
Savings on bank deposit interest, other legal income realized and costs and expenses arising from the use of fund assets
49. Total value of fund assets: refers to various securities owned by the fund, principal and interest of bank deposits, and fund receivables
Total value of funds and other assets
50. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
51. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
52. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets
Value and net value of fund units
53. Liquidity restricted assets: refer to assets that cannot be used due to laws and regulations, supervision, contracts or operational barriers
Assets realized at a reasonable price, including but not limited to reverse repurchase with maturity of more than 10 trading days
Fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares, and negotiable securities
Limited new shares, non-public shares, asset-backed securities, inability to transfer due to the issuer's debt default, or
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Traded bonds, etc
54. Swing pricing mechanism: when open-end funds are subject to large purchase and redemption
In the form of net amount, the market shock cost of the fund's adjusted portfolio is allocated to the actual subscription and redemption investments
Investors, so as to reduce the adverse impact on the interests of stock fund share holders and ensure the legitimate rights and interests of investors
Be protected and treated fairly
55. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of account settlement is to effectively isolate and defuse risks and ensure that investors are treated fairly,
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account and the special account
The account is called side pocket account
56. Specific assets: including: (I) There is no active market price to refer to and the valuation technology is still adopted
Assets with significant uncertainty in fair value; （2） Measured at amortized cost and provision for asset impairment
Assets that still lead to significant uncertainty of asset value; （3） Significant inaccuracy in the value of other assets
Qualitative assets
57. Regulated media: national reports for information disclosure that meet the conditions specified by the CSRC
Internet websites (including the website of the fund manager and the website of the fund custodian) specified in the Information Disclosure Measures
Website, CSRC fund electronic disclosure website) and other media
58. Sales service fee: It refers to the amount withdrawn from the fund property for the marketing, sales and
Service fees for fund share holders
59. Force majeure: refers to the objective that the parties to the Fund contract cannot foresee, avoid and overcome
event
60. Hong Kong Stock Connect: refers to the mainland securities companies entrusted by the mainland investors through the Shanghai Stock Exchange and Shenzhen
A securities trading service company established by a stock exchange or an institution approved by the SFC shall submit a report to the Stock Exchange of Hong Kong
Declare and buy and sell stocks listed on the Stock Exchange of Hong Kong within the specified scope
61. Summary of fund product information: refers to the fund product of Xingzheng Global Dividend Hybrid Securities Investment Fund
Material Summary and its update
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Part III Basic Information of the Fund
1、 Fund name
Xingzheng Global Dividend Hybrid Securities Investment Fund
2、 Category of fund
Hybrid securities investment fund
3、 Operation mode of the fund
Contractual and open
4、 Investment objectives of the Fund
The Fund mainly invests in listed companies related to dividend theme, on the premise of effectively controlling portfolio risk
Next, strive to achieve long-term steady appreciation of net assets.
5、 Total minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million.
6、 Selling face value and subscription fees of fund units
The selling face value of the Fund units is RMB 1.00.
The subscription rate for Class A fund units of the Fund shall be subject to the provisions of the Prospectus and the fund product information summary
Yes, there is no subscription fee for Class C fund units.
7、 Duration of the Fund
Irregular
8、 Type of Fund Units
The Fund divides the Fund units into
For different categories. When investors subscribe or subscribe to the fund, they shall collect the subscription and subscription fees without withdrawing or canceling them
Sales of service fees are referred to as Class A fund units; No subscription will be collected when investors subscribe or subscribe for fund units
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The subscription fees, which are withdrawn from the fund assets of this category, are called Class C fund shares.
Class A and Class C fund units of the Fund are set with codes respectively. Due to different fund fees, the Fund
The net value of Class A fund units and Class C fund units will be calculated respectively. The calculation formula is:
Net value of certain fund units on the calculation date=net value of fund assets of such fund units on the calculation date/calculation date
Total number of such fund units
Investors can choose the type of fund units by themselves when subscribing for and subscribing for fund units.
The specific setting and rate level of the fund unit category shall be determined by the fund manager, and the fund manager shall
Listed in the book. Without violating the laws and regulations, the fund contract and the interests of fund share holders
Without material adverse effects, the Fund Manager may adjust the Fund units after performing appropriate procedures
Category setting, adjustment of fund share classification methods and rules, or adjustment of existing fund share categories
Or stop the sale of existing fund share categories, and
The relevant provisions of the Information Disclosure Measures are announced on the specified media, and it is not necessary to convene fund share holders
an assembly.
No mutual conversion is allowed between different fund unit classes of the Fund.
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Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period of time from the date of sale of fund units shall not exceed 3 months. See the specific time of sale of fund units
Notice.
2. Way of sale
It is publicly sold through the fund sales outlets of each sales agency. For the specific list of each sales agency, see the fund
The amount offering announcement and the website of the fund manager are publicized.
3. Target
Individual investors, institutional investors, contract investors who can invest in securities investment funds in accordance with laws and regulations
Foreign investors and other investors allowed by laws and regulations or the CSRC to purchase securities investment funds.
2、 Subscription of Fund Units
1. Subscription fee
Class A fund units of the Fund charge subscription fees, while Class C fund units do not charge subscription fees.
The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and the Fund
Listed in the product data summary. The subscription fees for Class A fund units are not included in the fund assets.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the specific amount of interest transferred to shares shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
The specific calculation method of fund subscription units is listed in the prospectus.
4. Handling method of subscribed share balance
The calculation of subscribed shares shall be reserved to 2 decimal places, and the part after 2 decimal places shall be rounded off
The gains or losses arising from this error shall be borne by the fund property.
5. Confirmation of subscription application
The acceptance of the subscription application by the fund sales agency does not necessarily mean that the application is successful, but only represents the sales machine
The organization has indeed received the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration authority. For subscription
Investors shall timely inquire about the application and the confirmation of subscribed shares and properly exercise their legal rights; otherwise
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Any loss arising from this shall be borne by the investor.
3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. If the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds the total number of fund units
50%, the fund manager may limit the subscription application of the investor by means of proportion confirmation. base
The acceptance of a certain subscription application or some subscription applications by the fund manager may lead investors to evade the above 50% proportion in disguised form
If required, the Fund Manager has the right to reject all or part of such subscription applications. Fund shares subscribed by investors
The amount shall be subject to the confirmation of the registration authority after the fund contract takes effect.
5. Investors may subscribe for fund units several times during the raising period, but the accepted subscription application is not allowed
revoke.
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Part V Fund Filing
1、 Conditions for Fund Filing
The total amount of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units
Under the condition that the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200,
The fund raising period expires or the fund manager may decide to stop the fund distribution in accordance with laws, regulations and the prospectus
And employ a legal capital verification agency to verify the capital within 10 days, and report to
The CSRC shall handle the fund filing procedures.
If the fund raising meets the conditions for fund filing, the fund manager shall take
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the fund contract will not take effect. Fund management
The manager shall announce the effectiveness of the fund contract on the next day after receiving the confirmation document from the CSRC. Fund management
The manager shall deposit the funds raised during the fund raising into a special account, and before the end of the fund raising
Who can not use it.
2、 Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by investors within 30 days after the expiration of the fund raising period, plus the bank
Current deposit interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All expenses paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Dan.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract comes into effect, the number of Fund Unitholders is less than 200 or
Where the net asset value of a fund is less than 50 million yuan, the fund manager shall disclose it in the regular report;
In case of any of the above circumstances for 60 consecutive working days, the Fund Manager shall report to the CSRC within 10 working days
Report and propose solutions, such as continuous operation, transformation of operation mode, merger with other funds or termination
Fund contract, etc., and convene a general meeting of fund unit holders within 6 months.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
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Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales outlets will be managed by the fund manager
Listed in the prospectus or other relevant announcements. The fund manager can change or increase or decrease the sales machine according to the situation
And publicized on the fund manager's website. The fund investor shall handle the fund sales business at the sales institution
The subscription and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription and redemption of fund units on the open day, and the specific handling time is Shanghai Stock Exchange
Trading hours on normal trading days of the Exchange and Shenzhen Stock Exchange (if the Fund participates in Hong Kong Stock Connect trading and
If the working day is not a Hong Kong Stock Connect trading day, the Fund Manager may decide whether to suspend the subscription of the Fund according to the actual situation
And redemption business, subject to the announcement issued in advance at that time), but the Fund Manager
Except for the suspension of subscription and redemption as required by the CSRC or the provisions of this Fund Contract.
After the fund contract comes into effect, if there is a new securities/futures trading market
In case of occasional changes or other special circumstances, the Fund Manager will, as the case may be, make corresponding changes to the aforesaid opening days and hours
However, it shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date.
2. Start date of subscription and redemption and business handling time
The Fund Manager shall handle the subscription within 3 months from the effective date of the Fund Agreement, and the specific business shall be handled
The processing time shall be specified in the announcement of subscription start.
The Fund Manager shall handle the redemption within 3 months from the effective date of the Fund Contract
The processing time shall be specified in the announcement of redemption commencement.
After determining the start time of subscription and redemption, the Fund Manager shall, before the opening day of subscription and redemption
The starting time of subscription and redemption shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
The fund manager may not handle the subscription of fund units
Redemption or conversion. The investor puts forward the subscription, redemption and conversion on the date and time not agreed in the fund contract
If the application is made and the registration authority confirms to accept, the subscription and redemption price of the fund units shall be the next open day for such funds
The price of share subscription and redemption.
3、 Principles of subscription and redemption
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1. The principle of "unknown price", that is, the subscription and redemption prices of such funds are calculated after the closing of the application day
Calculate on the basis of net share value;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager, but has been
The reasonable application is not allowed to be withdrawn;
4. Redemption follows the principle of "first in, first out", that is, it is carried out according to the order of subscription and application of investors
Sequential redemption;
5. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure that
The legitimate rights and interests of investors shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles if permitted by laws and regulations. Fund manager
The announcement must be made in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the new rules.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must propose within the specific business handling time on the opening day according to the procedures specified by the sales agency
Application for subscription or redemption.
2. Payment of subscription and redemption funds
When an investor subscribes to fund units, he must pay the subscription amount in full, and the investor must pay the subscription amount in full,
Subscription establishment; The subscription takes effect when the registration authority confirms the fund units.
The redemption is established when the fund unit holder submits the redemption application; The redemption takes effect when the registration institution confirms the redemption.
After the investor's redemption application takes effect, the fund manager will pay the redemption amount within T+7 days (including that day).
In case of major redemption or deferred payment of redemption funds specified in the Fund Contract, the payment shall be handled
Law shall be handled with reference to the relevant provisions of the Fund Contract.
In case of data transmission delay, communication system failure, bank data exchange system failure
Or other factors beyond the control of the Fund Manager and the Fund Custodian affect the business process
The time of item transfer shall be postponed accordingly.
3. Confirmation of application for subscription and redemption
The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the day of subscription
Or the redemption application date (T day). Under normal circumstances, the Fund's registration authority has
Validation. For the valid application submitted on T date, the investor shall timely receive and sell it after T+2 date (including that date)
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The sales outlets shall inquire about the confirmation of the application over the counter or in other ways specified by the sales institutions. If the subscription is not established or
If it is invalid, the principal of the subscription amount shall be returned to the investor.
The acceptance of the application for subscription and redemption by the fund sales agency does not necessarily mean that the application is successful, but only represents that
The sales organization did receive the application. The confirmation of the application for subscription and redemption shall be subject to the confirmation result of the registration authority.
Investors shall timely inquire about the confirmation of the application.
The fund manager may, within the scope permitted by laws and regulations and the fund contract, handle the above business at the time
The adjustment shall be made and announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor and each redemption
Please refer to the Prospectus or relevant announcements for the specific provisions of the minimum share returned.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively. Please refer to
See the Prospectus or relevant announcements.
4. The Fund Manager has the right to specify the upper limit of a single investor's single day or single subscription amount. Please refer to
See the Prospectus or relevant announcements.
5. The Fund Manager has the right to specify the total size limit of the Fund and the upper limit of the net subscription ratio per day, as detailed in
Please refer to the prospectus or relevant announcement for the upper limit of scale or proportion.
6. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the upper limit of the net subscription proportion of a single day of the Fund
Measures such as rejecting large amount subscription, suspending fund subscription, etc. shall be taken to effectively protect the legitimate rights and interests of holders of stock fund units.
The fund manager can take the above measures to control the fund size based on the needs of investment operation and risk control
System. See the relevant announcement of the Fund Manager for details.
7. The Fund Manager may adjust the above specified subscription amount and redemption if permitted by laws and regulations
Share and other quantitative restrictions. The fund manager must comply with the relevant provisions of the Information Disclosure Measures before the implementation of the adjustment
It shall be announced on the specified media.
6、 Purchase and redemption prices, fees and their uses
1. The net value of fund units will be calculated separately for Class A fund units and Class C fund units of the Fund. The Fund
The calculation of net value of shares shall be reserved to 4 decimal places, and the fifth decimal place shall be rounded off
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The gains or losses shall be borne by the fund property. The net value of various fund units on T day is calculated after the close of the day, and
Announce within T+1 days. In case of special circumstances, the calculation or announcement may be delayed appropriately after performing appropriate procedures.
2. Calculation of subscription units and handling method of balance: For details of calculation of subscription units of the Fund, see Recruitment
Instructions. The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus
Listed in the summary of fund product information. The effective share of subscription is the net subscription amount divided by the share of such fund on the current day
Net amount, effective unit is share, and the above calculation results are rounded to the decimal point
2, the income or loss arising therefrom shall be borne by the fund property.
3. Calculation and handling method of redemption amount: please refer to the Prospectus for the calculation of redemption amount of the Fund.
The redemption rate of the Fund shall be determined by the Fund Manager and listed in the Prospectus and the summary of fund product information
Shows. The redemption amount is the effective redemption unit actually confirmed multiplied by the net value of such fund unit on the day and deducted by
The unit of redemption amount is yuan. The above calculation results are rounded to the decimal point
The last two, the income or loss arising therefrom shall be borne by the fund property.
4. The subscription fees for Class A fund units shall be borne by the investors and shall not be included in the fund assets. Class C fund shares
No subscription fee will be charged.
5. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned. The proportion of redemption expenses included in the fund property shall be set in accordance with relevant laws and regulations
See the prospectus. The part not included in the fund property is used to pay the registration fee and other necessary formalities
Fees. Among them, investors with a continuous holding period of less than 7 days will be charged a redemption fee of not less than 1.5%, and the full amount will be
Included in the fund assets.
6. The specific calculation method, redemption rate and redemption amount of the Fund's subscription rate and subscription units are as follows:
The calculation method and charging method of the fund shall be determined by the fund manager in accordance with the provisions of the fund contract, and shall be stated in the prospectus
Listed in the book. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract, and
In accordance with the relevant provisions of the Information Disclosure Measures, the new rate or charging method shall be submitted to the regulatory media later than the implementation date of the new rate or charging method
Introduce the announcement.
7. In case of large amount purchase or redemption of the Fund, the Fund Manager may use the swing pricing machine
To ensure the fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws and regulations and
Provisions of regulatory authorities and self-discipline rules.
8. The fund manager may, without violating the provisions of laws and regulations and the fund contract
Under the circumstance that the interests of the holders are not materially adversely affected, the fund promotion plan shall be formulated according to the market conditions
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Or carry out fund promotion activities irregularly. No material adverse effect on stock shares during fund promotion activities
On the premise of "yes", the Fund Manager may appropriately lower the base after performing the necessary procedures as required by the relevant regulatory authorities
The gold subscription rate and fund redemption rate shall be announced.
7、 Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
1. The fund cannot operate normally due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Investor's application for subscription.
3. The trading time of the securities/futures exchange is abnormally closed, which causes the fund manager to be unable to calculate the daily basis
Net value of gold assets.
4. Accepting one or some subscription applications may affect or damage the interests of existing fund share holders or
When there is a potential significant adverse impact on the interests of the holders of stock fund units.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It may have a negative impact on the performance of the Fund, or other circumstances may damage the interests of existing Fund Unitholders.
6. The abnormal conditions of the fund manager, fund custodian, fund sales agency or registration agency lead to
The gold sales system, fund registration system or fund accounting system cannot operate normally.
7. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor holding the Fund
The proportion of the number of shares reaches or exceeds 50% of the total number of fund shares, or it may lead to investors' disguised behavior
Avoid the above 50% requirement.
8. The application exceeds the total fund size, the upper limit of net subscription ratio per day, and the single investment set by the fund manager
The upper limit of the amount of a single day or single purchase by investors.
9. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After the subscription, the Fund Manager shall suspend the valuation and take measures to suspend the acceptance of the Fund subscription application.
10. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription in any of the above items 1, 2, 3, 5, 6, 9 and 10
When suspending the acceptance of an investor's application for subscription, the fund manager shall, in accordance with the relevant provisions, temporarily publish it on the prescribed media
Announcement of suspension of subscription. If the investor's application for subscription is rejected in whole or in part, the rejected subscription amount
The funds will be returned to the investors. When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner
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Handling of.
8、 Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption
Payment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Redemption application of investors or deferred payment of redemption money.
3. The trading time of the securities/futures exchange is abnormally closed, which causes the fund manager to be unable to calculate the daily basis
Net value of gold assets.
4. Huge redemption occurs for two or more consecutive open days.
5. In the event that continuing to accept the redemption application will damage the interests of existing fund unit holders
The manager may suspend accepting the redemption application of the fund unit holder.
6. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the use of valuation techniques still leads to significant uncertainty in the fair value, it shall be confirmed through consultation with the Fund Custodian
After recognition, the Fund Manager suspends the valuation and suspends the payment of redemption funds or the acceptance of fund redemption applications
measures.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
One of the above circumstances (except Item 4) occurs and the Fund Manager decides to suspend the holding of fund units
The Fund Manager shall report to the CSRC on the same day when the redemption application or payment of redemption money is postponed,
The Fund Manager shall pay in full the confirmed redemption application; If it cannot be paid in full for the time being, the unpaid part
Payment can be postponed. In case of the situation mentioned in item 4 above, it shall be handled according to the relevant provisions of the fund contract. Funds
When applying for redemption, the holder may choose to cancel the part that may not be accepted on that day in advance. In the suspension of redemption
When the situation of redemption is eliminated, the Fund Manager shall resume the redemption business in a timely manner and make an announcement.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of the Fund units within a single open day of the Fund (the total number of redemption application units plus the Fund
After deducting the total number of subscription application units from the total number of transfer out application units during conversion and the transfer in application units during fund conversion
If the balance after the total amount exceeds 10% of the total fund shares on the previous opening day, it is deemed that a huge redemption has occurred.
2. Treatment method of huge redemption
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In case of a huge redemption of the fund, the fund manager can decide according to the current asset portfolio of the fund
Full redemption or partial deferred redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption ratio accepted by the fund manager on the same day shall not be less than 10% of the total fund shares on the previous open day
The remaining redemption applications can be postponed. Redemption application on the current day shall be redeemed by a single account
The proportion of the application amount in the total redemption application amount, and the redemption units accepted on the current day shall be determined; For the part not redeemed,
Investors can choose to postpone or cancel redemption when submitting redemption application. If you choose to postpone redemption, you will
Move to the next open day to continue redemption until all redemption; If you choose to cancel redemption, you have not received
Some redemption applications accepted will be cancelled. The deferred redemption application shall be processed together with the redemption application on the next open day,
The redemption amount is calculated on the basis of the net value of such fund units on the following open day without priority, and so on,
Until all redemption. If the investor fails to make a clear choice when submitting the redemption application, the investor fails to redeem
Some will be automatically postponed for redemption. Some deferred redemptions are not limited by the minimum amount of single redemption.
(3) When the fund has a huge redemption and a single fund unit holder exceeds the fund on the previous open day
In the case of redemption application for more than 40% of the total units, the Fund Manager may apply for more than 40% of the fund unit holders
The above redemption applications shall be postponed, and the specific measures are as follows: for those that do not exceed the total fund shares of the previous open day
For the redemption application of 40% of the amount, the Fund Manager has the right to postpone the redemption according to the above "(1) full redemption" or "(2) partial redemption"
The agreed method of "periodic redemption" shall be handled together with the redemption application of other fund unit holders. For this fund
The redemption application of the amount holder exceeding 40% of the total fund shares on the previous opening day will be postponed, that is, the next opening
The application for open day redemption shall be processed together, without priority and based on the net value of such fund units on the following open day
Calculate the redemption amount, and so on, until all redemption. However, if the holder submits a redemption application
If you choose to cancel the redemption, some redemption applications that have not been accepted on that day will be cancelled. If the holder submits the redemption
If no clear choice is made when the application is returned, the part that cannot be redeemed will be automatically postponed for redemption.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can postpone the payment
The redemption money shall not exceed 20 working days and shall be announced on the specified media.
3. Announcement of massive redemption
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In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall mail, fax or call
Other methods specified in the Prospectus shall notify the fund share holders within three trading days, stating the relevant processing party
And publish an announcement on the specified media within 2 days.
10、 Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall make an announcement in accordance with relevant regulations.
2. If the suspension occurs for one day, the Fund Manager shall, on the reopening day
Publish the announcement of fund re opening subscription or redemption, and announce the net amount of various fund units in the last open day
Value.
3. If the suspension occurs for more than one day, the Fund Manager may, according to the suspension of subscription or redemption
In accordance with the relevant provisions of the Information Disclosure Measures, the re publication of
Announcement of subscription or redemption of newly opened funds, and announcement of net value of various fund units on the latest opening day; it's fine too
According to the actual situation, the time for reopening subscription or redemption will be specified in the suspension announcement, and will not be released separately at that time
Announcement of reopening.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
For the conversion business with other funds managed and converted by the fund manager, the fund conversion can be charged one
The Fund Manager shall, in accordance with relevant laws and regulations and the provisions of this Fund Agreement, determine the conversion fee
Formulate and announce, and inform the Fund Custodian and relevant institutions in advance.
12、 Transfer of Fund Units
If permitted by laws and regulations and conditions are met, the Fund Manager may accept the Fund Unitholders
The application for share transfer through the trading place or trading method recognized by the CSRC shall be submitted by the registration authority
Handle the transfer registration of fund units. If the Fund Manager intends to accept the transfer of fund units, it will make an announcement in advance,
Fund unit holders shall handle the transfer of fund units in accordance with the business rules announced by the Fund Manager.
13、 Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
The resulting non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations. whether
Under any of the above circumstances, the subject receiving the transfer must be an investment that can hold the fund shares of the Fund according to law
People.
Inheritance refers to the death of the fund share holder, and the fund shares held by him shall be inherited by his lawful successor;
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Donation refers to the donation of fund unit holders' legally held fund units to welfare foundations
Or social groups;
Judicial enforcement means that the judicial authority holds the fund share holders
The share of the fund is forcibly transferred to other natural persons, legal persons or other organizations.
Relevant materials required by the fund registration authority must be provided to handle non transaction transfer
The application for non transaction transfer shall be handled in accordance with the provisions of the fund registration authority, and shall be received in accordance with the standards prescribed by the fund registration authority
Fees.
14、 Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
A sales agency may collect the transfer custody fee according to the prescribed standards.
15、 Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be separately formulated by the Fund Manager
Line regulations. The investor can agree on the amount of subscription in each period when handling the regular and quota investment plan
The amount must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
The minimum subscription amount of the investment plan.
16、 Freeze, unfreeze, pledge of fund shares and other fund businesses
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law, and
Freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations. If the fund shares are frozen,
The rights and interests generated by the frozen part are frozen at the same time, and the shares of the frozen part still participate in income distribution and payment. method
Unless otherwise specified in laws and regulations or the Fund Agreement.
If relevant laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses,
The Fund Manager will formulate and implement corresponding business rules.
17、 Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in the Prospectus or relevant companies
Notice.
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Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: Xingzheng Global Fund Management Co., Ltd
Address: No. 368, Jinling East Road, Huangpu District, Shanghai
Legal representative: Yang Huahui
Date of establishment: September 30, 2003
Approval authority and approval document number: ZJJZ [2003] No. 100 of China Securities Regulatory Commission
Organizational form: limited liability company
Registered capital: 150 million yuan
Duration: continuous operation
Tel: 021-20398888
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If a person violates the Fund Contract and relevant national laws and regulations, he shall report it to the CSRC and other regulatory authorities,
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
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(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Reject or suspend the acceptance of subscription, redemption and conversion applications within the scope agreed in the Fund Contract
Please;
(12) Exercise relevant rights against the invested company for the benefit of the Fund in accordance with laws and regulations, and for the benefit of the Fund
To exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager; or
Performing other legal acts;
(15) Select and replace law firms, accounting firms, securities/futures brokers or others
External institutions providing services by the Fund;
(16) Formulate and adjust relevant fund subscription, subscription
Redemption, conversion, fixed investment and non trading transfer and other business rules;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are independent of each other, and to separate the different funds under management
Management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
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The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions,
Determine the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Information disclosure and
Reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. In addition to the Fund Law
Unless otherwise specified in the Fund Contract and other relevant provisions, the Fund information shall be kept confidential before public disclosure
Disclosed to others, but due to the requirements of regulatory authorities, judicial authorities and other competent authorities, or to the outside of audit, law, etc
Except those provided by professional consultants;
(13) Determine the fund income distribution plan according to the Fund Contract, and hold the fund shares in a timely manner
Distribution of fund income by people;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law, or to cooperate with the fund custodian and fund unit holders;
(16) Keep the accounting books, statements, records and other relevant information of fund property management business activities as required
The relevant materials shall not be less than the minimum time limit prescribed by laws and regulations;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
To ensure that investors can check the information related to the Fund at any time according to the time and method specified in the Fund Contract
Disclose materials and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation
Realization and distribution;
(19) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
When he/she has rights and interests, he/she shall be liable for compensation, and his/her liability for compensation shall not be exempted by his/her retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall hold
The interests of the Fund Custodian shall be recovered from the Fund Custodian;
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(22) When the fund manager entrusts its obligations to a third party, it shall deal with the relevant funds to the third party
Take responsibility for the behavior of financial affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise the right of litigation or enforce its
Other legal acts;
(24) The Fund Contract cannot take effect if the Fund fails to meet the filing conditions for the Fund during the raising period,
The Fund Manager shall bear all the raising costs and pay the raised funds in the base together with the interest of the current deposit of the bank for the same period
The fund shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: Industrial Bank Co., Ltd
Address: Industrial Bank Building, No. 398, Jiangbin Middle Avenue, Taijiang District, Fuzhou, Fujian Province
Legal representative: Lv Jiajin
Time of establishment: August 22, 1988
Organizational form: limited liability company
Registered capital: 20.774 billion yuan
Duration: continuous operation
Approval document and document number of fund custody qualification: CSRC Zhengjian Jiji Zi [2005] No. 74
Approval authority and approval document number: Head Office of the People's Bank of China, YF [1988] No. 347
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
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The fund contract and national laws and regulations have caused significant losses to the fund property and the interests of other parties
The situation shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) In accordance with the relevant market rules, it is necessary to open capital accounts, securities accounts and other investments for the Fund
Other accounts, to handle the clearing of securities/futures trading funds for the fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure the safety of the fund property and ensure that the fund property under its custody is different from the fund custodian's own property and
Fund assets are independent of each other; Set up separate accounts for different funds under custody, conduct independent accounting, and manage accounts separately,
Ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
To seek benefits for oneself and any third party, it is not allowed to entrust a third party to trust the fund property;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Opening other accounts required for investment such as fund accounts and securities accounts of fund assets as required,
In accordance with the provisions of the Fund Contract and the investment instructions of the Fund Manager, the clearing and delivery shall be handled in a timely manner
Should;
(7) Keep fund business secrets, unless otherwise specified in the Fund Law, the Fund Contract and other relevant regulations
In addition to the regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others
Except as required by the competent authority such as the legal authority or provided to external professional consultants such as audit and law consultants;
(8) Review and review the net asset value of the fund calculated by the fund manager and the fund shares of various fund units
Net amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To issue opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund, stating that
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Specify whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract; If
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state whether the Fund Custodian has taken
Appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities not lower than
The minimum period stipulated by laws and regulations;
(12) Receive and keep the register of fund unit holders from the fund manager or its entrusted registration institution;
(13) Prepare relevant account books as required and check with the fund manager;
(14) To pay fund income and
Redemption proceeds;
(15) Convene Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund share holders or to cooperate with the fund manager and fund share holders to convene a general meeting of fund share holders in accordance with the law;
(16) Supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation, realization and
Distribution;
(18) Timely report to the CSRC when faced with dissolution, legal revocation or bankruptcy declaration
And the banking regulatory authority, and notify the fund manager;
(19) If the Fund property is lost due to violation of the Fund Contract, it shall be liable for compensation
Liability will not be relieved by his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws, regulations and the Fund Contract
The Fund Manager shall be the Fund Unitholder in case of any loss of fund property due to violation of the Fund Contract
The interests shall be recovered from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
3、 Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract,
The fund investor will become the fund share holder and the fund investor will become the fund share holder
The parties to the Fund Agreement until they no longer hold the Fund units of the Fund. The Fund Unitholders shall serve as the Fund Unitholders
The parties to the Fund Contract shall not be required to sign or seal the Fund Contract in writing.
Each fund unit of the same category has the same legal rights and interests. As the Class A fund shares of the Fund and C
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The difference of net value of fund units of Class A fund units, the amount of fund income distribution and the remaining after participating in liquidation
The amount of Fund property allocated will vary.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) To call a general meeting of fund unit holders or a general meeting of fund unit holders as required;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
Including but not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Provide the information required by the fund manager and regulatory authority according to law, and update and
Supplement and guarantee its authenticity;
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(10) Comply with relevant transactions and businesses of the Fund Manager, Fund Custodian, Sales Agency and Registration Agency
Business rules;
(11) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
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Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized to act on their behalf
Form A has the right to attend meetings and vote on behalf of fund share holders. Each fund share held by the fund share holder
We have equal voting rights.
The National People's Congress of the holders of Fund units does not have a daily institution.
1、 Reason for convening
1. Unless otherwise stipulated by laws and regulations and the CSRC or the fund contract
A general meeting of fund unit holders shall be held if one of the following matters is to be decided:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian or increase the sales service fees;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund shares that individually or collectively hold more than 10% (including 10%) of the total fund shares
The amount holder (calculated based on the fund shares on the day when the fund manager receives the proposal, the same below) writes about the same matter
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope of laws and regulations and the Fund Contract, and within the scope of the existing fund share holders
On the premise that there is no material adverse effect, the following circumstances may be revised after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate
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Reduce the redemption rate or sales service fee, change the charging method or adjust the setting of fund unit category
Adjust the share classification methods and rules;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) To the extent permitted by laws and regulations and the Fund Contract, the Fund Manager, the registration authority
The fund sales agency adjusts the subscription, subscription, redemption, conversion, fund transaction, non transaction transfer and transfer
Management and other business rules;
(6) After performing appropriate procedures, the Fund launches new businesses or services;
(7) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
2、 Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the Fund Manager decides to convene the meeting, it shall issue a written decision 60
Held within the day; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, the Fund Custodian shall
The fund custodian shall convene the meeting on its own and notify the fund manager within 60 days from the date of issuing the written decision,
The Fund Manager shall cooperate.
4. The Fund Unitholders representing more than 10% (including 10%) of the Fund Units have written requests on the same matter
To convene a general meeting of fund share holders, a written proposal shall be submitted to the fund manager. The fund manager shall
Decide whether to convene the meeting within 10 days after receiving the written proposal, and inform the proposed fund unit holders in writing
There are representatives and fund custodians. If the Fund Manager decides to convene the meeting, it shall issue a written decision 60
Held within the day; The Fund Manager decides not to convene, representing more than 10% (including 10%) of the Fund shares
If the amount holder still considers it necessary to hold the meeting, he shall submit a written proposal to the Fund Custodian. The Fund Custodian shall
Decide whether to convene the meeting within 10 days from the date of receiving the written proposal, and inform the proposed fund in writing
The holder's representative and the fund manager; If the Fund Custodian decides to convene the meeting, it shall issue a written decision from the date of issuance
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The fund manager shall cooperate with the fund manager who shall convene and notify the fund manager within 60 days.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request a meeting on the same matter
If the Fund Unitholders' General Meeting is not convened by the Fund Manager or the Fund Custodian, it shall be separately or collectively represented
The fund share holders with more than 10% (including 10%) of the fund shares have the right to convene the meeting on their own and at least 30 days in advance
Report to the CSRC for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law
The Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and its copy
Method and contact person, deadline for submission of voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund manager in writing separately
Go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall be separately
Inform the Fund Manager and the Fund Custodian in writing to go to the designated place to supervise the counting of votes. fund
If the manager or fund custodian refuses to send representatives to supervise the counting of votes, the voting opinions will not be affected
Vote counting effect of.
4、 Ways of Fund Unitholders Attending the Meeting
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The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations and supervision
The convener of the meeting shall determine other methods allowed by the organ.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
The authorized representatives of the Fund Manager and the Fund Custodian shall attend the on-site meeting as nonvoting delegates
If the Fund Manager or the Fund Custodian does not send representatives to attend the general meeting, the voting effect shall not be affected. On site opening
The agenda of the general meeting of Fund Unitholders may be held when the following conditions are met simultaneously:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registration materials held by the fund manager
Conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
1/2 of the total fund units, the convener may hold the fund unit holders' meeting at 3
The General Meeting of Fund Unitholders shall be reconvened within six months after the expiration of six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other methods specified in the announcement of the general meeting of fund unit holders shall be served to the convener before the deadline for voting
Address designated by. The correspondence meeting shall be held in writing or by other parties specified in the announcement of the general meeting of fund share holders
Voting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in Kikinto
The custodian (or the fund manager if the fund custodian is the convener) and the notary organ shall, under the supervision of the
Collect the voting opinions of fund share holders in the manner specified in the notice of discussion; The Fund Custodian or Fund Manager
If a notice is given not to participate in the collection of voting opinions, the voting effect shall not be affected;
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(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; Fund share holders who directly issue voting opinions or authorize others to issue voting opinions on their behalf
If the fund units held by the convener are less than half of the total fund units on the equity registration date, the convener may
Within 3 months and 6 months after the date of the general meeting of the Fund Unitholders
The general meeting of fund unit holders shall be reconvened. The reconvened general meeting of fund unit holders shall have three representatives
The holders of more than one third (including one third) of the fund units directly issue their voting opinions or authorize others to represent them
With voting opinions;
(4) Fund unit holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinion, the certificate of holding the fund unit submitted at the same time, and the agent entrusted to issue the voting opinion
The certificate issued by the agent that the principal holds fund shares and the certificate of proxy voting authorization of the principal
Comply with laws and regulations, the Fund Contract and the notice of the meeting, and comply with the records of the fund registration authority.
3. The Fund Unitholders of the Fund may also adopt
Authorize his/her agent to attend the general meeting of fund unit holders in other non written ways
In face, network, telephone, SMS or other ways, the specific way shall be determined by the meeting convener and included in the meeting notice
Listing; In terms of the way of holding the meeting, the Fund can also use other off-site ways or on-site ways to communicate with non
The general meeting of fund share holders shall be held in a combination of on-site methods, and the meeting procedures shall refer to on-site meetings and communications
The procedure of the meeting shall be carried out. Fund share holders may adopt written, internet, telephone, SMS or other methods
The specific method of voting shall be determined by the convener of the meeting and listed in the notice of the meeting.
5、 Discussion content and procedure
1. Discussion content and proposal right
The content of the proceedings shall be major matters related to the interests of fund share holders, such as major amendments to the Fund Contract
Change, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and cooperate with other funds
And other matters stipulated by laws and regulations and the Fund Contract, as well as the convener of the meeting thinks it is necessary to submit funds
Other matters discussed at the general meeting of shareholders.
After the convener of the general meeting of fund unit holders issues the notice of convening the meeting, the amendment to the original proposal shall
It shall be announced in time before the general meeting of fund share holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
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(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and publish
The supervisor shall then read out the proposal by the presider of the meeting, vote after discussion, and form the resolution of the meeting.
The presider of the meeting is the representative authorized by the fund manager to attend the meeting, but the authorized representative of the fund manager fails to preside
In the case of a general meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If authorized by the Fund Manager
If neither the representative nor the authorized representative of the Fund Custodian can preside over the meeting, the Fund Unitholders and
More than 50% (including 50%) of the voting rights held by the agent shall elect a fund share holder as this time
The chairperson of the general meeting of fund share holders. The Fund Manager and the Fund Custodian refuse to attend or preside over the Fund
The general meeting of fund share holders shall not affect the validity of the resolutions made at the general meeting of fund share holders.
The convener of the meeting shall prepare the signature book of the attendees. The name of the participants shall be recorded in the signature book
(or unit name), ID document number, fund shares held or represented with voting rights, and principals
Name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
6、 Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except as provided in the second item below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Change the operation mode of the fund
Fund Manager or Fund Custodian, termination of the Fund Contract, merger of the Fund with other funds to
The resolution is valid only after it is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary when counting votes, submit
The voting for confirming the investor's identity document in accordance with the provisions of the notice of the meeting shall be deemed as effective attendance of investors
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The voting opinions that meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions that are ambiguous or contradictory shall be deemed as valid voting
It means abstention from voting, but shall be included in the total number of fund units represented by the fund unit holders who issue voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the General Assembly is based on
Although the fund share holders themselves or the general meeting is convened by the fund manager or the fund custodian, the fund management
If the Manager or Fund Custodian fails to attend the meeting, the chairperson of the meeting of Fund Unitholders shall be present at the beginning of the meeting
Later, it was announced that three representatives of fund share holders were elected among the fund share holders present at the meeting to supervise the votes
People. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has any concerns about the voting results submitted
In case of doubt, the number of votes required can be counted again immediately after the announcement of the voting results. The scrutineer shall
Re inventory is limited to one time. After re counting, the presider of the meeting shall announce the re counting on the spot
Point results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the general meeting are in the fund
Supervised by the authorized representative of the custodian (or the authorized representative of the fund manager if convened by the fund custodian)
The counting process shall be notarized by the notary office. The Fund Manager or the Fund Custodian refuses to appoint a representative
If the voting table supervises the counting of votes, it shall not affect the counting and voting results.
8、 Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
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The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the specified media within 2 days from the effective date. If using
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the full text of the notarial certificate
The name of the certification authority and the notary shall be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective Fund Unitholders
General Assembly resolutions. Effective resolution of the general meeting of fund unit holders on the management of all fund unit holders and funds
Both the trustee and the fund trustee are binding.
9、 Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund units or voting rights refers to the holders of main pocket units
The fund shares or voting rights held or represented by and side pocket unit holders respectively conform to such proportion, but if relevant
If the matters to be convened and deliberated at the general meeting of fund share holders do not involve side pocket accounts, they only refer to the main pocket share holders
The fund shares or voting rights held or represented by the Company meet these proportions:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund units held by the holder shall not be less than half (including half) of the relevant fund units on the equity registration date
One);
4. The fund units held by the fund unit holders who participate in the voting of the fund unit holders' meeting are small
One half of the relevant fund units on the equity registration date, and the fund unit holders originally announced by the convener
Fund unit holdings reconvened within 6 months and 3 months after the date of the meeting
The National People's Congress shall have holders representing more than one-third (including one-third) of the relevant fund units participate in or grant
To authorize others to vote at the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder as the chairperson of the Fund Unitholder Meeting;
6. General resolutions shall be subject to two percent of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
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More than two thirds (including two thirds) passed.
Each fund share in the same main side pocket account has equal voting rights.
10、 This part deals with the causes, conditions, procedures and voting of the general meeting of fund share holders
Conditions and other provisions, which directly refer to the laws and regulations, such as the relevant contents caused by the revision of laws and regulations in the future
In case of cancellation or change, the fund manager can directly modify and adjust the content of this part after making an announcement in advance,
It is unnecessary to convene a general meeting of fund share holders for deliberation.
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Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution shall be made by the fund manager of
More than two thirds (including two thirds) of the votes shall be passed, and shall take effect from the date of the vote;
3. Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4. Filing: the resolution of the General Meeting of Fund Unitholders to change the Fund Manager must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
6. Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner
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The Fund Manager or the new Fund Manager shall take over in a timely manner. New Fund Manager or Temporary Fund Manager
The total value and net value of the Fund's assets shall be checked with the Fund Custodian;
7. Audit: if the duties of the fund manager are terminated, the fund manager shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The expenses shall be disbursed from the fund assets;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes shall be passed, and shall take effect from the date of the vote;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
6. Handover: Where the duties of the fund custodian are terminated, the fund custodian shall properly keep the fund assets and the fund custody business
Information, timely handle the transfer procedures of fund assets and fund custody business, and appoint a new fund custodian or temporarily
The Fund Custodian shall take over in a timely manner. The new fund custodian or temporary fund custodian shall check with the fund manager
Total value and net value of fund assets;
7. Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall employ an accountant in accordance with laws and regulations
The Institute shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The expenses shall be disbursed from the fund assets.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian
1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of their total shares nominate new fund managers and fund custodians;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
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3. Announcement: The new Fund Manager and Fund Custodian shall change the Fund Manager and Fund Custodian
A joint announcement shall be made on the specified media within 2 days after the resolution of the general meeting of fund unit holders of the custodian takes effect.
3、 The new fund manager or temporary fund manager receives fund management business, or the new fund custodian or
Before the temporary fund custodian receives the fund assets and the fund custody business, the original fund manager or the original fund custodian
They shall continue to perform their relevant duties and ensure that they will not commit any act that may damage the interests of fund share holders.
The original Fund Manager or the original Fund Custodian is still entitled to continue to perform relevant duties in accordance with this Fund Contract
The fund management fee or fund custody fee shall be charged in accordance with the provisions of.
4、 The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
For the part of reference to laws and regulations, if the relevant content is cancelled or changed due to the modification of laws and regulations in the future
The Manager and the Fund Custodian may directly modify and adjust the corresponding contents after reaching consensus and making an announcement in advance,
It is unnecessary to convene a general meeting of fund share holders for deliberation.
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Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall enter into a contract in accordance with the Fund Law, the Fund Contract and other relevant provisions
Escrow Agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
Obligations and responsibilities to ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
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Part XI Registration of Fund Units
1、 Registration business of fund units
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf of others, establishing and keeping the register of fund share holders and handling non trading transfer.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
However, the fund manager shall not be exempted from its responsibilities according to law due to the entrustment. Others entrusted by the fund manager
Where an institution handles the registration business of the Fund, it shall sign an agency agreement with the agent to specify the fund manager
And the agency in the investor's fund account management, fund share registration, clearing and fund transaction confirmation and issuance
Rights and obligations in matters such as dividend, establishment and custody of the register of fund share holders, and protection of fund share holders
The legitimate rights and interests of others.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. Within the scope permitted by laws and regulations, the time for handling registration business shall be adjusted, and
The relevant regulations shall be announced on the specified media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract
Service;
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institution recognized by the CSRC, and its storage period shall not start from the date of cancellation of the fund account
Less than 20 years;
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4. Having the obligation to keep confidential the fund account information of the fund share holder
Investors or funds shall bear corresponding compensation liability for losses incurred, but judicial compulsory inspection and laws
Except for other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract;
5. Handle non trading transfer business for investors and provide
Other necessary services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
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Part XII Investment of the Fund
1、 Investment objectives
The Fund mainly invests in listed companies related to dividend theme, on the premise of effectively controlling portfolio risk
Next, strive to achieve long-term steady appreciation of net assets.
2、 Investment scope
The investment scope of the Fund is financial instruments with good liquidity, including those legally issued and listed domestically
Stocks and depositary receipts (including the main board, GEM and other stocks approved or registered for issuance by the CSRC
And depositary receipts), Hong Kong stocks and bonds (including government bonds, local government bonds, financial bonds, and enterprises
Bonds, corporate bonds, publicly issued subordinated bonds, convertible bonds, pure bonds of separately traded convertible bonds
Exchange bonds, central bank notes, medium-term notes, short-term corporate bonds of securities companies, short-term financing bonds, ultra short-term
Financing bonds, etc.), bond repurchase, money market instruments, bank deposits, interbank deposit receipts, asset-backed securities
Stock index futures, treasury bond futures, stock options and others permitted by laws and regulations or the CSRC for fund investment
Financial instruments (subject to the relevant provisions of the CSRC).
The Fund will participate in financing business in accordance with laws and regulations. If laws and regulations or regulatory authorities allow
If the Fund invests in other varieties, the Fund Manager may include them into the investment scope after performing appropriate procedures.
The investment portfolio proportion of the Fund is: the investment proportion of stock assets is 60% - 95% of the Fund's assets (including
The proportion of the shares invested in Hong Kong Stock Standard accounted for 0-50% of the stock assets); Dividends defined for investment in the Fund
The proportion of subject stocks in non cash fund assets shall not be less than 80%; At the end of each trading day
The Fund shall maintain cash or
The total investment proportion of government bonds with maturity within one year shall not be less than 5% of the net asset value of the fund, of which,
Cash does not include provisions for settlement, deposits and subscription receivables.
3、 Investment strategy
The investment strategy of the Fund can be divided into asset allocation strategy, stock investment strategy and bond investment strategy
And other investment strategies.
1. Asset allocation strategy
In terms of the allocation of major assets, the Fund adopts a combination of qualitative and quantitative research
Asset allocation is performed between asset categories.
The Fund conducts asset allocation between asset classes such as stocks and bonds by combining qualitative and quantitative research
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Set. The Fund dynamically tracks GDP, CPI, interest rate and other macroeconomic indicators of major economies at home and abroad,
And market indicators such as valuation level, profit expectation, liquidity, investor mentality, etc., to determine future market changes
Trends. By comprehensively evaluating the change trend of the above key indicators, the Fund has
Predict the risk and return characteristics of assets.
2. Stock investment strategy
The Fund mainly invests in dividend themed listed companies, that is, it has stable dividend policy and high dividend
Companies with dividend return, high dividend expectation and sustainable dividend distribution capability. Dividend theme defined by the Fund
Shares refer to the securities issued by companies that meet the following conditions:
(1) Stable dividend policy and high dividend return: at least one year of dividend in the past two years
Dividend (including cash dividend and stock dividend) and cash dividend ratio (cash dividend/net profit) or dividend ratio (cash dividend/net profit)
Golden dividend/market value) is in the top 50% of the market;
(2) High dividend expectation and sustainable dividend distribution ability: the company is in good operating condition and has good capital
Assets, liabilities, cash flow and potential dividend distribution capacity are large; The company has stable dividend policy, excellent profitability and business
Sustainable growth.
When national policies, laws and regulations, and relevant standards change, or the Fund Manager believes that there are more appropriate
The Fund Manager may change the definition method and
Announce in the updated prospectus.
When constructing the investment portfolio, the Fund will comprehensively consider the business climate, valuation, etc. to determine its position in the portfolio
The investment return brought by the corresponding performance growth can be obtained through long-term holding.
The measurement of risk return ratio is an important starting point for the construction of the Fund's investment portfolio, so the Fund also
Focus on capturing the deterministic reversal part of cyclical companies by measuring P/E ratio (market value/net profit)
Valuation repair of value shares brought by net ratio (market value/net assets), market sales ratio (market value/operating income) and other indicators
Opportunity, as well as the part of early risk return ratio in style investment.
3. Investment Strategy of Depositary Receipts
The strategy of the Fund to invest in depositary receipts shall be implemented in accordance with the above listed stock investment strategy.
4. Hong Kong stock investment strategy
The Fund will only invest in the Hong Kong stock market through the Hong Kong Stock Connect, and will not use qualified domestic institutional investors
(QDII) Overseas investment limit for overseas investment. The Fund will focus on:
(1) A-share scarce industries and individual stocks;
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(2) Enterprises with sustainable leading edge or core competitiveness should have good growth
Or market leader;
(3) Thematic industry stocks in line with mainland policies and investment logic;
(4) Companies with valuation advantages compared with similar A-share companies.
5. Bond investment strategy
The Fund will adopt duration deviation, yield curve allocation and generic allocation, risk-free arbitrage and leverage policy
To find, confirm and use market imbalances to realize portfolio appreciation through investment strategies such as individual bond selection strategy. above
The investment strategy will be implemented on the basis of investment discipline and effective risk management.
6. Trading strategy of stock index futures
The Fund Manager may use stock index futures to improve investment efficiency and better achieve the investment objectives of the Fund.
In the stock index futures trading, the Fund will, in accordance with the principle of risk management and for the purpose of hedging
Under the premise of control, in line with the principle of prudence, participate in the trading of stock index futures to manage the systematic risk of the portfolio
Risk, improve the risk return characteristics of the portfolio.
7. Trading strategy of treasury bond futures
The Fund participates in treasury bond futures trading for the purpose of hedging to avoid market risk. National debt futures
The contract value of the short position mainly corresponds to the long value of the bond portfolio. The fund manager passes the dynamic management country
The number of bond futures contracts to extract the excess return of the corresponding bond portfolio.
8. Asset backed securities investment strategy
For asset-backed securities, the Fund will comprehensively consider the market interest rate, terms of issue and structure of supporting assets
To study the income and risk matching of asset-backed securities based on factors such as quality and prepayment rate
On the basis of risk control, choose investment objects and pursue stable returns.
9. Stock Option Investment Strategy
The Fund's investment in stock options will follow the principle of risk management, take hedging as the main purpose, and combine
Investment objectives, proportional restrictions, risk return characteristics and relevant restrictions and requirements of laws and regulations, and determine participation
Investment timing and investment proportion of stock option trading.
10. Short term corporate bond investment strategy of securities companies
The Fund will pass a comprehensive examination of the issuer's corporate background, asset liability ratio, cash flow and other factors
And analyze the liquidity, credit rating, default risk and reasonable margin of short-term corporate bonds of securities companies
And according to the internal credit analysis method of the fund manager
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Conduct screening and strictly control the investment proportion of short-term corporate bonds of single securities company. The Fund Manager will
In the principle of prudence, short-term corporate bonds of securities companies are carried out in strict accordance with the company's investment decision-making process and risk management measures
Investment to prevent credit risk, liquidity risk and other risks.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of investment in the Fund's stock assets is 60% - 95% of the Fund's assets (including investment in Hong Kong Stock Connect
The proportion of the underlying stock accounts for 0-50% of the stock assets); Invest in dividend themed stocks defined by the Fund
The proportion of cash fund assets shall not be less than 80%;
(2) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(3) At the end of each trading day, after deducting stock index futures, treasury bond futures and stock option contracts
After the transaction margin of, the Fund shall maintain no less than 5% of the net asset value of the Fund in cash or the maturity date is one year
Government bonds within, of which cash does not include provisions for settlement, deposits and subscription receivables;
(4) The Fund holds the market value of securities issued by a company (the same company in China and Hong Kong
A+H shares listed on the market at the same time) shall not exceed 10% of the net asset value of the fund;
(5) All funds managed by the Fund Manager hold securities issued by one company (the same company
A+H shares listed at the same time in the domestic and Hong Kong markets), not more than 10% of the securities;
(6) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(7) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(8) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of the asset-backed securities;
(9) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(10) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All of them will be sold within 3 months from the date of release of the level report;
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(11) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(12) The Fund's participation in treasury bond futures and stock index futures trading shall comply with the following investment proportion restrictions:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% of net asset value; The value of treasury bond futures contracts held by the Fund at the end of any trading day,
Shall not exceed 15% of the net asset value of the Fund;
2) The value of treasury bond futures and stock index futures contracts held by the Fund at the end of any trading day
The sum of market values of securities shall not exceed 95% of the net asset value of the fund; Among them, marketable securities refer to stocks and bonds
Securities (excluding government bonds with maturity of less than one year), asset-backed securities, redemptory financial assets for sale (not
Including pledge repurchase), etc;
3) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed that of the Fund
20% of the total market value of the shares held; Futures contracts for selling treasury bonds held by the Fund at the end of any trading day
The value shall not exceed 30% of the total market value of bonds held by the Fund;
4) The market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold, total (netting
Calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment; Bonds held by the Fund (not
Including the market value of government bonds with a maturity date of less than one year and the value of futures contracts for buying and selling government bonds, total (
(difference calculation) shall comply with the relevant provisions of the fund contract on the proportion of bond investment;
5) The transaction amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 20% of the net asset value of the Fund on the previous trading day; The Fund trades on any trading day (excluding
The transaction amount of the treasury bond futures contract (closing position) shall not exceed 30% of the net asset value of the fund on the previous trading day;
(13) If the Fund participates in financing business, at the end of each trading day, the financing shares held by the Fund
The sum of the market value of the votes and other securities shall not exceed 95% of the net asset value of the fund;
(14) All open-ended funds managed by the Fund Manager (including open-ended funds and open funds
The holding of tradable shares issued by a listed company shall not exceed that of the listed company
15% of the outstanding shares; All investment portfolios managed by the Fund Manager hold shares issued by a listed company
The tradable shares shall not exceed 30% of the tradable shares of the listed company;
(15) The Fund, private securities asset management products and other entities recognized by the CSRC are trading pairs
For reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment scope agreed in the fund contract
bring into correspondence with;
(16) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net asset value of the Fund
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15%. Other than fund managers due to fluctuations in the securities market, stock suspension of listed companies, changes in fund size, etc
If the fund does not meet the proportion limit specified in this article due to the factors of
Investment limited to assets;
(17) The proportion of the Fund's investment in depositary receipts shall be limited in accordance with the shares listed and traded in China
Consolidated calculation of shares traded on internal listing;
(18) If the Fund participates in stock option trading, it shall comply with the following investment proportion restrictions:
1) The total amount of premium paid and received by the Fund due to open position option contracts shall not exceed the fund assets
10% of net worth;
2) Where the Fund opens positions to sell call options, it shall hold sufficient underlying securities; Open put option
Should hold the full amount of cash required for contract exercise or the cash that can be offset against the option margin recognized by the rules of the Exchange
Gold equivalents;
3) The par value of the option contracts with open positions of the Fund shall not exceed 20% of the net asset value of the Fund. Including: contract
The par value is calculated by multiplying the exercise price by the contract multiplier;
(19) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Except for items (3), (10), (15) and (16) above
The fund investment proportion does not meet the above requirements due to factors other than fund managers such as pedestrian merger and fund size change
If the investment proportion is specified, the fund manager shall make adjustment within 10 trading days, but the CSRC
Except for special circumstances specified. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of this Fund Agreement
Start.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or the adjusted provisions, provided that
Previous announcement.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
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(3) Investment with unlimited liability;
(4) Buying and selling other fund units, unless otherwise stipulated by laws and regulations or the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the controller or a company with a significant stake in it or securities underwritten during the underwriting period, or
Those engaged in other major related party transactions shall comply with the investment objectives and investment strategies of the Fund, and follow the
The principle of giving priority to the interests of quota holders, preventing conflicts of interest, establishing and improving the internal approval mechanism and evaluation mechanism,
Implement according to fair and reasonable market price. Relevant transactions must be approved by the Fund Custodian in advance, and
The laws and regulations are disclosed. Major related party transactions shall be submitted to the Board of Directors of the Fund Manager for review, and two thirds of them shall pass
The above independent directors passed. The Board of Directors of the Fund Manager shall review related party transactions at least every six months.
Laws, administrative regulations or regulatory authorities cancel or adjust the above prohibitive provisions, if applicable to the Fund,
After the Fund Manager has performed the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or the adjusted provisions
Execution.
5、 Performance Benchmark
Benchmark for performance comparison of the Fund: China Securities dividend index yield × 60%+China Securities Hong Kong Stock Tonggao dividend investment index
Digital yield × 20%+China Bond composite (full price) index yield × 20%
Among them, the CSI dividend index has a high cash dividend rate in Shanghai and Shenzhen A-shares, relatively stable dividends
100 stocks of scale and liquidity are constituent stocks, and dividend rate is used as the basis for weight distribution to reflect A
The overall performance of high dividend stocks in the stock market.
The CSI Hong Kong Stock Connect dividend investment index selects 30 Hong Kong stocks that meet the conditions of Hong Kong Stock Connect with good liquidity
Stocks with continuous dividends and high dividend yield are taken as sample stocks and weighted by dividend yield, which can reflect the scope of Hong Kong Stock Connect
The overall performance of stocks with continuous dividend distribution and high dividend yield.
The comprehensive (full price) index of China Bond is prepared by China Government Securities Depository and Clearing Corporation Limited, aiming to comprehensively reflect the debt
The overall price and investment return of the bond market is a representative bond market index, which is suitable for this purpose
Benchmark of fund bond investment performance.
The Fund is a hybrid fund, and the investment proportion of stock assets is 60% - 95% of the fund assets (including
The proportion of shares invested in the Hong Kong Stock Standard accounted for 0-50% of the stock assets), and invested in the dividend holders defined by the Fund
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The proportion of stocks in non cash fund assets shall not be less than 80%. In combination with the Fund's demand for liquidity
The authority and representativeness of the above indexes, the compilation method of the indexes, the investment scope of the Fund and
The selection of the above performance benchmark for asset allocation ratio can enable investors of the Fund to make rational judgments on the Fund's products
To reasonably measure and compare the performance of the Fund.
At present, the Fund's performance benchmark can faithfully reflect the Fund's risk return characteristics. If in the future
Laws and regulations have changed, or more authoritative and widely accepted performance benchmarks have been launched,
Or when a performance benchmark more suitable for the Fund appears in the market, the Fund may change its performance
Benchmark, but it should be agreed with the fund custodian and reported to the CSRC for filing after performing appropriate procedures,
And make timely announcement on the media specified by the CSRC, without the need to convene a general meeting of fund share holders.
6、 Risk return characteristics
The Fund is a hybrid fund with higher expected risks and returns than bond funds and money market funds,
Lower than equity funds.
In addition to investing in A-shares, the Fund can also invest in the listed shares of the Stock Exchange of Hong Kong in accordance with laws and regulations
Shares. In addition to general investment risks such as market fluctuation risks similar to domestic securities investment funds
In addition, the Fund is also faced with special investment faced by overseas securities market investment such as exchange rate risk and Hong Kong market risk
Capital risk.
7、 Principles and methods for the Fund Manager to exercise relevant rights on behalf of the Fund
1. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with relevant national regulations and protect the Fund
The interests of the holder;
2. Do not seek to control the listed company;
3. It is conducive to the safety and appreciation of fund assets;
4. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
8、 Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, protect the fund according to the maximum
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of unit holders and consulted the accounting firm
After the opinion of the Firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance comparison benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
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Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal changes of specific assets of side pocket accounts
See the provisions of the Prospectus for details of matters such as cash and payments that have a significant impact on investors' rights and interests.
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Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of the Fund's assets refers to all kinds of securities owned by the Fund, the principal and interest of bank deposits and the claims receivable by the Fund
The total value of fund purchase and other investments.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts and securities accounts for the Fund in accordance with relevant laws, regulations and normative documents
Account, futures settlement account and other special accounts required for investment. Special fund account and fund management opened
Property accounts and other funds owned by the manager, fund custodian, fund sales agency and fund registration agency
The property account is independent.
4、 Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody by the gold custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Some assets bear their own legal liabilities, and their creditors shall not apply for freezing or withholding of the Fund's assets
Pledge or other rights. Unless otherwise disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets shall not be disposed of
Points.
The Fund Manager and the Fund Custodian were dissolved, dissolved or declared bankrupt according to law
In case of liquidation, the fund assets shall not belong to its liquidation assets. Assets of fund manager management and operation fund assets
The generated creditor's rights may not offset the debts generated by its inherent assets; Different bases for fund manager management and operation
The creditor's rights and liabilities arising from the fund assets of the fund shall not offset each other. Liabilities not due to the fund property itself,
It shall not enforce the fund assets.
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Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities exchange of the Fund and national laws and regulations
It is required to disclose the net value of the fund to the public on non trading days.
2、 Valuation object
Stocks, bonds, stock index futures contracts, treasury bond futures contracts, stock option contracts and
Assets and liabilities such as principal and interest of bank deposits, accounts receivable and other investments.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with
Accounting Standards and relevant regulations of regulatory authorities.
（1） For investment varieties with an active market and the same quoted price of assets or liabilities
If there is a quotation on a daily basis, the quotation shall be applied to the fund without adjustment, except for the exceptions specified in the accounting standards
Fair value measurement of assets or liabilities. There is no quotation on the valuation date and there is no impact on fair value measurement after the latest trading day
In case of major events, the quoted price on the latest trading day shall be used to determine the fair value. There is sufficient evidence to indicate the valuation
If the quoted price on the latest trading day cannot truly reflect the fair value, the quoted price shall be adjusted to determine the fair value
Value.
The fair value of the same assets or liabilities shall be used if they are the same as the above investment varieties but have different characteristics
And consider the influence of different characteristic factors in the valuation technology. Feature refers to the sale or use of assets
If the limit is for the asset holder, the limit should not be made in the valuation technology
Consider the characteristics. In addition, the fund manager should not consider the risk of
Premium or discount.
（2） For investment varieties that do not have an active market, they should be suitable for the current situation and have enough
The fair value can be determined by using valuation techniques supported by data and other information. Use valuation techniques to determine fair price
The observable input value should be used preferentially, only when the observable input value of relevant assets or liabilities cannot be obtained
The unobservable input value can be used only when it is impracticable.
（3） In case of major changes in the economic environment or major events affecting the securities price of the securities issuer,
If the impact of the potential valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%, the valuation should be
Adjust and determine the fair value.
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4、 Valuation method
1. Valuation of listed securities
(1) Securities (including stocks, etc.) listed on the stock exchange shall be listed on the stock exchange on the valuation date
Valuation of market price (closing price); There is no transaction on the valuation date, and there is no significant economic environment after the most recent transaction date
In case of change or no major event affecting the securities price occurs to the securities issuer, the market price of the latest trading day shall be used
(closing price) valuation; If the economic environment has changed significantly after the recent trading day or the securities issuer has
In case of major events affecting the securities price, the current market price and major change factors of similar investment varieties can be referred to,
Adjust the market price of the latest transaction and determine the fair price;
(2) For the non equity fixed income varieties that have been listed or listed for transfer, select the third-party valuation basis
The full valuation price of the corresponding varieties provided by the quasi service agency on the current day shall be evaluated;
(3) For listed or listed fixed income varieties with rights (excluding bonds with equity conversion),
Select the unique full valuation or recommended valuation of the corresponding varieties provided by the third-party valuation benchmark service agency on the current day
Valuation at full price; For the fixed income variety including the investor's right to sell back, if the right to sell back is exercised, it shall be registered on the sale back register
From the recording date to the actual collection date, select the unique valuation of the corresponding varieties provided by the third-party valuation benchmark service agency
Full value or full recommended valuation price, and full consideration should be given to the impact of the issuer's credit risk changes on the fair value
Sound. If the right of resale is not exercised after the deadline of the registration period for resale (inclusive), the price corresponding to the long waiting period shall be applied
Valuation;
(4) There is an active market for publicly issued convertible bonds listed on the exchange market
For bonds including equity conversion, the closing price on the valuation date is selected as the full valuation price for bonds subject to full price trading; Implement net
The full valuation price of the bonds traded at the price of the market shall be the closing price on the valuation date plus the accrued interest per hundred yuan before tax.
2. The securities in the unlisted period shall be handled according to the following circumstances:
(1) The new shares issued for stock dividend, conversion, allotment and public issuance shall be listed on the stock exchange on the valuation date
The valuation method of the same stock; If there is no transaction on that day, the market price (closing price) of the latest day shall be used for valuation.
(2) For the initial public offering of unlisted shares, the fair value is determined using valuation techniques
If it is difficult to reliably measure the fair value, it shall be valued at cost.
(3) For unlisted or unlisted fixed income varieties, if there is an active market,
The unadjusted quotation in the active market shall be taken as the fair value on the valuation date; Failure to quote in an active market
If it represents the fair value on the valuation date, the market quotation shall be adjusted to confirm the fair value on the valuation date;
If there is no active market, the data and
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The fair value is determined by valuation techniques supported by other information.
(4) Circulating restricted shares, including non-public offering shares and shareholders of the company at the time of initial public offering
Public offering of shares, shares with limited sales period obtained through block trading, etc
Relevant regulations determine the fair value.
3. Where the same bond or stock is traded in two or more markets at the same time
The market is valued separately.
4. Valuation methods for investment securities derivatives
(1) The fair value of the rights of allotment due to the holding of shares shall be determined by the valuation technique for valuation.
If it is difficult to reliably measure the fair value by valuation technology, the valuation shall be carried out at cost.
(2) The stock index futures contract is valued at the settlement price of the financial futures exchange on the valuation date, and there is no delivery on that date
If it is easy, it shall be valued at the settlement price of the latest day.
(3) Treasury bond futures contracts are generally valued at the settlement price on the valuation day, and there is no settlement price on the valuation day
If there is no significant change in the economic environment after the latest trading day, the settlement price of the latest trading day shall be used for valuation.
(4) Stock option contracts are generally valued at the settlement price on the valuation day, and there is no settlement price on the valuation day
If there is no significant change in the economic environment after the latest trading day, the settlement price of the latest trading day shall be used for valuation.
5. Valuation method of deposits
Bank time deposits or call deposits held are listed as principal, and interest is recognized day by day according to the agreement or contract interest rate
Interest income. In case of early withdrawal or change of interest rate, the Fund Manager shall timely adjust the accounts.
6. On the valuation date of the Fund, the stocks invested by the Hong Kong Stock Connect shall be valued at their closing prices on the Hong Kong Stock Exchange; Valuation date
If there is no transaction, the valuation shall be based on the closing price of the latest trading day.
On the fund valuation date, the valuation of foreign currency securities assets held by Hong Kong Stock Connect involves the exchange rate of Hong Kong dollar to RMB
, refer to the central parity rate of RMB exchange rate published by the People's Bank of China or its authorized institution on that day, or
The valuation is carried out at the exchange rate reflecting the fair value.
If the current valuation exchange rate of the Fund is no longer published or has significant changes, or there is a more fair
When it is more suitable for the valuation exchange rate of the Fund, the Fund Manager and the Fund Custodian may, upon consensus
Adjust the valuation exchange rate of the Fund and timely report to the CSRC for filing, without the need to convene fund share holders
an assembly.
7. In case of large amount purchase or redemption, the swing pricing mechanism can be adopted to ensure the fund evaluation
The fairness of the value.
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8. The valuation of the Fund's investment depositary receipts shall be calculated in accordance with the stocks listed and traded in China.
9. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, value at the price that best reflects the fair value.
10. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there are new items,
Valuation according to the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method and procedure specified in the fund contract
In case of the provisions of relevant laws and regulations or failure to fully protect the interests of fund share holders, it shall immediately notify
The other party shall jointly find out the cause, and the two parties shall solve it through consultation.
According to relevant laws and regulations, the obligations of the Fund Manager to calculate the net asset value of the Fund and to conduct financial accounting of the Fund are
Undertake. The fund manager is the fund accounting responsible party of the Fund
If no agreement can be reached after full discussion on the basis of equality between relevant parties
The Fund Manager shall publish the calculation results of the net value of the Fund.
5、 Valuation procedures
1. The net value of various fund units is based on the fund assets of such fund units after the market is closed on each valuation date
The net value is calculated by dividing the balance of such fund units on the current day. The net values of the two types of fund units are accurate to
0.0001 yuan, rounded to the fifth decimal place. The fund manager may set up
Net worth accuracy emergency adjustment mechanism. If the national laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund and the net fund share value of each fund share on each valuation date
Value, and publish as required.
2. The Fund Manager shall value the assets of the Fund on each valuation date. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. After the Fund Manager evaluates the assets of the Fund on each valuation date,
Send the net value results of fund units of various fund units to the Fund Custodian, and after the Fund Custodian has verified that there is no error,
The Fund Manager shall publish it to the public as agreed.
6、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
Accuracy and timeliness. When the net value of a certain type of fund unit is within 4 decimal places (including the 4th decimal place)
If the value is wrong, it shall be deemed that the net value of such fund units is wrong.
The parties to this Fund Contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
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During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
If the error in valuation is caused by the fault of the selling institution or the investor itself, causing losses to other parties, the fault
The person responsible for the loss of the party ("the injured party") who suffered losses due to the valuation error shall
It states the "principle of handling valuation errors" to make compensation and bear the liability for compensation.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
According to the calculation error, system failure error, instruction error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct the valuation errors in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors;
If the party responsible for the valuation error fails to correct the valuation error that has occurred in time, causing losses to the party concerned
The party responsible for the value error shall be liable for compensation for the direct loss; If the responsible party for the valuation error has actively coordinated, and
If the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall bear the corresponding liability for compensation
Ren. The party responsible for the valuation error shall confirm the correction to the relevant parties to ensure that the valuation error has been obtained
To correct.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, not for the indirect losses,
And it is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained unjust enrichment does not return
Or the loss of interests of other parties caused by not returning all the unjust enrichment ("the injured party"), then the valuation error liability
Either party shall compensate the loss of the injured party, and within the scope of the compensation amount paid by it
The parties have the right to demand the delivery of unjust enrichment; If the party who has obtained unjust enrichment has excluded this part
When the profits are returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has already received to the amount of improper
The difference between the total return of profits and its actual loss shall be paid to the party responsible for the valuation error.
(4) The adjustment of valuation errors shall be made in the way of recovering to the correct situation assuming no valuation errors.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
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Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the fund manager shall immediately correct it and notify
The Fund Custodian shall take reasonable measures to prevent further expansion of losses.
(2) When the error deviation reaches 0.25% of the net value of such fund units, the Fund Manager shall notify the Fund Manager that
The fund custodian shall also report to the CSRC for filing; When the error deviation reaches 0.5% of the net value of such fund units
The fund manager shall make an announcement and report to the CSRC for the record.
(3) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions. If line
The Fund Manager
The Fund Custodian shall renegotiate on the principle of equality and protection of the interests of Fund Unitholders
Then.
7、 Suspension of valuation
1. The securities and futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the fund contract.
8、 Recognition of net fund value
The fund manager is responsible for calculating the net asset value of the fund and the net value of various fund units, and the fund custodian is responsible for
Review. The Fund Manager shall calculate the net asset value of the Fund on each valuation day and
The net value of Class A fund units shall be sent to the fund custodian. Issued after the Fund Custodian reviews and confirms the net value calculation results
It shall be sent to the fund manager, who shall publish the net value of the fund as agreed.
9、 Handling of special cases
1. Errors caused by the Fund Manager or the Fund Custodian when conducting valuation according to Item 9 of the valuation method
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The difference is not treated as an error in the valuation of fund assets.
2. Due to force majeure, or due to wrong data sent by securities/futures exchanges, registration and clearing companies, etc
Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures to
Check, but fail to find errors or avoid errors, or find errors but fail to timely due to the above reasons
If it is corrected, the Fund Manager and the Fund Custodian shall be exempted from the liability for compensation for the resulting error in the valuation of the Fund assets,
However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
10、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the main pocket account assets shall be valued and
Disclose the net fund value information of the main pocket account, and suspend the disclosure of the net share value of the side pocket account.
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Part XV Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Sales service fees for Class C fund units;
4. Information disclosure fees related to the Fund after the Fund Contract takes effect;
5. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect;
6. Expenses for the general meeting of fund share holders;
7. Transaction expenses for securities, futures, stock options, etc. of the Fund;
8. Bank transfer fees of the Fund;
9. Fund account opening fees and account maintenance fees;
10. Relevant expenses for investment in Hong Kong stocks;
11. Other items that may be disbursed from the fund assets in accordance with the relevant provisions of the State and the Fund Contract
cost.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 1.2% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H=E × 1.2% ÷ 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 calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian checks and agrees, the Fund Custodian shall, in the first 5 days of the next month
It shall be paid to the fund manager in a lump sum from the fund property within working days. In case of legal holidays, rest days or
If the payment cannot be made on time due to force majeure, the payment date shall be postponed accordingly.
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. Calculation of custody fee
The calculation method is as follows:
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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 calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian checks and agrees, the Fund Custodian shall, in the first 5 days of the next month
One time withdrawal from the fund property within working days. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, the payment date shall be postponed.
3. Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and the annual rate of sales service fee for Class C fund units
0.60%. The fund sales service fee will be used exclusively for the market promotion, sales and fund share holding of the fund
Someone is available.
The sales service fee for Class C fund units is 0.60% of the net asset value of Class C fund units on the previous day
Accrual. 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 the fund on the previous day for Class C fund units
The fund sales service fee is calculated daily, accumulated to the end of each month day by day, and paid monthly by the fund manager
After checking with the Fund Custodian, the Fund Custodian shall negotiate with the Fund Manager in the following month
One time payment from the fund property to each sales institution or one time payment to the fund management within the first 5 working days
The fund manager shall pay the funds to each fund sales agency on behalf of the manager. In case of legal holidays, rest days or irresistible
If the payment cannot be made on time due to force, the payment date shall be postponed accordingly.
Items 4-11 of the above "I. Types of fund expenses" shall be paid according to relevant regulations and corresponding agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, which shall be paid by the Fund Custodian from the Fund assets.
3、 Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
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4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
4、 Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account, but
It can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but cannot be charged
See the provisions of the Prospectus for details of fee management.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
that 's ok. The relevant taxes on the investment of fund assets shall be borne by the fund share holders and deducted by the fund manager or others
The payer shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection. Fund share holders must
The fund share holders shall be responsible for the taxes paid, and the fund manager and the fund custodian shall not be liable for withholding
Obligation to pay or pay taxes.
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Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
As for the balance after expenses, the realized income of the fund refers to the balance of the fund profit minus the income from changes in fair value.
2、 Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
3、 Principle of fund income distribution
1. On the premise of complying with the relevant fund dividend terms, the Fund shall distribute its income at least once a year,
The distribution proportion of each income shall not be less than 80% of the distributable profits, and the specific distribution plan shall be subject to the announcement,
If the Fund Contract takes effect less than 3 months ago, no income distribution is required;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or reinvestment of cash dividends automatically into corresponding types of fund units; If investors do not choose,
The Fund's default income distribution method is cash dividends;
3. After the distribution of fund income, the net value of various fund units cannot be lower than the par value, that is, the fund income distribution benchmark
The net value of various fund units on the day minus the amount of income distribution per unit of such fund units cannot be lower than the par value;
4. As Class A fund units of the Fund do not charge sales service fees, while Class C fund units charge sales
The service fee and the distributable income corresponding to each fund share category will be different. Each of the funds of the same category
Fund units enjoy equal distribution rights;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In compliance with laws and regulations and the fund contract, and without material adverse effect on the interests of fund share holders
Under the premise of "Yes", the fund manager can adjust the principle of fund income distribution without holding fund share holding
There is a general meeting.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
The Fund's income distribution plan is prepared by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Disclosure Measures are announced in the specified media.
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6、 Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. When
When the investor's cash dividend is less than a certain amount and is insufficient to pay the bank transfer or other handling fees, the fund
The registration institution may automatically convert the cash dividends of fund share holders into corresponding fund shares. Bonus
The investment shall be calculated in accordance with the Business Rules.
7、 Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. See the prospectus for details
Definitely.
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Part XVII Accounting and Audit of the Fund
1、 Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the Fund Contract takes effect less than 2 months, it can be incorporated into the next accounting year
Annual disclosure;
3. The bookkeeping base currency for fund accounting is RMB yuan, and the bookkeeping unit is RMB yuan;
4. The accounting system shall implement the relevant national accounting system;
5. The Fund establishes accounts and accounts independently;
6. The Fund Manager and the Fund Custodian shall respectively keep complete accounting accounts and vouchers and conduct daily
Accounting and preparation of fund accounting statements in accordance with relevant regulations;
7. The Fund Custodian shall check with the Fund Manager on the accounting and statement preparation of the Fund every month
And confirmed in the way agreed in the custody agreement.
2、 Annual audit of the Fund
1. The Fund Manager's engagement of mutual independence with the Fund Manager and the Fund Custodian is consistent with the requirements of the People's Republic of China
The annual financial statements of the Fund prepared by the accounting firm and its certified public accountants as prescribed by the Securities Law of the Republic of China
Bank audit.
2. An accounting firm shall obtain the prior consent of the fund manager to change its certified public accountant.
3. The Fund Manager shall notify the Fund Custodian if it believes that there is sufficient reason to change the accounting firm. more
The change of accounting firm shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
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Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Liquidity Risk Management Regulations, Fund Contract and other relevant regulations. Information about relevant laws and regulations
In case of any change in the disclosure provisions, the Fund shall comply with its latest provisions.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the convening fund unit holders
Natural persons, legal persons and non -
Legal organization.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and in accordance with the law
Disclose fund information in accordance with regulations and the provisions of the CSRC, and ensure the authenticity, accuracy
Completeness, timeliness, simplicity and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, submit the fund letter that should be disclosed
National newspapers and periodicals (hereinafter referred to as "regulated newspapers and periodicals") that meet the requirements of the CSRC and
Internet websites (hereinafter referred to as "regulated websites") and other media as specified in the Measures for Information Disclosure, and guarantee that
Fund investors can consult or copy the letter of public disclosure according to the time and method agreed in the Fund Contract
Information.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the investment performance of securities and futures;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory words of any natural person, legal person or unincorporated organization;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. If a foreign language text is used at the same time, the fund
The obligor of information disclosure shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
The text shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the currency unit is RMB
Yuan.
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5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Prospectus, Fund Contract, Fund Custody Agreement, Fund Product Information Summary
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract and clarifies the basis
The rules and specific procedures for holding the general meeting of gold share holders, specifying the characteristics of the fund products and other matters related to fund investment
Legal documents on matters of vital interest.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information disclosure
Disclose the services of fund share holders. Information of the Fund Prospectus after the Fund Contract takes effect
In case of major changes, the Fund Manager shall update the Fund Prospectus and publish it within three working days
On the specified website; If other information in the prospectus changes, the fund manager shall update it at least annually
once. If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
3. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
4. The fund product information summary is a summary document of the fund prospectus, which is used to provide investors with a brief summary
General information of the fund. After the Fund Contract comes into force, the information in the fund product information summary has changed significantly
Furthermore, the fund manager shall update the summary of fund product information within three working days and publish it in the regulations
Website and fund sales agency website or business outlet; In case of any change in other information of the fund product profile,
The Fund Manager shall be updated at least once a year. If the operation of the fund is terminated, the fund manager will no longer update the fund products
Data summary.
After the application for fund raising is registered with the CSRC, the fund manager shall,
Publish the offering announcement of fund units, the indicative announcement of the prospectus and the indicative announcement of the Fund Contract
It shall be published in the required newspapers and periodicals, and the fund unit sale announcement, fund prospectus, fund product information summary
The Fund Contract and the Fund Custody Agreement are published on the specified website, and the summary of fund product information is published on
Website or business outlet of fund sales agency; The Fund Custodian shall simultaneously place the Fund Contract and the Fund in custody
The agreement is posted on the website.
（2） Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units on the specific matters concerning the sale of fund units, and
The prospectus was published on the specified media on the day of disclosure.
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（3） Announcement on the Effectiveness of the Fund Contract
The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC, publish the Fund on the specified media
Announcement of the effectiveness of the Contract.
（4） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager shall
When the net value of fund units and cumulative fund units of various fund units are disclosed at least once a week on the specified website
Net worth.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of, disclose all kinds of funds on the open day through the specified website, fund sales agency website or business outlets
The net value of the Fund units and the cumulative net value of the Fund units.
The Fund Manager shall disclose the information on the prescribed website no later than the next day after the last day of the half year and the year
The net value of fund units and the cumulative net value of fund units of all types of fund units on the year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall upload the base fund in the Fund Contract, Prospectus and other information disclosure documents
The calculation method of amount subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the sales agency looks up or copies the above information.
（6） Regular reports of the Fund, including annual reports, interim reports and quarterly reports of the Fund
The Fund Manager shall complete the annual report of the Fund within three months from the end of each year
The annual report is published on the specified website, and the advisory announcement of the annual report is published on the specified newspaper. Fund year
The financial accounting report in the report shall be certified by an accountant who complies with the Securities Law of the People's Republic of China
Audit by the firm.
The Fund Manager shall, within two months from the end of the first half of the year, prepare the interim report of the Fund and
The interim report is published on the specified website, and the suggestive announcement of the interim report is published on the specified newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter,
Publish the quarterly report on the specified website, and publish the suggestive announcement of the quarterly report on the specified newspaper.
If the Fund Contract takes effect less than two months ago, the Fund Manager may not prepare the current quarterly report
Periodic report or annual report.
In the report period, if a single investor holds 20% or more of the total fund shares
In order to protect the rights and interests of other investors, the fund manager shall at least report regularly on "influencing investors' decisions"
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The category, holding shares and proportion at the end of the reporting period, and report of the investor are disclosed under "Other important information of the policy"
Changes in shares held during the period and the unique risks of the Fund, except for special circumstances recognized by the CSRC.
The fund manager shall disclose the fund portfolio assets and their
Liquidity risk analysis, etc.
（7） Interim report
If a major event occurs to the Fund, the relevant information disclosure obligor shall prepare an interim report within 2 days,
And published on the specified newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
1. The convening and decisions of the general meeting of fund share holders;
2. Fund contract termination and fund liquidation;
3. Conversion of fund operation mode and fund merger;
4. Change of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Institution to handle the accounting, valuation, review and other matters of the Fund on its behalf;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The Fund Manager changes the actual control of shareholders holding more than 5% of the equity and the Fund Manager
Person change;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior management of the fund manager, fund manager and special fund custody department of the fund custodian
The person in charge changes;
10. If the directors of the Fund Manager have changed by more than 50% in the last 12 months, the Fund Manager
The main business personnel of the special fund custody department of the fund custodian have changed by more than one percent in the last 12 months
Thirty;
11. Litigation or arbitration involving fund property, fund management business and fund custody business;
12. The fund manager or its senior managers and fund managers are subject to
Major administrative punishment and criminal punishment, and the fund custodian or the head of its special fund custody department
Business related behaviors are subject to major administrative and criminal penalties;
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13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by the actual controller or a company that has a major interest relationship with it or certificates underwritten during the underwriting period
Securities, or other major related party transactions, unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Accrual standard and accrual of management fee, custody fee, sales service fee, subscription fee, redemption fee, etc
Changes in methods and rates;
16. The valuation error of the net value of any type of fund unit amounts to 0.5% of the net value of such type of fund unit;
17. The Fund begins to handle subscription and redemption;
18. The Fund is redeemed in large amount and postponed;
19. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
20. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
21. Major events of the Fund involving adjustment of subscription and redemption events, or potential impact on redemption of investors
Item;
22. Adjust the setting of fund share categories;
23. The Fund Manager adopts the swing pricing mechanism for valuation;
24. The Fund launches new businesses or services;
25. The price that the Fund Information Disclosure Obligor believes may be paid to the rights and interests of Fund Unitholders or Fund Units
Other matters that have a significant impact or other matters specified by the CSRC.
（8） Clarification announcement
During the duration of the Fund Contract, any public media or market circulation
The interest may have a misleading impact on the price of fund shares or cause major fluctuations, and may damage the fund shares
If the rights and interests of the relevant information disclosure obligor are known, it shall immediately make public clarification on the information.
（9） Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund unit holders shall be reported to the CSRC for record and announced in accordance with the law.
（10） Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to conduct a review of the fund assets in accordance with the law
Bank liquidation and make liquidation report. The fund assets liquidation team shall publish the liquidation report on the specified website,
And publish the suggestive announcement of the liquidation report on the prescribed newspapers and periodicals.
（11） The Fund Manager shall submit quarterly reports, interim reports and annual reports of the Fund
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The trading of stock index futures, including trading policies
Position, profit and loss, risk indicators, etc., and fully reveal the impact of stock index futures trading on the overall risk of the fund
Impact and compliance with established trading policies and objectives.
（12） The fund manager shall regularly report and recruit
The trading of treasury bond futures, including trading policies, positions
Profit and loss, risk indicators, etc., and fully reveal the impact of treasury bond futures trading on the overall risk of the Fund
Whether it conforms to the established trading policies and objectives.
（13） The Fund Manager shall regularly disclose information in quarterly reports, interim reports, annual reports, etc
Relevant information about participation in stock option trading, including investment policy, position, profit and loss
Risk indicators, valuation methods, etc., and fully reveal the impact of stock option trading on the overall risk of the fund and whether
Whether it conforms to the established investment policies and objectives.
（14） The Fund Manager shall disclose its asset support in the annual report and interim report of the Fund
The proportion of total securities, market value of asset-backed securities in the net assets of the fund and all asset-backed certificates during the reporting period
Details of coupons. The Fund Manager shall disclose the total amount of asset-backed securities and assets held by it in the quarterly report of the Fund
The proportion of the market value of the supporting securities in the net assets of the fund and the ranking by the proportion of the market value in the net assets of the fund at the end of the reporting period
List of top 10 asset-backed securities.
（15） The Fund shall make regular reports and recruitment instructions such as quarterly reports, interim reports and annual reports
Disclosure of participation in financing transactions, including investment strategy, business development, loss
Benefits, risks and management, etc.
（16） The Fund shall make regular reports and recruitment instructions such as quarterly reports, interim reports and annual reports
Relevant information about the Fund's participation in Hong Kong Stock Connect transactions is disclosed in the book (update) and other documents.
（17） Information disclosure during the implementation of the side pocket mechanism
Where the Fund implements the side pocket mechanism, relevant information disclosure obligors shall, in accordance with laws, regulations and fund contracts
And the prospectus. See the prospectus for details.
（18） Other information specified by the CSRC.
6、 Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system, designate special departments and
Senior management is responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information of the CSRC
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The disclosure content and format standards and other regulations.
The Fund Custodian shall comply with relevant laws and regulations, the provisions of the CSRC and the provisions of the Fund Contract
Determine the net asset value of the fund, the net asset value of the fund units of all types of fund units, and the fund shares prepared by the fund manager
Subscription and redemption price, regular fund report, updated prospectus, summary of fund product information, fund
The liquidation report and other publicly disclosed relevant fund information shall be reviewed and reviewed, and written to the fund manager
Or electronic confirmation.
The Fund Manager and the Fund Custodian shall choose one of the prescribed newspapers to disclose the information of the Fund.
The fund manager and the fund custodian shall submit the funds to be disclosed to the fund electronic disclosure website of the CSRC
Information, and ensure the authenticity, accuracy, integrity and timeliness of the information submitted.
The Fund Manager and the Fund Custodian may, in addition to disclosing information on the prescribed media according to law
Disclose information in other public media, but other public media shall not disclose information earlier than the specified media, and
The content of the same information disclosed on different media shall be consistent.
Special purpose of issuing audit report and legal opinion for the fund information publicly disclosed by the fund information disclosure obligor
Business institutions shall prepare working papers and keep relevant files at least 10% after the termination of the Fund Contract
Years.
In addition to disclosing information as required by laws and regulations, fund managers and fund custodians can also focus on investment
From the perspective of providing useful information when making decisions, we should ensure that investors are treated fairly, not mislead investors, and not affect the
Under the premise of normal investment operation, independently improve the quality of information disclosure services. The specific requirements shall meet the requirements of
Relevant provisions of the CSRC and self regulatory rules. In case of information disclosure fees arising from the aforesaid independent disclosure, such fees shall not
It may be disbursed from the fund assets.
7、 Storage and reference of information disclosure documents
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with the relevant laws and regulations
The regulations require that information be kept in their respective residences for public reference and reproduction.
8、 Suspension or delay of information disclosure
1. Force majeure;
2. Valuation suspension occurs;
3. Other circumstances specified by laws and regulations, the CSRC or the fund contract.
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Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian agree to make changes and make public announcements, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
The resolution shall be announced in the specified media within two days after it takes effect.
2、 Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation group: established within 30 working days from the date of termination of the fund contract
The Fund Assets Liquidation Team, which is organized by the Fund Manager under the supervision of the CSRC
Conduct fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers with securities and futures related business qualifications, and those designated by the CSRC
Personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Assets Liquidation Team shall take over the Fund assets in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
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(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period may be extended accordingly.
4、 Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
5、 Distribution of residual assets in the liquidation of fund assets
Deduct all remaining assets after the liquidation of the Fund assets from the Fund according to the distribution plan for the liquidation of the Fund assets
The fund held by the fund share holder shall be subject to the liquidation expenses, payment of taxes owed and settlement of fund debts
Share proportion.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the legal opinion shall be issued by the law firm and then submitted
The CSRC shall record and announce. The fund assets liquidation announcement shall be submitted to the CSRC in the fund assets liquidation report for filing
The Fund Assets Liquidation Group shall make a public announcement within 5 working days after the case, and the Fund Assets Liquidation Group shall liquidate
The report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper.
7、 Preservation of fund assets liquidation books and documents
The fund asset liquidation account book and relevant documents shall be kept by the fund custodian for a period not less than that prescribed by laws and regulations
The specified minimum period.
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Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
Where the provisions of laws and regulations or the fund contract stipulate that damage is caused to the fund assets or fund unit holders,
They shall be liable for compensation for their respective acts according to law; Fund assets or fund shares due to joint actions
If the holder causes damage, he shall bear joint and several liability for compensation. Compensation for losses shall be limited to direct losses.
2、 Where a party to a fund contract violates the fund contract and causes losses to other parties to the fund contract,
It shall be liable for compensation. However, the party concerned shall be exempted from liability under the following circumstances:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall comply with the then effective laws and regulations or the regulations of the CSRC
Losses caused by acts or omissions;
3. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss caused, etc.
3、 To protect the interests of fund share holders to the greatest extent in the event of breach of contract by one or more parties
If the Fund Contract can continue to be performed, it shall continue to be performed. The non defaulting party is in office
Within the scope of responsibility, it is obliged to take necessary measures in time to prevent the expansion of losses. Failure to take appropriate measures resulted in
If the loss is further expanded, no claim may be made for compensation for the expanded loss. The non defaulting party paid for preventing the loss from expanding
The reasonable expenses incurred shall be borne by the defaulting party.
4、 Due to factors beyond the control of the Fund Manager and the Fund Custodian, business errors occur
Although the Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection, they fail to
In case of finding or failing to avoid errors or finding errors but failing to correct them in time due to the above reasons
The Fund Manager and the Fund Custodian shall be exempted from compensation liability for any loss of the Fund property or investors. But the fund
The Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
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Part XXI Dispute Settlement and Applicable Law
All parties agree that all disputes arising from or in connection with the Fund Contract
If they are unwilling or unable to settle the dispute through consultation or mediation, either party has the right to submit the dispute to Shanghai State
The International Economic and Trade Arbitration Commission shall, in accordance with the arbitration rules of the Shanghai International Economic and Trade Arbitration Commission then in effect
Arbitration. The place of arbitration shall be Shanghai. The arbitral award is final and binding on all parties.
Unless otherwise determined by the arbitration award, the arbitration fee shall be borne by the losing party.
During the period of dispute resolution, the Fund Manager and the Fund Custodian shall abide by their respective responsibilities and continue to be faithful
Fulfill the obligations specified in the Fund Agreement diligently and responsibly, and safeguard the legitimate rights and interests of the Fund Unitholders.
The Fund Contract is governed by the laws of China (for the purpose of this Fund Contract, Hong Kong and Macao Special Administrative Region are excluded here
Other administrative regions and Taiwan).
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Part XXII Effect of Fund Contract
The Fund Contract is a legal document that stipulates the rights and obligations between the parties to the Fund Contract.
1. The Fund Contract shall be sealed by the Fund Manager and the Fund Custodian with the official seal or special seal for contract
The legal representatives or authorized representatives of both parties sign (sign or seal) and the fund is managed after the raising
A person shall go through the fund filing procedures with the CSRC and take effect after the CSRC's written confirmation.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the time when the liquidation results of the Fund assets are reported to the CSRC
The date of filing and announcement.
3. From the effective date of the Fund Contract
All parties to the Fund Contract, including persons, shall have the same legal binding force.
4. The original of the Fund Contract is in triplicate. In addition to reporting one copy to the relevant regulatory authority
The Fund Custodian shall hold one copy and each copy shall have the same legal effect.
5. The Fund Contract can be printed in a volume for investors to use in the Fund Manager, Fund Custodian and Sales Machines
Check the office and business premises of the organization.
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Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall consult with each other in accordance with relevant laws and regulations
It shall be settled through negotiation.
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Part XXIV Summary of the Fund Contract
1、 Rights and obligations of fund share holders, fund managers and fund custodians
（1） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Manager include
But not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If the person violates the Fund Contract and relevant national laws and regulations, it shall be reported to the CSRC and other regulatory departments
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Refuse or suspend acceptance of subscription, redemption and conversion within the scope agreed in the Fund Contract
apply;
(12) Exercise relevant rights against the invested company for the benefit of the Fund in accordance with laws and regulations
Interests Exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager or
To commit other legal acts;
(15) Select and replace law firms, accounting firms, securities/futures brokers or others
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External institutions providing services by the Fund;
(16) Formulate and adjust relevant fund subscription and application on the premise of compliance with relevant laws and regulations
Business rules such as purchase, redemption, conversion, fixed investment and non trading transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
But not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are mutually independent
Separate management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
Do not entrust a third person to operate the fund property if they seek benefits for themselves or any third person;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and announced in accordance with the relevant provisions
Interest, determining the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
And reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. Except Fund
Unless otherwise specified in the Law, the Fund Contract and other relevant provisions, the Fund shall be insured before the public disclosure of fund information
It is confidential and will not be disclosed to others. However, due to the requirements of regulatory authorities, judicial authorities and other competent authorities
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Except those provided by external professional consultants such as law consultants;
(13) Determine the fund income distribution plan as agreed in the Fund Contract, and timely hold
Someone distributes the fund income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene Fund Unitholders in accordance with the Fund Law, the Fund Contract and other relevant provisions
To convene a general meeting of fund unit holders in accordance with the law or in cooperation with the fund custodian and fund unit holders;
(16) Keep accounting books, statements, records and others of fund property management business activities as required
Relevant data shall not be less than the minimum period specified by laws and regulations;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
And ensure that investors can check the information about the fund at any time according to the time and method specified in the Fund Contract
Relevant public materials, and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, clearing and evaluation of fund assets
Price, realization and distribution;
(19) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
In the case of legal rights and interests, it shall bear the liability for compensation, and its liability for compensation shall not be exempted by its retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract,
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall
The interests of the holders shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the third party
Responsibility for the conduct of fund affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise litigation rights or implement
Other legal acts;
(24) The Fund Contract cannot take effect if the Fund fails to meet the filing conditions for the Fund during the raising period,
The Fund Manager shall bear all the raising costs, and pay the raised funds at
Return to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
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(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operating Measures and other relevant provisions, the rights of the Fund Custodian include
But not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
And national laws and regulations, causing significant losses to the fund property and the interests of other parties
Shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) In accordance with the relevant market rules, it is necessary to open capital accounts, securities accounts and other investments for the Fund
Other accounts, to handle the clearing of securities/futures trading funds for the fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operating Measures and other relevant provisions, the obligations of the Fund Custodian include
But not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
Ensure the safety of the fund property, and ensure that the fund property under its custody is different from the fund custodian's own property
The fund assets of are mutually independent; Set up separate accounts for different funds under custody, conduct independent accounting and separate accounts
Management to ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
To seek benefits for oneself and any third party, it is not allowed to entrust a third party to trust the fund property;
(5) Custody of major contracts and certificates related to the Fund signed by the Fund Manager on behalf of the Fund
Syndrome;
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(6) Opening other accounts required for investment such as fund accounts and securities accounts of fund assets as required,
In accordance with the provisions of the Fund Contract and the investment instructions of the Fund Manager, clearing and delivery shall be handled in a timely manner
Matters;
(7) Keep fund business secrets, unless otherwise specified in the Fund Law, the Fund Contract and other relevant regulations
In addition to the regulations, the fund information shall be kept confidential before public disclosure, and shall not be disclosed to others
Except as required by competent authorities such as judicial authorities or provided to external professional consultants such as audit and law consultants;
(8) Review and review the net asset value of the fund calculated by the fund manager and the fund shares of various fund units
Net amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To give opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund,
Explain whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract;
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state that the Fund Custodian is
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities no less than
The minimum period stipulated by laws and regulations;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) Pay fund income to fund share holders in accordance with the instructions of the fund manager or relevant regulations
And redemption payments;
(15) Convene the holding of fund units in accordance with the Fund Law, the Fund Contract and other relevant provisions
The National People's Congress or the Fund Manager and the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and realization of fund assets
And distribution;
(18) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And the banking regulatory authority, and notify the fund manager;
(19) In case of any loss of fund property due to violation of the Fund Contract, it shall be liable for compensation
The liability for compensation shall not be exempted due to his retirement;
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(20) Supervise the Fund Manager to perform his/her own duties in accordance with laws, regulations and the Fund Contract
Obligation. The Fund Manager shall hold
The fund manager is required to recover the interests of others;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（3） Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract
Yes, the fund investor will become the holder of the fund unit when he/she obtains the fund unit in accordance with the Fund Contract
And the parties to the Fund Contract until they no longer hold the Fund units of the Fund. Fund share holding
As a party to the Fund Contract, it is not necessary to sign or seal the Fund Contract in writing
Pieces.
Each fund unit of the same category has the same legal rights and interests. As the Class A fund shares of the Fund and C
The difference of net value of fund units of Class A fund units, the amount of fund income distribution and the remaining amount after participating in liquidation
The amount of the remaining fund assets may vary.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Including but not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) Convene a general meeting of fund unit holders or a general meeting of fund unit holders as required
meeting;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Unitholders
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Including but not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Provide the information required by the fund manager and regulatory authority according to law, and update and
Supplement and guarantee its authenticity;
(10) Comply with the relevant transactions and
Business rules;
(11) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized by the fund unit holders
Representatives have the right to attend and vote on behalf of fund share holders. Each base held by fund share holders
Gold shares have equal voting rights.
The National People's Congress of the holders of Fund units does not have a daily institution.
（1） Reason for convening
1. Unless otherwise stipulated by laws and regulations and the CSRC or the fund contract
A general meeting of fund unit holders shall be held if one of the following matters is to be decided:
(1) Terminate the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian or increase the sales service fees;
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(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund shares that individually or collectively hold more than 10% (including 10%) of the total fund shares
Amount holders (calculated based on the fund shares on the day when the fund manager receives the proposal, the same below) on the same matter
To request the convening of a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other fund units that shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters of the general meeting of shareholders.
2. Within the scope of laws and regulations and the Fund Contract, and within the scope of the existing fund share holders
Provided that there is no material adverse effect, the following circumstances may be negotiated between the Fund Manager and the Fund Custodian
Modification without convening a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate
Reduce the redemption rate or sales service fee, change the charging method or adjust the setting of fund unit category
Adjust the share classification methods and rules;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) To the extent permitted by laws and regulations and the Fund Contract, the Fund Manager, the registration authority
The fund sales agency adjusts the subscription, subscription, redemption, conversion, fund transaction, non transaction transfer and transfer
Trusteeship and other business rules;
(6) After performing appropriate procedures, the Fund launches new businesses or services;
(7) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
（2） Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
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The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The Fund Unitholders representing more than 10% (including 10%) of the Fund Units have written requests on the same matter
To convene a general meeting of fund share holders, a written proposal shall be submitted to the fund manager. The Fund Manager shall
Decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify the proposed fund units in writing
The holder's representative and the fund custodian. If the Fund Manager decides to convene the meeting, it shall issue a written decision from the date of issuance
Held within 60 days; The Fund Manager decides not to convene the meeting, which represents the basis of more than 10% (including 10%) of the Fund shares
If the gold share holders still think it necessary to hold the meeting, they shall submit a written proposal to the Fund Custodian. Gikinto
The custodian shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and notify in writing the proposed
Representatives of fund share holders and fund managers; If the Fund Custodian decides to convene the meeting, it shall issue a written document
The Fund Manager shall be convened and notified within 60 days from the date of the decision, and the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of the fund shares request a meeting on the same matter
If the Fund Unitholders' General Meeting is not convened by the Fund Manager or the Fund Custodian, it shall be held separately or jointly
Form The fund share holders with more than 10% (including 10%) of the fund shares have the right to convene at least 30 days in advance
Daily report to China Securities Regulatory Commission for filing. Where a fund unit holder convenes a general meeting of fund unit holders on his own according to law,
The Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
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(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and
Contact information and contact person, deadline for sending voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund management in writing separately
People go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall
The Fund Manager and the Fund Custodian shall be notified in writing to go to the designated place to supervise the counting of votes
Du. If the Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes
The counting effect of the voice vote.
（4） Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations, supervision
The convener of the meeting shall determine other methods allowed by the administrative authority.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
Representatives shall attend the on-site meeting. The authorized representatives of the Fund Manager and the Fund Custodian shall attend the fund units as nonvoting delegates
The voting effect shall not be affected if the Fund Manager or the Fund Custodian does not send representatives to attend the shareholders' meeting. present
The agenda of the general meeting of Fund Unitholders can be held when the following conditions are met at the same time:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
And the provisions of the notice of the meeting, and the vouchers for holding fund shares and the registered capital held by the fund manager
Material conformity;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than the base of the Fund on the equity registration date
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1/2 of the total fund units, the convener may hold the fund unit holders' meeting at 3
The General Meeting of Fund Unitholders shall be reconvened within six months after the expiration of six months on the matters originally scheduled for deliberation. Recall
The effective fund units represented by the participants of the general meeting of fund unit holders on the equity registration date shall not be less than
One third (including one third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other methods specified in the announcement of the general meeting of fund unit holders shall be served to the convener before the deadline for voting
Address designated by. The correspondence meeting shall be held in writing or otherwise specified in the announcement of the general meeting of fund unit holders
Voting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) The convener of the meeting shall publish the notice of the meeting in accordance with the Fund Contract, and within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in the fund
Under the supervision of the custodian (or the fund manager if the fund custodian is the convener) and the notary office
Collect the voting opinions of fund share holders in the manner specified in the notice of the meeting; Fund Custodian or Fund Custodian
If the manager fails to participate in the collection of voting opinions upon notification, the voting effect shall not be affected;
(3) If he/she directly issues voting opinions or authorizes others to issue voting opinions, the fund shares
The fund shares held by someone shall not be less than half (including half) of the total fund shares on the equity registration date
1） ; Fund share holders who directly issue voting opinions or authorize others to issue voting opinions on their behalf
If the fund units held are less than half of the total fund units on the equity registration date, the convener may
Within 3 months and 6 months after the announced time of the general meeting of fund unit holders
The general meeting of fund unit holders shall be reconvened. The reconvened general meeting of fund unit holders shall have representatives
The holders of more than one third (including one third) of the fund units directly issue voting opinions or authorize others
The representative issues the voting opinion;
(4) Fund share holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinions, the certificate of holding the fund units submitted at the same time, and the resolution of the trustee to issue the statement
See the certificate of fund shares held by the principal and the proxy voting authorization certificate of the principal issued by the agent
It clearly complies with the provisions of laws and regulations, the Fund Contract and the notice of the meeting, and is consistent with the records of the fund registration authority
Symbol.
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3. The Fund Unitholders of the Fund may also adopt
Authorize its agent to attend the general meeting of fund unit holders in other non written ways, which can be adopted
Written, network, telephone, SMS or other means, the specific way shall be determined by the convener of the meeting and communicated at the meeting
Listed in the knowledge; The Fund may also adopt other off-site methods or on-site parties
The general meeting of fund share holders shall be held in a combination of on-site and off-site methods, and the meeting procedures shall be compared with on-site meetings
The procedures of the meeting and communication are carried out. Fund share holders may use written, online, telephone
The specific method of voting by SMS or other means shall be determined by the convener of the meeting and listed in the meeting notice.
（5） Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings are major matters that affect the interests of fund share holders, such as the major issues of the Fund Contract
Revise, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and other funds
Merger, other matters specified in laws and regulations and the Fund Contract, and the basis that the convener of the meeting deems necessary to submit
Other matters discussed at the general meeting of gold share holders.
Modification of the original proposal after the convener of the general meeting of fund unit holders sends the notice of convening the meeting
It shall be announced in time before the general meeting of fund unit holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine the
The scrutineers shall be determined and announced, and then the presider of the meeting shall read out the proposal, vote after discussion, and form
Meeting resolution. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
If the Fund Custodian fails to preside over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the base
If neither the authorized representative of the Fund Manager nor the authorized representative of the Fund Custodian can preside over the meeting
More than 50% (including 50%) of the voting rights held by gold share holders and agents shall elect one fund share
The holder shall be the chairman of the general meeting of fund unit holders. Refusal of the Fund Manager and the Fund Custodian
Attendance at or presiding over the general meeting of fund unit holders shall not affect the effectiveness of the resolutions made at the general meeting of fund unit holders
power.
The convener of the meeting shall prepare the signature book of the attendees. The signature book indicates the surname of the participants
Name (or unit name), ID document number, fund shares held or represented with voting rights, entrustment
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Person name (or unit name) and contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the organ.
（6） Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except as provided in the second item below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Change the operation mode of the fund
To change the Fund Manager or Fund Custodian, terminate the Fund Contract, and merge the Fund with other funds
No resolution shall be valid until it is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary in the counting of votes
Investors who submit the voting documents confirming the identity of investors as specified in the notice of the meeting shall be deemed to be effectively present,
The voting opinions that apparently meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions are ambiguous or conflicting
Dun shall be deemed as abstention from voting, but shall be included in the fund represented by the fund share holder who issues the voting opinion
Total number of shares.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the meeting is held by
Although the Fund Unitholders themselves or the general meeting is convened by the Fund Manager or the Fund Custodian
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If the Fund Manager or Fund Custodian fails to attend the meeting, the chairperson of the Fund Unitholders' meeting shall be present
At the beginning of the meeting, it was announced that three representatives of fund share holders would be elected from among the fund share holders present at the meeting
Serve as scrutinizer. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has any concerns about the voting results submitted
In case of doubt, the number of votes required can be counted again immediately after the announcement of the voting results. The scrutineer shall enter
The line shall be re counted only once. After the re counting, the presider of the conference shall announce the re counting on the spot
New counting results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the meeting are based
Supervision of the authorized representative of the Fund Custodian (or the authorized representative of the Fund Manager if convened by the Fund Custodian)
And the notary office shall notarize the counting process. Fund Manager or Fund Custodian
Refusal to send representatives to supervise the counting of votes shall not affect the counting and voting results.
（8） Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
keep on record.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the specified media within 2 days from the effective date. If using
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the full text of the notarial certificate
The name of the notary office and the notary shall be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective holding of fund units
Resolution of the General Meeting of the People. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders and funds
The Manager and the Fund Custodian are both binding.
（9） Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund shares or voting rights refers to the holding of main pocket shares
The fund shares or voting rights held or represented by the person and the side pocket unit holder respectively meet these proportions, but if
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If the matters to be convened and deliberated at the relevant fund unit holders' meeting do not involve the side pocket account, it only refers to the main pocket units
The fund shares or voting rights held or represented by the holder conform to such proportion:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund units held by the holder shall not be less than half (including two) of the relevant fund units on the equity registration date
1/1);
4. The fund units held by the fund unit holders who participate in the voting of the fund unit holders' meeting are small
One half of the relevant fund units on the equity registration date, and the fund unit holders previously announced by the convener
Fund units reconvened within 6 months and 3 months after the date of the meeting on the matters originally scheduled for consideration
The general meeting shall be attended by holders representing more than one-third (including one-third) of the relevant fund units
Or authorize others to vote at the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to two percent of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
Each fund share in the same main side pocket account has equal voting rights.
（10） This part deals with the reasons, conditions and procedures for convening the general meeting of fund share holders
The voting conditions and other provisions, which directly refer to the laws and regulations, such as the revision of laws and regulations in the future
If the relevant content is cancelled or changed, the fund manager can directly modify the content of this part after announcing in advance
There is no need to convene a general meeting of fund share holders to review the changes and adjustments.
3、 Fund income distribution principle and implementation method
（1） Principle of fund income distribution
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1. On the premise of complying with the relevant fund dividend terms, the Fund shall distribute its income at least once a year,
The distribution proportion of each income shall not be less than 80% of the distributable profits, and the specific distribution plan shall be subject to the announcement,
If the Fund Contract takes effect less than 3 months ago, no income distribution is required;
2. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose cash
Cash dividends or reinvestment of cash dividends automatically into corresponding types of fund units; If investors do not choose
Yes, the default income distribution method of the Fund is cash dividends;
3. After the distribution of fund income, the net value of various fund units cannot be lower than the par value, that is, the fund income distribution benchmark
The net value of various fund units on the day after deducting the income distribution amount of each unit of such fund units cannot be lower than
Value;
4. As Class A fund units of the Fund do not charge sales service fees, while Class C fund units charge sales service fees
Service fees, the distributable income corresponding to each fund share category will be different. Each of the funds of the same category
Fund units enjoy equal distribution rights;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In compliance with laws and regulations and the fund contract, and without material adverse effect on the interests of fund share holders
Under the premise of "Yes", the fund manager can adjust the principle of fund income distribution without convening fund shares
General Meeting of Holders.
（2） Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund is formulated by the Fund Manager and reviewed by the Fund Custodian
The relevant provisions of the Information Disclosure Measures are announced in the specified media.
4、 Withdrawal, payment method and proportion of expenses related to fund property management and utilization
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 1.2% of the net asset value of the Fund on the previous day. Calculation of management fee
The method is as follows:
H=E × 1.2% ÷ 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 calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian has checked the consistency, the Fund Custodian shall negotiate with the Fund Manager in the following month
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It shall be paid to the fund manager in a lump sum from the fund property within the first five working days. In case of legal holidays and rest
If the payment cannot be made on time due to force majeure, the payment date shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. Calculation of custody fee
The calculation method is as follows:
H ＝ E × 0.20% ÷ 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 calculated daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian has checked the consistency, the Fund Custodian shall negotiate with the Fund Manager in the following month
One time withdrawal from the fund property within the first five working days. In case of legal holidays, rest days or force majeure
If the payment cannot be made on time, the payment date shall be postponed.
3. Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and the annual rate of sales service fee for Class C fund units
0.60%. The fund sales service fee will be used exclusively for the market promotion, sales and fund share holding of the fund
Someone is available.
The sales service fee for Class C fund units is calculated at the annual fee rate of 0.60% of the net asset value of Class C fund units on the previous day
Raise. 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 the fund on the previous day for Class C fund units
The fund sales service fee is calculated daily, accumulated to the end of each month day by day, and paid monthly by the fund manager
After checking with the Fund Custodian, the Fund Custodian shall negotiate with the Fund Manager in the following manner:
One time payment from the fund property to each sales agency or one time payment to the fund within 5 working days before the month
The manager shall pay the funds to each fund sales agency on behalf of the fund manager. In case of legal holidays, rest days or
If the payment cannot be made on time due to force majeure, the payment date shall be postponed.
5、 Investment direction and investment restrictions of the Fund assets
（1） Investment scope
The investment scope of the Fund is financial instruments with good liquidity, including domestic legal issuance and listing
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Shares and depositary receipts (including the main board, GEM and other securities approved or registered by the CSRC
Stocks and depositary receipts), Hong Kong stocks and bonds (including national bonds, local government bonds, financial bonds
Corporate bonds, corporate bonds, publicly issued subordinated bonds, convertible bonds, and pure bonds of separately traded convertible bonds
Exchangeable bonds, central bank bills, medium-term bills, short-term corporate bonds of securities companies, short-term financing
Bonds, ultra short-term financing bonds, etc.), bond repurchase, money market instruments, bank deposits, interbank deposit receipts, assets
Support securities, stock index futures, treasury bond futures, stock options, laws and regulations or the CSRC's permit
Other financial instruments of gold investment (subject to the relevant provisions of the CSRC).
The Fund will participate in financing business in accordance with laws and regulations. For example, after laws and regulations or regulatory authorities
The Fund is allowed to invest in other varieties, and the Fund Manager may include them in the investment scope after performing appropriate procedures
Waist.
The investment portfolio proportion of the Fund is: the investment proportion of stock assets is 60% - 95% of the Fund's assets (including
The proportion of the shares invested in Hong Kong Stock Standard accounted for 0-50% of the stock assets); Dividends defined for investment in the Fund
The proportion of subject stocks in non cash fund assets shall not be less than 80%; At the end of each trading day
The Fund shall maintain cash or
The total investment proportion of government bonds with maturity within one year shall not be less than 5% of the net asset value of the fund, of which,
Cash does not include provisions for settlement, deposits and subscription receivables.
（2） Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of investment in the Fund's stock assets is 60% - 95% of the Fund's assets (including investment in Hong Kong Stock Connect
The proportion of the underlying stock accounts for 0-50% of the stock assets); Invest in dividend themed stocks defined by the Fund
The proportion of cash fund assets shall not be less than 80%;
(2) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund does not exceed the total amount of the Fund
Assets, the number of shares declared by the Fund shall not exceed the total number of shares issued by the company to be issued this time;
(3) At the end of each trading day, after deducting stock index futures, treasury bond futures and stock option contracts
After the transaction margin of, the Fund shall maintain no less than 5% of the net asset value of the Fund in cash or the maturity date is one year
Government bonds within, of which cash does not include provisions for settlement, deposits and subscription receivables;
(4) The Fund holds the market value of securities issued by a company (the same company in China and Hong Kong
A+H shares listed on the market at the same time) shall not exceed 10% of the net asset value of the fund;
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(5) All funds managed by the Fund Manager hold securities issued by one company (the same company
A+H shares listed at the same time in the domestic and Hong Kong markets), not more than 10% of the securities;
(6) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(7) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20％；
(8) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
10% of the size of the asset-backed securities;
(9) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(10) The Fund shall invest in asset-backed securities with a credit rating of BBB or above (including BBB).
During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment standards, it shall
All the rating reports shall be sold within 3 months from the date of release;
(11) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(12) The Fund's participation in treasury bond futures and stock index futures trading shall comply with the following investment proportion restrictions:
1) At the end of any trading day, the value of stock index futures contracts purchased held by the Fund shall not exceed
10% of net asset value; The value of treasury bond futures contracts held by the Fund at the end of any trading day,
Shall not exceed 15% of the net asset value of the Fund;
2) The value of treasury bond futures and stock index futures contracts held by the Fund at the end of any trading day
The sum of market values of securities shall not exceed 95% of the net asset value of the fund; Among them, marketable securities refer to stocks and bonds
Securities (excluding government bonds with maturity of less than one year), asset-backed securities, redemptory financial assets for sale
(excluding pledge repurchase), etc;
3) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund shall not exceed that of the Fund
20% of the total market value of the shares held; Futures contracts for selling treasury bonds held by the Fund at the end of any trading day
The value shall not exceed 30% of the total market value of bonds held by the Fund;
4) The market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold, total (netting
Calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment; Bonds held by the Fund
(excluding government bonds with a maturity date of less than one year) market value and the value of treasury bond futures contracts purchased and sold,
The total amount (netting calculation) shall comply with the relevant provisions of the fund contract on the proportion of bond investment;
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5) The transaction amount of stock index futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 20% of the net asset value of the Fund on the previous trading day; The Fund trades on any trading day (excluding
The transaction amount of the treasury bond futures contract (closing position) shall not exceed 30% of the net asset value of the fund on the previous trading day;
(13) If the Fund participates in financing business, at the end of each trading day, the purchase of financing held by the Fund
The sum of the market value of stocks and other securities shall not exceed 95% of the net asset value of the fund;
(14) All open-ended funds managed by the Fund Manager (including open-ended funds and open funds
The holding of tradable shares issued by a listed company shall not exceed that of the listed company
15% of the outstanding shares; All investment portfolios managed by the Fund Manager are issued by a listed company
Of the tradable shares of the listed company shall not exceed 30% of the tradable shares of the listed company;
(15) The Fund deals with private securities asset management products and other entities recognized by the CSRC
If the counterparty carries out reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment agreed in the fund contract
Consistent scope;
(16) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the net assets of the Fund
15% of the value. Due to fluctuations in the securities market, stock suspension of listed companies, changes in fund size and other fund managers
If the fund does not meet the proportion limit specified in this article due to factors other than the above, the fund manager shall not take the initiative to increase liquidity
Investment in sexually restricted assets;
(17) The proportion limit of the Fund's investment in depositary receipts shall be subject to the domestic listed stocks, and
Consolidated calculation of shares listed and traded in China;
(18) If the Fund participates in stock option trading, it shall comply with the following investment proportion restrictions:
1) The total amount of premium paid and received by the Fund due to open position option contracts shall not exceed the fund assets
10% of net worth;
2) Where the Fund opens positions to sell call options, it shall hold sufficient underlying securities; Open put option
Should hold the full amount of cash required for the exercise of the contract or the offsetting option margin recognized by the rules of the Exchange
Cash equivalents;
3) The par value of the option contracts with open positions of the Fund shall not exceed 20% of the net asset value of the Fund. Wherein
The nominal value is calculated by multiplying the exercise price by the contract multiplier;
(19) Other investment restrictions stipulated by laws and regulations, the CSRC and the fund contract.
Except for items (3), (10), (15) and (16) above
Factors other than the fund manager, such as pedestrian merger and fund size change, cause the fund investment proportion to be inconsistent with the above
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If the investment proportion is specified, the fund manager shall make adjustment within 10 trading days, but the CSRC
Except for special circumstances specified. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months from the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the fund contract. During the above period, the investment scope and investment strategy of the Fund shall comply with
Agreement of the Fund Contract. The Fund Custodian's supervision and inspection of the Fund's investment has taken effect since the Fund Agreement came into force
Starting from.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions, but
It shall be announced in advance.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities
Active:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, unless otherwise stipulated by laws and regulations or the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by international controllers or companies with significant interests with them or certificates underwritten during the underwriting period
Securities, or other major related party transactions, shall comply with the investment objectives and investment strategies of the Fund
In accordance with the principle of giving priority to the interests of fund share holders, prevent conflicts of interest, establish and improve the internal approval mechanism and
The evaluation mechanism shall be implemented according to the fair and reasonable price in the market. Relevant transactions must be approved by the Fund Custodian in advance
Agreed and disclosed in accordance with laws and regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review,
And passed by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall, at least semi annually
Transaction matters shall be reviewed.
Laws, administrative regulations or regulatory authorities cancel or adjust the above prohibitive provisions, if applicable to the Base
After the Fund Manager performs the appropriate procedures, the investment of the Fund will no longer be subject to relevant restrictions or adjusted
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Implementation of the provisions of.
6、 Calculation method and announcement method of fund net asset value
（1） Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
（2） Valuation method
1. Valuation of listed securities
(1) Securities (including stocks, etc.) listed on the stock exchange shall be listed on the stock exchange on the valuation date
Valuation of the market price (closing price) of the card; There is no transaction on the valuation date, and the economic environment has not occurred since the most recent transaction date
In case of major changes or no major event affecting the securities price occurs to the securities issuer
Market price (closing price) valuation; If the economic environment has changed significantly or the securities issuer has
In case of major events affecting the securities price, the current market price and major changes of similar investment varieties can be referred to
Adjust the market price of the latest transaction and determine the fair price;
(2) For the non equity fixed income varieties that have been listed or listed for transfer, select the third-party valuation basis
The full valuation price of the corresponding varieties provided by the quasi service agency on the current day shall be evaluated;
(3) For listed or listed fixed income varieties with rights (including bonds converted into equity)
(external), select the unique full valuation price or recommendation of the corresponding varieties provided by the third-party valuation benchmark service agency on the current day
Valuation at full price; For fixed income varieties including the investor's right to put back, if the right to put back is exercised
Select the corresponding varieties provided by the third-party valuation benchmark service agency between the resale registration date and the actual collection date
The full price of the sole valuation or the full price of the recommended valuation, and full consideration should be given to the fair value of the issuer's credit risk changes
Value impact. If the right to sell back is not exercised after the deadline (including the date) of the registration period for sale back, it shall be subject to a long waiting period
Evaluate the corresponding price;
(4) There is an active market for publicly issued convertible bonds listed on the exchange market
For bonds including equity conversion, the closing price on the valuation date is selected as the full valuation price for bonds subject to full price trading; implement
For bonds traded at net price, the closing price on the valuation date and the accrued interest per hundred yuan before tax shall be taken as the full valuation price.
2. The securities in the unlisted period shall be handled according to the following circumstances:
(1) The new shares issued for stock dividend, conversion, allotment and public issuance shall be listed on the stock exchange on the valuation date
The valuation method of the same stock; If there is no transaction on that day, the market price (closing price) of the latest day shall be used for evaluation
Value.
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(2) For the initial public offering of unlisted shares, the fair value is determined using valuation techniques
If it is difficult to reliably measure the fair value, it shall be valued at cost.
(3) For unlisted or unlisted fixed income varieties, if there is an active market,
The unadjusted quotation in the active market shall be taken as the fair value on the valuation date; For active market quotation
If it can represent the fair value on the valuation date, the market quotation should be adjusted to confirm the fair value on the valuation date
Value; If there is no active market, it should be applicable and profitable in the current situation
The fair value is determined by valuation techniques supported by data and other information.
(4) Circulating restricted shares, including non-public offering shares and shareholders of the company at the time of initial public offering
Public offering of shares, shares with limited sales period obtained through block trading, etc
Determine the fair value according to relevant regulations.
3. Where the same bond or stock is traded in two or more markets at the same time
The market is valued separately.
4. Valuation methods for investment securities derivatives
(1) The fair value of the rights to share allotment due to the holding of shares shall be determined by valuation techniques for valuation.
If it is difficult to reliably measure the fair value by valuation technology, the valuation shall be carried out at cost.
(2) The stock index futures contract is valued at the settlement price of the financial futures exchange on the valuation date, and there is no delivery on that date
If it is easy, it shall be valued at the settlement price of the latest day.
(3) Treasury bond futures contracts are generally valued at the settlement price on the valuation day, and there is no settlement price on the valuation day
If there is no significant change in the economic environment after the most recent trading day, the settlement price on the most recent trading day shall be adopted
Value.
(4) Stock option contracts are generally valued at the settlement price on the valuation day, and there is no settlement price on the valuation day
If there is no significant change in the economic environment after the most recent trading day, the settlement price on the most recent trading day shall be adopted
Value.
5. Valuation method of deposits
Time deposits or call deposits held by banks are listed as principal and confirmed day by day according to the agreement or contract interest rate
Interest income. In case of early withdrawal or change of interest rate, the Fund Manager shall timely adjust the accounts.
6. On the valuation date of the Fund, the stocks invested by the Hong Kong Stock Connect shall be valued at their closing prices on the Hong Kong Stock Exchange; Valuation date
If there is no transaction, the valuation shall be based on the closing price of the latest trading day.
On the fund valuation date, the valuation of foreign currency securities assets held by Hong Kong Stock Connect involves the exchange of Hong Kong dollars to RMB
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The central parity rate of RMB exchange rate published by the People's Bank of China or its authorized institution on that day, or
It can reflect the exchange rate of fair value for valuation.
If the current valuation exchange rate of the Fund is no longer published or has significant changes, or there is a more fair market
When the valuation exchange rate that is more suitable for the Fund is allowed, the Fund Manager and the Fund Custodian may, upon consensus
Adjust the valuation exchange rate of the Fund according to the actual situation, and report to the CSRC for filing in a timely manner. There is no need to hold fund shares
General meeting of holders.
7. In case of large amount purchase or redemption, the swing pricing mechanism can be adopted to ensure the fund evaluation
The fairness of the value.
8. The valuation of the Fund's investment depositary receipts shall be calculated in accordance with the stocks listed and traded in China.
9. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
Value.
10. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there is anything new
The valuation is based on the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method specified in the fund contract
If the procedures and relevant laws and regulations fail to fully protect the interests of fund share holders
Inform the other party, find out the reason together, and the two parties will solve it through consultation.
According to relevant laws and regulations, the obligation of calculating the net asset value of the fund and accounting of the fund is managed by the fund
People bear. The fund manager is the fund accounting responsible party of the Fund, so it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality
See, according to the calculation results of the fund manager on the net value of the fund, it shall be published to the public.
（3） Net fund value information
After the Fund Contract takes effect and before the subscription or redemption of fund units, the Fund Manager
The net value of fund units and the accumulated fund units of various fund units shall be disclosed at least once a week on the specified website
Net value.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of the day, disclose all kinds of open day bases through the specified website, fund sales agency website or business outlets
Net value of fund units and cumulative net value of fund units of gold units.
The Fund Manager shall disclose on the prescribed website no later than the next day after the last day of the half year and the year
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Net value of fund units and cumulative net value of fund units of all types of fund units in the half year and the last day of the year.
7、 Causes and procedures for the dissolution and termination of the Fund contract and the liquidation method of the Fund assets
（1） Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian agree to make changes and make public announcements, and report to the CSRC for filing.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
The resolution shall be announced in the specified media within two days after it takes effect.
（2） Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation group: established within 30 working days from the date of termination of the fund contract
The Fund Assets Liquidation Team, which is organized by the Fund Manager under the supervision of the CSRC
Conduct fund liquidation.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants and lawyers with securities and futures related business qualifications, and those designated by the CSRC
Personnel composition. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation
Valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Assets Liquidation Team shall take over the Fund assets in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
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(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period may be extended accordingly.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
（5） Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of the fund assets, all remaining assets after the liquidation of the fund assets shall be deducted from the
After the fund assets liquidation expenses, payment of taxes owed and settlement of fund debts
The proportion of fund units shall be distributed.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the legal opinion shall be issued by the law firm and then submitted
The CSRC shall record and announce. The fund assets liquidation announcement shall be submitted to the CSRC in the fund assets liquidation report for filing
The Fund Assets Liquidation Group shall make a public announcement within 5 working days after the case, and the Fund Assets Liquidation Group shall liquidate
The report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper.
（7） Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for a period not less than that prescribed by law
The minimum period specified in the regulations.
8、 Dispute resolution
The parties agree that all matters arising from or related to the Fund Contract
If the dispute is unwilling or cannot be settled through consultation or mediation, either party has the right to submit the dispute to
The Shanghai International Economic and Trade Arbitration Commission
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Arbitration rules. The place of arbitration shall be Shanghai. The arbitral award is final and binding on all parties
binding force. Unless otherwise determined by the arbitration award, the arbitration fee shall be borne by the losing party.
During the dispute settlement period, the Fund Manager and the Fund Custodian shall strictly abide by their respective responsibilities and continue to be loyal to each other
Fulfill the obligations specified in the Fund Agreement in a practical, diligent and responsible manner, and safeguard the legitimate rights of the Fund Unitholders
Benefits.
The Fund Contract is governed by the laws of China (for the purpose of this Fund Contract, Hong Kong and Macao are excluded here
Special Administrative Region and Taiwan).
9、 Depository of fund contracts and ways for investors to obtain fund contracts
The Fund Contract can be printed in a volume for investors to use in the Fund Manager, Fund Custodian and Sales Machines
Check the office and business premises of the organization.
There is no text on this page, which is the signature page of the Fund Contract of Xingzheng Global Dividend Hybrid Securities Investment Fund.
Fund manager: Xingzheng Global Fund Management Co., Ltd. (official seal or special seal for contract)
Legal representative or authorized representative: (signature or seal)
Fund Custodian: Industrial Bank Co., Ltd. (official seal or special seal for contract)
Legal representative or authorized representative: (signature or seal)
Signed at: Shanghai
Signed on: