Nordisk China Securities Inter bank Deposit Receipt AAA Index
7-day holding period securities investment fund
Fund contract
Fund Manager: Nord Fund Management Co., Ltd
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
catalog
Part I Foreword one
Part II Definitions three
Part III Basic Information of the Fund eight
Part IV Sale of Fund Units ten
Part V Fund Filing twelve
Part VI Subscription and Redemption of Fund Units thirteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-two
Part VIII General Meeting of Fund Unitholders twenty-nine
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian thirty-eight
Part X Custody of the Fund forty-one
Part XI Registration of Fund Units forty-two
Part XII Investment of the Fund forty-four
Part XIII Assets of the Fund fifty
Part XIV Valuation of Fund Assets fifty-one
Part XV Fund Fees and Taxes fifty-seven
Part XVI Income and Distribution of the Fund sixty
Part XVII Accounting and Audit of the Fund sixty-two
Part XVIII Information Disclosure of the Fund sixty-three
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy
Part XX Liability for Breach of Contract seventy-three
Part XXI Dispute Settlement and Applicable Law seventy-four
Part XXII Effectiveness of Fund Contract seventy-five
Part XXIII Other Matters seventy-six
Part XXIV Summary of Fund Contract seventy-seven
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 of the parties to the Fund Contract,
Standardize fund operation.
2. The Fund Contract is concluded on the basis of the Civil Code of the People's Republic of China and the Securities Law of the People's Republic of China
(hereinafter referred to as the "Securities Law"), the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the "Fund")
Law of the People's Republic of China on Public Offering of Securities Investment Funds (hereinafter referred to as the "Operation Measures")
Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Institutions (hereinafter referred to as "Sales Measures")
Administrative Measures for Information Disclosure of Securities Investment Funds (hereinafter referred to as "Information Disclosure Measures"), Public Offering
Provisions on Liquidity Risk Management of Open ended Securities Investment Funds (hereinafter referred to as "Provisions on Liquidity Risk Management")
Guidelines for the Operation of Publicly Offered Securities Investment Funds No. 3 - Guidelines for Index Funds (hereinafter referred to as "Index Funds")
Citation) and other relevant laws and regulations.
3. The principles for concluding this Fund Contract are equality, voluntariness, honesty and credibility, and full protection of the legitimate rights and interests of investors.
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 related to the rights and obligations between the parties to the fund contract, in case of conflict with the fund contract,
All are subject to the fund contract. The parties to the fund contract enjoy rights in accordance with the Fund Law, the fund contract and other relevant provisions
Assume obligations.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. Self reliance of fund investors
When the Fund units are acquired under this Fund Contract, they become the Fund unit holders and the parties to this Fund Contract, who hold the Fund units
The amount itself indicates its recognition and acceptance of the fund contract.
3、 The 7-day holding period securities investment fund of Nordisk China Securities Inter bank Certificate of Deposit AAA Index is held by the fund manager in accordance with the Fund Law
The fund contract and other relevant regulations have been raised and approved by the China Securities Regulatory Commission (hereinafter referred to as the "CSRC")
Registration.
The registration of the Fund raised by the CSRC does not indicate that the CSRC has confirmed the investment value and market prospects of the Fund
Qualitative judgment or assurance does not mean that there is no risk in investing in the Fund.
The main operation mode of the Fund is set to allow investors to make daily subscription, but a 7-day lock is set for each fund unit
During the lock up period, the fund unit holder cannot apply for redemption of the fund unit. Minimum holding in corresponding fund shares
After the expiration date of the term and the minimum holding period, the fund unit holders may apply for redemption. Fund share holding
The lock up period of the reinvested shares of dividends obtained from the fund units (original units) held by the investor shall be calculated according to the lock up period of the original units.
At the same time, the Fund Manager shall handle redemption within one month from the effective date of the Fund Agreement
The risk that the Fund units cannot be redeemed even though the shortest term has expired.
4、 The Fund Manager shall manage and use the Fund assets in accordance with the principles of due diligence, good faith, prudence and diligence, but
There is no guarantee that investment in the Fund will be profitable, nor is there any guarantee of minimum return.
Investors should carefully read the fund prospectus, fund contract, fund product information summary and other information disclosure documents,
To independently judge the investment value of the fund, make investment decisions and bear investment risks.
The Fund Manager and the Fund Custodian disclose the information related to the Fund outside the Fund Contract, which involves definition
If there is any conflict between the rights and obligations of the parties to the fund contract and the fund contract, the fund contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of are inconsistent, the provisions of the then effective laws and regulations shall prevail.
6、 The Fund is an index fund. Investors who invest in the Fund face tracking error control and fail to reach the agreed target and index
See the Prospectus of the Fund for details of potential risks such as the preparation institution's suspension of services, suspension of trading of component bonds or default.
7、 When the Fund holds specific assets and there are or potential large redemption applications, the Fund Manager shall perform corresponding procedures
Later, the side pocket mechanism can be activated. See the relevant sections of the fund contract and prospectus for details. During the implementation of the side pocket mechanism,
The Fund Manager will carry out special identification on the fund abbreviation and will not handle the subscription and redemption of side pocket account. Please hold fund units
I carefully read the relevant content and pay attention to the specific risks when the Fund uses the side pocket mechanism.
8、 The number of fund units held by a single investor of the Fund shall not reach or exceed 50% of the total number of fund units, but
Except that the fund passively reaches or exceeds 50% due to redemption of fund units and other circumstances during the operation of the fund. Laws, regulations or regulators
If there are other provisions, such provisions shall prevail.
Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to the 7-day holding period securities investment fund of Nordisk CSI AAA Index
2. Fund Manager: Nord Fund Management Co., Ltd
3. Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
4. Fund contract: refers to the 7-day holding period securities investment fund contract of Nordisk China Securities Inter bank Deposit Receipt AAA Index and
Any effective amendments and supplements to the Fund Agreement
5. Custody Agreement: refers to the "Nordisk China Securities Inter bank Deposit Certificate AAA" signed between the Fund Manager and the Fund Custodian in connection with the Fund
Securities Investment Fund Custody Agreement with a Holding Period of 7 Days and any effective amendment and supplement to the Custody Agreement
6. Prospectus: Refers to the Prospectus of Nord China Securities Inter bank Deposit Receipt AAA Index 7-day Holding Period Securities Investment Fund
And its updates
7. Summary of fund product information: Refers to the 7-day holding period securities investment fund of Nordisk China Securities Inter bank Certificate of Deposit AAA Index
Product Data Summary and its updates
8. Announcement on the sale of fund shares: refers to the 7-day holding period securities investment fund of Nordisk China Securities Inter bank Certificate of Deposit AAA Index
Unit Offering Announcement
9. Laws and regulations: refer to the laws, administrative regulations, normative documents, judicial interpretations
Administrative rules and other decisions, resolutions and notices that are binding on the parties to the fund contract
10. Securities Law: refers to the sixth session of the Standing Committee of the Ninth National People's Congress held on December 29, 1998
Adopted at the meeting, and approved by the 11th Meeting of the Standing Committee of the Tenth National People's Congress on August 28, 2004
Decision on Amending the Securities Law of the People's Republic of China
Revised for the first time at the 18th Meeting of the Standing Committee of the National People's Congress by the 12th National People's Congress on June 29, 2013
Twelve laws including the Revision of the Law of the People's Republic of China on the Protection of Cultural Relics at the Third Meeting of the Standing Committee of the National Congress
Decision of the Standing Committee of the Twelfth National People's Congress on August 31, 2014
The Decision on Amending Five Laws Including the Insurance Law of the People's Republic of China was revised for the third time in 2019
On December 28, the second revised "The People's Republic of China" issued at the 15th meeting of the Standing Committee of the 13th National People's Congress
Securities Law of the People's Republic of China and amendments made by the promulgating authority from time to time
11. The Fund Law refers to the fifth session of the Standing Committee of the Tenth National People's Congress held on October 28, 2003
Adopted at the meeting and amended at the 30th meeting of the Standing Committee of the Eleventh National People's Congress on December 28, 2012
The Standing Committee of the Twelfth National People's Congress on April 24, 2015
The 14th session of the Standing Committee of the National People's Congress on Amending the Port Law of the People's Republic of China
Securities Investment Fund Law of the People's Republic of China as amended by the Decision of the Ministry of Law of the People's Republic of China
book
12. "Sales Measures": refers to the "Public Security Measures" issued by the CSRC on August 28, 2020 and implemented on October 1 of the same year
Measures for the Supervision and Administration of Securities Investment Fund Sales Agencies and the amendments made by the issuing authority from time to time
13. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019 and implemented on September 1 of the same year,
Public Offering, as amended by the Decision of the CSRC on Amending Some Securities and Futures Regulations on March 20, 2020
Measures for the Administration of Information Disclosure of Securities Investment Funds and amendments made by the promulgating authority from time to time
14. "Operation Measures": refer to the "Publicity Measures" issued by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Administrative Measures for the Operation of Raised Securities Investment Funds and amendments made by the promulgating authority from time to time
15. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017 and October 1 of the same year
The Regulations on Liquidity Risk Management of Open ended Securities Investment Funds Publicly Offered implemented and the regulations issued by the issuing authority from time to time
revise
16. Index Fund Guidelines: promulgated by the CSRC on January 18, 2021 and implemented on February 1 of the same year
Guidelines for the Operation of Publicly Offered Securities Investment Funds No. 3 - Guidelines for Index Funds and the regulations issued by the promulgating authority from time to time
revise
17. China Securities Regulatory Commission: China Securities Regulatory Commission
18. Banking regulatory authority: refers to the People's Bank of China and/or the State Administration of Financial Supervision and Administration
19. Parties to the fund contract: refer to the laws that are bound by the fund contract and enjoy rights and assume obligations according to the fund contract
Entities, including fund managers, fund custodians and fund share holders
20. Individual investor: refers to a natural person who can invest in securities investment funds according to relevant laws and regulations
21. Institutional investors: refer to those who can invest in securities investment funds according to law and are legally registered in the People's Republic of China
Enterprise legal persons, institutional legal persons, social organizations or other organizations that exist or are established and exist with the approval of relevant government departments
22. QFII: refers to qualified foreign institutional investors and RMB qualified foreign institutional investors
The Measures for the Administration of Domestic Securities and Futures Investment (including its amendments from time to time) and relevant laws and regulations stipulate the use of funds from abroad
Foreign institutional investors investing in domestic securities and futures, including qualified foreign institutional investors and RMB qualified foreign institutions
Structuring investors
23. Investors, investors: individual investors, institutional investors, qualified foreign investors, and laws, regulations or
The collective name of other investors allowed by the CSRC to purchase securities investment funds
24. Fund share holders: refer to investors who legally acquire fund shares in accordance with the fund contract and prospectus
25. Fund sales business: refers to the fund manager or sales agency opening a fund trading account for investors to promote
Fund, handle the sale, subscription, redemption, conversion, transfer of custody, fixed investment of fund units and provide fund transaction account information
Query and other businesses
26. Sales agency: Nordisk Fund Management Co., Ltd. and the company that complies with the Sales Measures and the provisions of the CSRC
Other conditions: obtaining the qualification for fund sales business and signing a fund sales service agreement with the fund manager to handle fund sales
Organization selling business
27. Registration business: refers to fund registration, custody, transfer, clearing and settlement business, including investor base
Establishment and management of gold accounts, registration of fund shares, confirmation, clearing and settlement of fund sales business, agency distribution of dividends
Establish and maintain the register of fund share holders and handle non transaction transfer, etc
28. Registration agency: refers to the agency that handles registration business. The registration authority of the Fund is Nordisk Fund Management Co., Ltd. or
The agency entrusted by Nord Fund Management Co., Ltd. to handle registration business on behalf of Nord Fund, and the registration agency of the Fund is Nord Fund
Management Co., Ltd
29. Fund account: refers to the fund opened by the registration institution for the investor, which records the fund held by the investor and managed by the fund manager
Account for the balance of gold shares and their changes
30. Fund transaction account: it refers to the account opened by the sales agency for the investor and recorded that the investor handles the confirmation through the sales agency
Account of fund unit change and balance caused by purchase, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
31. The effective date of the fund contract: means that the fund raising meets the conditions stipulated by laws and regulations and the fund contract, and the fund management
The date on which the manager completed the fund filing procedures with the CSRC and obtained the written confirmation from the CSRC
32. The termination date of the fund contract refers to the date when the fund assets are liquidated after the causes for the termination of the fund contract specified in the fund contract occur
The date when the liquidation results are reported to the CSRC for filing and announced
33. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering, which shall not exceed
3 months
34. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
35. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
36. T day: refers to the open day on which the sales institution accepts the subscription, redemption or other business applications of investors at the specified time
37. T+n day: refers to the nth working day from T day (excluding T day), and n is a natural number
38. Lock up period: The Fund is open for subscription on every open day, but investors are subject to a minimum of
The minimum holding period is 7 days. For each fund unit, the minimum holding period refers to the effective date of the fund contract (for
For subscription units, the same below) or from the confirmation date of subscription of fund units (for subscription units, the same below) to the fund contract
The period from the effective date or the seventh day from the date of confirmation of subscription of fund units. Before the Fund starts to handle redemption business or at the shortest time
The Fund Unitholders cannot apply for redemption before the maturity date (excluding the date). The Fund begins to handle redemption business
After the expiration date of the shortest holding period and the expiration date of the shortest holding period of the corresponding fund units, the fund unit holders may
Apply for redemption.
39. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
40. Opening Hours: refers to the time period when the fund accepts subscription, redemption or other transactions on the open day
41. Business Rules: refer to the Business Rules for Registration of Nord Fund Management Co., Ltd., which regulate fund management
The business rules on the registration of open-ended securities investment funds managed by the manager shall be jointly observed by the fund manager and investors
42. Subscription: during the fund raising period, investors apply for the purchase of funds in accordance with the provisions of the fund contract and prospectus
Behavior of gold share
43. Subscription: after the Fund Contract comes into effect, investors apply for the purchase of the Fund in accordance with the provisions of the Fund Contract and the Prospectus
Behavior of gold share
44. Redemption: means that after the Fund Contract comes into effect, the Fund Unitholders shall comply with the conditions specified in the Fund Contract and the Prospectus
The act of requesting the conversion of fund units into cash
45. Fund conversion: refers to the Fund Unitholders' compliance with the provisions of the Fund Agreement and the then effective announcement of the Fund Manager
And apply to convert the fund units of a fund managed by the fund manager to others managed by the fund manager
Behavior of Fund Units
46. Transfer of custody: refers to the fund shares held by fund share holders who change between different sales agencies of the Fund
Operation of sales organization
47. Fixed investment plan: refers to the application submitted by the investor through the relevant sales agency to agree on the subscription date, deduction amount and
The sales agency will automatically complete the deduction and acceptance basis in the bank account designated by the investor on the agreed deduction date of each period
An investment method for gold subscription application
48. Large redemption: refers to the net redemption application of the Fund on a single open day (the total number of redemption application units plus the Fund
The balance after deducting the total number of subscription application units and the total number of transfer in application units in fund conversion from the total number of transfer out application units in conversion
Amount) more than 10% of the total fund shares of the last open day
49. RMB: refers to RMB
50. Fund profit: refers to fund interest income, investment income, income from changes in fair value and other income deduction
Balance after expenses
51. Total value of fund assets: refers to various securities owned by the fund, principal and interest of bank deposits, fund receivables and
The total value of his assets
52. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
53. 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
54. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine the net value of fund assets and the fund
Process of net share value
55. Regulated media: national newspapers and periodicals that meet the conditions specified by the CSRC for information disclosure (the following
Referred to as "regulated newspapers") and Internet websites (including fund managers' websites, funds
Custodian website, CSRC fund electronic disclosure website, hereinafter referred to as "regulated website") and other media
56. Sales service fee: It refers to the amount withdrawn from the fund property and used for the market promotion, sales and fund shares of the Fund
Fees for holder services
57. Liquidity restricted assets: refer to assets that cannot be priced at a reasonable price due to laws and regulations, supervision, contracts or operational barriers
Assets to be realized, including but not limited to reverse repurchase and fixed bank deposit with maturity of more than 10 trading days
(including bank deposits conditionally withdrawn in advance as agreed in the agreement), suspended shares, new shares with restricted circulation and non-public shares
Notes, asset-backed securities, bonds that cannot be transferred or traded due to the issuer's debt default, etc
58. Swing pricing mechanism: refers to the method of adjusting the net value of fund units when the Fund is subject to large purchase and redemption,
Allocate the market shock cost of the fund's adjusted portfolio to the investors who actually apply for and redeem, thus reducing the impact on the stock base
The adverse impact on the interests of gold share holders to ensure that the legitimate rights and interests of investors are not damaged and are treated fairly
59. Side pocket mechanism: It refers to the separation of specific assets in the fund portfolio from the original account to a special account
The purpose of disposal and liquidation is to effectively isolate and defuse risks and ensure that investors are treated fairly, which belongs to liquidity risk management
Management tools. During the implementation of the side pocket mechanism, the original account is called the main pocket account and the special account is called the side pocket account
60. Specific assets: including: (I) There is no active market price to refer to and the fair price is still caused by the use of valuation techniques
Assets with significant uncertainty in value; （2） The asset value is still caused by the measurement at amortized cost and provision for asset impairment
Assets with significant uncertainty; （3） Other assets with significant uncertainty in value
61. Force majeure: refers to objective events that cannot be foreseen, avoided and overcome by the parties to the fund contract
The above definitions involve laws, regulations and business rules. After the revision of laws, regulations and business rules, if applicable
The relevant contents of the fund shall be subject to the revised laws, regulations and business rules.
Part III Basic Information of the Fund
1、 Fund name
Nordisk China Securities Inter bank Deposit Receipt AAA Index 7-day Holding Period Securities Investment Fund
2、 Category of fund
Hybrid securities investment fund
3、 Operation mode of the fund
Contractual and open
The Fund is open for subscription every open day, but each fund unit subscribed/subscribed by investors is subject to the minimum holding period,
The minimum holding period is 7 days.
For each fund unit, the minimum holding period refers to the effective date of the fund contract (for subscription units, the same below) or the fund
From the confirmation date of share subscription (for subscription units, the same below) to the effective date of the fund contract or the confirmation date of share subscription
The period from the 7th day to the 7th day. Before the Fund starts to handle redemption business or before the expiration date of the shortest holding period (excluding the day),
Fund unit holders cannot apply for redemption. After the Fund starts to handle redemption business
After the expiration date of the holding period and the expiration date of the shortest holding period, fund share holders may apply for redemption.
Due to force majeure or other circumstances agreed in the fund contract, the fund manager is unable to hold the lock up period of the fund unit
If the redemption of such fund units is opened on time after the expiration of the period, it shall be postponed to force majeure or other circumstances agreed in the fund contract
The next working day from the date of elimination of the influencing factors.
4、 Investment objectives of the Fund
The Fund adopts passive indexation investment and adopts strict investment discipline and quantitative risk management measures to
Realize effective tracking of the benchmark index.
5、 Target index
The underlying index of the Fund is the AAA index of China Securities Interbank Deposit Certificates.
6、 Total amount and amount of minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million. The fund raised amount shall not be less than 200 million yuan.
7、 Selling face value and subscription fees of fund units
The selling face value of the Fund units is RMB 1.00.
The Fund does not charge subscription fees.
8、 Duration of the Fund
Irregular
9、 Upper limit of initial raising scale
The Fund may set a ceiling on the size of the initial offering. See the Prospectus or
Announcement on the Offering of Fund Units. If the Fund sets a ceiling on the size of the initial offering, the fund contract will not be subject to the size of this offering after it takes effect
Limitations.
10、 Fund share category
The specific setting and rate level of the Fund unit category shall be determined by the Fund Manager, and shall be recorded in the Prospectus and the Fund
Listed in the product data summary. Without violating the provisions of laws and regulations and the fund contract, and without harming the interests of fund share holders
On the premise of profit, the Fund Manager may, upon consensus with the Fund Custodian, add additional funds for the Fund according to the development needs of the Fund
New share categories, or stop the sale of existing fund share categories, or adjust the setting and classification of existing fund share categories
Methods and rules, change of charging method, rate level, etc. Different subscription fees, redemption fees
Sales service fees and other rates. Adjust the classification methods and rules of fund units and follow the Information
The relevant provisions of the Disclosure Measures shall be announced on the specified media without the need to convene a general meeting of fund share holders.
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 announcement on the sale of fund units for the specific time of sale.
2. Way of sale
The Fund is sold through the fund sales outlets of each sales agency or in other ways provided by the fund manager and sales agency
For the launch of the offering, please refer to the Fund Unit Offering Announcement and the Fund Manager's website for the specific list of each sales agency.
3. Target
Individual investors, institutional investors and qualified overseas investors who can invest in securities investment funds in accordance with laws and regulations
Investors and other investors permitted by laws and regulations or the CSRC to purchase securities investment funds. The Fund Manager has the right to
The scope of the offering objects shall be further limited, and the specific offering objects can be found in the announcement of fund unit offering and the fund manager at that time
Relevant announcements issued.
2、 Subscription of Fund Units
1. Subscription fee
The Fund does not charge subscription fees.
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 owned by the fund unit holders, of which
The specific amount of interest transfer 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 handling method of the balance of subscription units is listed in the prospectus.
5. Confirmation of subscription application
The acceptance of the subscription application by the sales agency does not mean that the application is necessarily successful, but only that the sales agency has received it
Subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration authority. For subscription application and confirmation of subscription shares,
Investors shall timely inquire and properly exercise their legal rights.
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 can limit the minimum subscription amount of each fund transaction account. Please refer to
See the prospectus or relevant announcements.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period. Specific restrictions and penalties
Please refer to the Prospectus or relevant announcements for details.
4. Investors can subscribe for fund units for many times during the raising period, and the accepted subscription applications are not allowed to be withdrawn.
5. The concentration of the Fund units held by a single investor shall not reach or exceed 50%
The proportion of fund shares held by the fund manager reaches or exceeds 50%, or the fund manager evades 50% concentration in a disguised way
Right to take control measures.
Part V Fund Filing
1、 Conditions for Fund Filing
The total number of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units
The fund raising period expires or
The Fund Manager may decide to stop the sale of the Fund in accordance with laws, regulations and the Prospectus, and employ a statutory capital verification machine within 10 days
The organization shall, within 10 days from the date of receiving the capital verification report, go through the fund filing procedures with the CSRC.
If the fund raising meets the requirements for fund filing, the fund manager shall complete the fund filing procedures and obtain the approval from the CSRC
The Fund Contract will come into force from the date of written confirmation; Otherwise, the Fund Contract will not take effect. The fund manager is receiving
The CSRC will announce the effectiveness of the Fund Contract on the next day after the confirmation document. The Fund Manager shall
The funds raised between the two parties shall be deposited into a special account and shall not be used by anyone before the end of the fund raising.
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, and add the current deposit of the same period in the bank
Interest;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration. Fund manager
All expenses paid by the fund custodian and the sales institution for the fund raising shall be borne by each party.
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 share holders is less than 200 or the fund
Where the net asset value is less than 50 million yuan, the fund manager shall disclose it in the regular report; 60 consecutive jobs
In case of any of the above situations, the Fund Manager shall report to the CSRC and propose solutions within 10 working days,
For example, continue to operate, change the operation mode, merge with other funds or terminate the fund contract, and convene the fund within 6 months
General meeting of gold share holders.
If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales agency will be announced by the fund manager in the recruitment
It shall be listed in the written form or on the fund manager's website. The fund manager can change or increase or decrease the sales agencies according to the situation, and
People's website publicity. The fund investor shall provide funds at the sales agency's business premises or as the sales agency
To handle the subscription and redemption of fund units in other ways. If the fund manager or its designated sales agency opens a telephone
The investors can apply for and redeem the real or online transactions through the above methods.
2、 Opening day and time of subscription and redemption
1. Minimum holding period
The Fund sets the minimum holding period for fund unit holders to hold fund units.
For each fund unit, the minimum holding period refers to the period from the effective date of the fund contract or the confirmation date of fund unit subscription to the fund
The period from the effective date of the contract or the seventh day from the date of confirmation of subscription of fund units. Before the Fund starts to handle redemption business or before
Prior to the expiration date of the short holding period (excluding that day), fund share holders cannot apply for redemption. The Fund begins to process redemption
After returning to business, the fund units shall hold
People can apply for redemption.
2. Open Day and Opening Hours
The investor shall handle the subscription of fund units on the open day, and the fund unit holder shall
The redemption application of corresponding fund units can be submitted from the expiration date (including the date) of the shortest holding period of each fund unit. Shen
The specific handling time of the purchase and redemption business is the first time of the Shanghai Stock Exchange, Shenzhen Stock Exchange and the national inter-bank market
Trading hours on regular trading days, but the Fund Manager shall, in accordance with laws and regulations, the requirements of the CSRC or the provisions of the Fund Contract
Except for announcement of suspension of subscription and redemption.
After the Fund Contract comes into effect, if there is a new trading time in the securities trading market, stock exchange and national inter-bank market
In case of change or other special circumstances, the Fund Manager will adjust the aforesaid opening days and hours accordingly, but
It shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date.
3. Start date of subscription and redemption and business handling time
The Fund Manager shall apply for subscription within 3 months from the effective date of the Fund Contract, and the specific business shall be handled at
It is stipulated in the announcement of subscription start.
The Fund Manager shall handle redemption and transfer out within one month from the effective date of the Fund Contract
The handling time shall be specified in the announcement of the beginning of redemption and conversion transfer out. After the Fund starts to handle redemption business
Fund share holders can only propose corresponding fund shares from the expiration date (including the date) of the shortest holding period of such fund shares
Redemption application of the amount. If an investor subscribes to the Fund for many times, the minimum holding period of each fund unit held by him/her will expire
Dates may vary.
After determining the starting time of subscription and redemption, the Fund Manager shall, prior to the opening day of subscription and redemption
The start time of subscription and redemption shall be announced on the specified media in accordance with the relevant provisions of the Measures.
The Fund Manager shall not handle the subscription, redemption or
transformation. The investor submits an application for subscription, redemption or conversion on a date and time other than that specified in the fund contract and the registration authority confirms that
If accepted, the subscription, redemption or conversion price of the fund units shall be the price of subscription and redemption of the fund units on the next open day.
For fund units that have not yet met the lock up period requirements, the investor's application for redemption or conversion out is not valid.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices are based on the net value of fund units calculated after the closing of the application day
Calculation;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager;
4. Redemption shall follow the principle of "first in, first out", that is, redemption shall be carried out in the order of investors' subscription and subscription;
5. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure the cooperation of investors
Legal rights and interests shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles if permitted by laws and regulations. The fund manager must be in the new
Before the implementation of the rules, they shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must apply for purchase or redemption within the specific business handling time on the opening day according to the procedures specified by the sales agency
Return the application.
2. Payment of subscription and redemption funds
When subscribing for fund units, investors must pay the subscription amount in full within the specified time, otherwise the subscription submitted
The application is not established. The investor must hold sufficient fund unit balance when submitting the redemption application, otherwise the submitted redemption application
Please fail. The investor pays the subscription amount and the subscription is established; The subscription takes effect when the registration authority confirms the fund units. fund
The unit holder submits the redemption application and the redemption is established; The redemption takes effect when the registration institution confirms the redemption.
After the redemption application takes effect, the Fund Manager will pay the redemption amount within T+7 days (including that day). In case of giant
The payment method of the redemption amount or other circumstances specified in the fund contract that suspend the redemption or postpone the payment of the redemption amount
Refer to the relevant provisions of the fund contract. In case of data transmission delay, communication system failure
The bank data exchange system failure or other factors beyond the control of the fund manager and the fund custodian affect the business processing
Process, the time of redemption payment shall be postponed to the next working day when the above factors are eliminated.
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 application for subscription or redemption
Day (T day), under normal circumstances, the Fund's registration authority will confirm the effectiveness of the transaction within T+1 day. T day
For the valid application submitted, the investor shall timely go to the sales outlet counter after T+2 day (including that day) or follow the regulations of the sales agency
Query the confirmation status of the application in other ways specified. If the subscription is not established or 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 the sales agency
The application has been received. The confirmation of subscription and redemption application shall be subject to the confirmation result of the registration institution or the fund manager. about
Investors shall timely inquire about the confirmation of the application and properly exercise their legal rights. Due to the investor's delay in performing the inquiry
The Fund Manager, the Fund Custodian and other fund sales institutions shall not be liable for the loss of their relevant rights and interests due to their obligations
Loss or adverse consequences caused. If the application is not confirmed by the registration authority, the investor shall bear the loss
Dan.
The Fund Manager may adjust the above principles if permitted by laws and regulations. The fund manager must be in the new
Before the implementation of the rules, they shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
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 the minimum amount of each redemption
Please refer to the prospectus or relevant announcements for specific provisions.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor. Please refer to
See the prospectus or relevant announcements.
3. The fund manager can stipulate the upper limit of the fund shares held by a single investor. For details, please refer to the recruitment
Written statement or relevant announcement.
4. When accepting the application for subscription has a potentially significant adverse effect on the interests of the holders of stock fund units, the fund manager
Have the right to 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, refuse to purchase in large amounts, and suspend
Such measures as fund purchase shall effectively protect the legitimate rights and interests of the holders of stock fund units. Based on investment operation and
For the need of risk control, the above measures can be taken to control the fund size. See the relevant announcement of the Fund Manager for details.
5. The Fund Manager may, if permitted by laws and regulations, adjust the above specified subscription amount and the number of redeemed shares
Limitations. The fund manager must make an announcement on the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the adjustment is implemented.
6、 Purchase and redemption prices, fees and their uses
1. The calculation of the net value of the Fund units shall be retained to 4 decimal places, and the fifth decimal place shall be rounded off to produce
The resulting gains or losses shall be borne by the fund property. The net value of fund units on T day shall be calculated after the close of the day, and shall be paid within T+1 day
Dew. In case of special circumstances, the calculation or announcement may be delayed appropriately after performing appropriate procedures.
2. Calculation of subscription units and treatment of balance: calculation and treatment of subscription units and balance of the Fund
See the Prospectus for details. The Fund does not charge subscription fees.
3. Calculation of redemption amount and treatment of balance: calculation and treatment of redemption amount and balance of the Fund
See the Prospectus for details. The unit of redemption amount is yuan. The Fund does not charge redemption fees.
4. The specific calculation method of the subscription units of the Fund, the specific calculation method of the redemption amount and the charging method are managed by the Fund
The manager shall be determined in accordance with the provisions of the fund contract and listed in the prospectus. The Fund Manager may, in accordance with relevant laws and regulations
Regulate or adjust the rate or charging method within the scope agreed in the fund contract, and the new rate or charging method shall be adopted at the latest
Prior to the implementation date, it shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
5. In case of large amount purchase or redemption of the Fund, the Fund Manager may adopt the swing pricing mechanism to ensure
Fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws and regulations as well as regulatory authorities and self-discipline rules
Provisions of.
6. The Fund Manager and other fund sales institutions may, without violating the provisions of laws and regulations and the Fund Contract
In the case of the above, a certain discount will be given to the fund sales expenses. See the fund manager for the relevant rules and procedures of rate preference
Or other relevant announcements or notices issued by fund sales institutions at that time. The fund manager can target specific investors (such as
Laojin customers, etc.) will carry out rate discount activities, which will be announced in advance.
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. In case of suspension of fund asset valuation as stipulated in the fund contract, the fund manager may suspend accepting the investor's application
Purchase application.
3. The trading hours of the stock exchange and the national inter-bank market are abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
4. When accepting a certain application or some applications for subscription may affect or damage the interests of existing fund share holders.
5. The size of the fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other factors that may affect the fund industry
The performance has a negative impact, or other circumstances have damaged the interests of existing fund share holders.
6. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date, after consultation and confirmation with the fund custodian,
The fund manager shall suspend accepting the application for fund subscription.
7. The Fund Manager's acceptance of certain or certain subscription applications may lead to the proportion of fund units held by a single investor
It reaches or exceeds 50%, or avoids 50% concentration in disguised form.
8. The Fund Manager, the Fund Custodian, the Fund Sales Agency or the Registration Agency are caused by technical failure or abnormal conditions
The fund sales system, fund registration system, fund accounting system or securities registration and clearing system cannot operate normally.
9. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to refuse or suspend the subscription under any of the above circumstances of suspension in Item 1, 2, 3, 5, 6, 8 and 9
When accepting an investor's application for subscription, the Fund Manager shall publish the rejection or suspension of the application on the specified media in accordance with the relevant provisions
Purchase announcement. In case of the above circumstance (7), the Fund Manager may apply to the investor by means of proportional confirmation, etc
The Fund Manager shall have the right to reject all or part of the application for subscription. If the investor's purchase application
Please be rejected. The principal of the rejected subscription will be returned to the investor, and the Fund Manager and Fund Custodian will not be responsible for such return
Interest and other losses arising from payment collection. When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription business in a timely manner
Handling.
8、 Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption funds:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. In case of suspension of the valuation of fund assets as stipulated in the fund contract, the fund manager may suspend accepting the redemption of investors
Return the application or postpone the payment of redemption money.
3. The trading hours of the stock exchange and the national inter-bank market are abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
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 Fund Manager may temporarily
Stop accepting redemption applications of fund unit holders.
6. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date, after consultation and confirmation with the fund custodian,
The Fund Manager shall suspend the payment of redemption funds or the acceptance of fund redemption applications.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
Under any of the above circumstances, the Fund Manager decides to suspend accepting the redemption application of the Fund Unitholders or postpone the payment
When redeeming the funds, the Fund Manager shall report to the CSRC for filing as required. For the confirmed redemption application, the Fund Manager shall
Pay in full; If the payment cannot be made in full for the time being, the payable part shall be divided according to the proportion of the application amount of a single account in the total application amount
Allocating redemption applicants, the unpaid part can be deferred, and the specific deferred payment scheme shall be subject to the announcement. If the above paragraph
The circumstances mentioned in item 4 shall be handled in accordance with the relevant provisions of the fund contract. When applying for redemption, fund share holders may choose in advance to
The part that may not be accepted on that day shall be withdrawn. When the suspension of redemption is eliminated, the Fund Manager shall resume redemption in a timely manner
Business handling and announcement.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the net redemption application of fund units within a single open day of the Fund (the total number of redemption application units plus the transfer of fund conversion
The balance after deducting the total number of subscription application units and the total number of transferred application units in the fund conversion) exceeds
10% of the total fund shares on the previous open day is considered as a huge redemption.
2. Treatment method of huge redemption
In case of a huge redemption of the Fund, the Fund Manager may, according to the current asset portfolio of the Fund or the huge redemption shares
The proportion of the amount shall determine the full redemption, partial deferred redemption or suspension of redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay the full redemption application of the investor, it shall be redeemed as normal
Program execution.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or because of the payment of investment
When the asset realization of the investor's redemption application may cause significant fluctuations in the net asset value of the fund, the fund manager
On the premise that the proportion of redemption accepted on that day is not less than 10% of the total fund shares on the previous open day, other redemption applications can be postponed
Handling. For the redemption application on that day, the proportion of the redemption application amount of a single account in the total redemption application amount shall be determined
Redemption units accepted on a daily basis; For the part that has not been redeemed, the investor can choose to postpone redemption or withdraw
Cancel redemption. If you choose to postpone redemption, it will automatically transfer to the next open day to continue redemption until all redemptions are completed; choice
If the redemption is cancelled, some redemption applications that have not been accepted on that day will be cancelled. Deferred redemption application and redemption on the next open day
The applications shall be processed at the same time, and the redemption amount shall be calculated based on the net value of 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 part that the investor fails to redeem shall be
Automatic deferred redemption processing. Some deferred redemptions may not be restricted by the minimum amount of single redemption.
(3) If the Fund is redeemed in a large amount, and a single fund unit holder applies for redemption within a single open day
When the amount exceeds 20% of the total fund shares on the previous opening day, the Fund Manager may exceed
The application for redemption of more than 20% of the total fund shares after the previous open day will be postponed. There are two cases:
① If the Fund Manager believes that it is able to pay all redemption applications of other investors, in order to protect other redemption investments
For the interests of investors, the redemption application of other investors shall be carried out according to normal procedures. For a single fund unit holder exceeding
For redemption applications of more than 20% of the total fund shares after the last open day, the fund manager shall, within the scope of the remaining payment capacity
For the redemption units accepted on the day when the proportion is confirmed, the unconfirmed redemption part shall be postponed. Deferred redemption application and next opening
The application for open day redemption shall be processed at the same time, and the redemption amount shall be calculated based on the net value of fund units on the next open day without priority,
And so on, until all redemption. If the investor chooses to cancel the redemption when submitting the redemption application, it has not been received
Some redemption applications accepted will be cancelled.
② If the Fund Manager believes that it is also difficult to pay only other investors' redemption applications, the redemption of all investors
Return application (including the redemption application of the single fund unit holder exceeding 20% of the total fund shares on the previous open day and its
Redemption application of other investors), the fund manager accepts the redemption ratio on the same day not less than the total fund shares on the previous open day
Under the premise of 10%, it shall be handled in accordance with the above "(2) Partial deferred redemption".
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), if the fund manager believes that there is
If necessary, it may suspend accepting the redemption application of the Fund; The accepted redemption application may postpone the payment of redemption money, but shall not
If it exceeds 20 working days, it shall be announced on the specified media.
3. Announcement of massive redemption
In the event of the above-mentioned massive redemption and the postponement of handling, the Fund Manager shall mail, fax or prospectus
The Fund Unitholders shall be notified within 3 trading days by other methods specified, and the relevant handling methods shall be explained
The relevant provisions of the Disclosure Measures shall be published on the specified media.
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 publish the temporary subscription or redemption on the specified media within the specified period
Stop announcement.
2. The Fund Manager may, according to the time of suspension of subscription or redemption,
Publish the announcement of reopening subscription or redemption on the specified media at the latest on the reopening day; Or, according to the actual situation
The announcement of suspension specifies the time of reopening subscription or redemption, and no announcement of reopening will be issued at that time.
11、 Fund conversion
The Fund Manager may decide to establish the Fund and the Fund Manager in accordance with relevant laws and regulations and the provisions of the Fund Contract
For the conversion business between other fund units under management, a certain conversion fee can be charged for fund conversion, and the relevant rules are determined by the fund
The Manager shall then formulate and announce in accordance with the relevant laws and regulations and the provisions of the Fund Agreement, and notify the Fund Custodian and
Shutdown mechanism.
12、 Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
Non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations, or in accordance with relevant laws and regulations
Or the way required by the competent authority of the state. In any of the above circumstances, the subject accepting the transfer must
It must be an investor who can hold the fund shares of the Fund according to law, or according to relevant laws and regulations or the requirements of competent national authorities
To process.
Inheritance refers to the death of the fund unit holder, and the fund units held by him shall be inherited by his legal successor; Donation basis
Fund share holders donate their legally held fund shares to welfare foundations or social organizations; Judicial enforcement
Line means that the judicial authority forcibly transfers the fund shares held by the fund share holders to other natural persons in accordance with the effective judicial documents
Persons, legal persons or other organizations. Relevant materials required by the fund registration authority must be provided to handle non transaction transfer
Qualified non transaction transfer applications shall be handled according to the provisions of the fund registration authority, and shall be received according to the standards specified by the fund registration authority
Fees.
13、 Custody transfer of funds
Fund share holders can handle the transfer of custody of their held fund shares between different sales institutions
The re custody fee may be charged according to the prescribed standards.
14、 Fixed investment plan
The Fund Manager may handle fixed investment plans for investors, and the specific rules shall be separately formulated by the Fund Manager. Investors in
When handling the fixed investment plan, you can agree on the amount of deduction in each period, and the amount of deduction in each period must not be less than that of the fund manager in the relevant companies
The minimum subscription amount of the fixed investment plan specified in the announced or updated prospectus.
15、 Freeze, unfreeze and pledge of fund shares
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law, as well as the registration authority
Freezing and unfreezing under other conditions of approval and compliance with laws and regulations. The freezing procedures and methods of fund units shall be subject to registration
It shall be handled according to the relevant regulations of the registration institution. If the fund shares are frozen, the rights and interests generated by the frozen part shall comply with the laws and regulations of China
It shall be handled according to the regulatory regulations, the requirements of the competent authorities of the state and the business regulations of the registration agency.
If relevant laws and regulations allow the fund manager to handle the pledge business of fund shares or other fund businesses, fund management
People will develop and implement corresponding business rules.
16、 Transfer of Fund Units
If permitted by laws and regulations and conditions are met, the Fund Manager may accept the Fund Unitholders to pass the Chinese Securities
Where the application for transfer of fund units is made at a trading place recognized by the CSRC or by other means and the registration institution handles the transfer of fund units
Registration of transfer. If the fund manager intends to accept the transfer of fund units, it will make an announcement in advance, and the fund unit holders shall
The business rules announced by the fund manager handle the transfer of fund units.
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 announcements.
Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: Nord Fund Management Co., Ltd
Address: Floor 18, No. 99, Fucheng Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Pan Fuxiang
Establishment date: June 8, 2006
Approval authority and approval document number: CSRC Zhengjian Jiji Zi [2006] No. 88
Organizational form: limited liability company
Registered capital: RMB 100 million
Duration: continuous operation
Tel: 021-68985199
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Manager include but are not limited to:
(1) Raising funds according to law;
(2) From the effective date of the Fund Contract, independently use and manage the Fund in accordance with laws and regulations and the Fund Contract
Property;
(3) Collect fund management fees and other fees specified by laws and regulations or approved by the CSRC in accordance with the Fund Contract
Use;
(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
The Fund Contract and relevant national laws and regulations shall be reported to the CSRC and other regulatory authorities, and necessary measures shall be taken
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;
(9) Serve as or entrust other qualified institutions to act as the fund registration agency to handle the fund registration business and obtain
Fees specified in the gold 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;
(12) Exercising creditor's rights against the invested company for the benefit of the fund in accordance with laws and regulations and for the benefit of the fund
Rights arising from the investment of fund assets in securities;
(13) In the name of the Fund Manager, on behalf of the interests of the Fund Unitholders, exercise litigation rights or implement other actions
Legal act;
(14) Selecting or replacing law firms, accounting firms, securities brokers or other providers of services for the Fund
External institutions;
(15) Formulate and adjust relevant fund subscription, subscription, redemption and transfer on the premise of compliance with relevant laws and regulations
Business rules for exchange, non transaction transfer, custody transfer, fixed investment, etc;
(16) 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 are not limited to:
(1) Raising funds according to law, handling or entrusting other institutions recognized by the CSRC to handle fund units
Sale, subscription, redemption and registration;
(2) Handle fund registration or filing procedures;
(3) From the effective date of the Fund Contract, manage and use the Fund assets in the principle of good faith, prudence and diligence;
(4) Allocate sufficient personnel with professional qualifications to analyze and make decisions on fund investment in a professional way
To manage and operate the assets of the Fund;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems to ensure the management of the Institute
The assets of the Fund and the assets of the Fund Manager are independent of each other, and they are managed separately for different funds under their management, accounted for and entered into
Bank securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, you may not use the Fund assets for your own
And any third person seeking benefits shall not entrust any third person to operate the fund property;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to make the method for calculating the subscription, purchase, redemption and cancellation prices of fund units conform to
According to the provisions of the Fund Contract and other legal documents, calculate and disclose the net value of the fund and determine the application for fund shares
Purchase and redemption price;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure and reporting in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
Service;
(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 Gold Contract and other relevant provisions, the fund information shall be kept confidential and not disclosed to others before public disclosure,
Except for those provided to regulatory agencies, judicial authorities, external professional consultants such as audit and law consultants according to law;
(13) Determine the fund income distribution plan as agreed in the Fund Contract, and distribute the funds to fund share holders in a timely manner
Gold income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene a general meeting of fund unit holders or allocate funds in accordance with the Fund Law, the Fund Contract and other relevant provisions
The mutual fund custodian and fund unit holders shall convene a general meeting of fund unit holders in accordance with the law;
(16) Keep the accounting books, statements, records and other relevant materials of fund property management business activities as required
Less than the minimum number of years prescribed by laws and regulations;
(17) Ensure that all documents or materials that need to be provided to fund investors are issued within the specified time, and ensure investment
The investor can access the public information related to the fund at any time according to the time and method specified in the Fund Contract, 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 of fund assets
Matching;
(19) In the face of dissolution, being canceled or declared bankrupt according to law, timely report to the CSRC and notify
Gold custodian;
(20) When the violation of the Fund Contract causes the loss of the Fund property or damages the legitimate rights and interests of the Fund Unitholders,
Shall bear the liability for compensation, and its liability for compensation shall not be exempted by his retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
In case of any loss of fund property due to violation of the Fund Contract, the Fund Manager shall place the fund in custody for the benefit of the Fund Unitholders
Human recourse;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with fund affairs to the third party
Conduct responsibility;
(23) Exercise litigation rights or implement other legal acts on behalf of fund share holders in the name of the fund manager
Is;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the offering period, and the Fund Contract cannot take effect
The fund manager shall bear all the raising expenses and settle the raised funds in the fund raising period together with the interest of current deposit of the bank for the same period
Return to the fund subscriber within 30 days after the deadline;
(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: Shanghai Pudong Development Bank Co., Ltd
Office address: No. 12, Zhongshan East 1st Road, Shanghai
Legal representative: Zheng Yang
Date of establishment: October 19, 1992
Fund custody business qualification approval authority: China Securities Regulatory Commission
Fund custody business qualification No.: Zheng Jian Ji Jin Zi [2003] No. 105
Organizational form: limited liability company (listed)
Registered capital: 29.352 billion yuan
Business term: permanent existence
（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 are not limited to:
(1) From the effective date of the Fund Contract, the Fund shall be safeguarded in accordance with laws, regulations and the provisions of the Fund Contract
Production;
(2) Obtaining the fund custody fee and other fees prescribed by laws and regulations or approved by the regulatory authority in accordance with the Fund Contract
Use;
(3) Supervise the Fund Manager's investment operation in the Fund. If the Fund Manager is found to have violated the Fund Contract and
If the national laws and regulations have caused heavy losses to the fund property and the interests of other parties, it shall be reported to the China Securities Regulatory Commission
And take necessary measures to protect the interests of fund investors;
(4) According to relevant market rules, open securities accounts, capital accounts and other investment accounts for the fund
Clearing of securities trading funds;
(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 are not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) Set up a special fund custody department, have a business site that meets the requirements, and have sufficient and qualified familiarity
The full-time staff of the fund custody business shall be responsible for the custody of fund assets;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems to ensure that the fund
The security of the assets and the mutual independence between the fund assets under its custody, the fund custodian's own assets and different fund assets;
Set up separate accounts for different funds under custody, conduct independent accounting and separate account management to ensure that accounts are set up between different funds
Independent of each other in terms of purchase, fund allocation and account book recording;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, you may not use the Fund assets for your own
And any third person seeking benefits shall not entrust a third person to trust the fund property;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open fund accounts, securities accounts and other accounts required for investment of fund assets as required, and
According to the investment instructions of the Fund Manager, timely handle the liquidation and delivery matters;
(7) Unless otherwise specified in the Fund Law, the Fund Contract and other relevant regulations,
Before the public disclosure of fund information, it shall be kept confidential and shall not be disclosed to others, but shall be disclosed to regulatory authorities, judicial authorities, auditors
Except those provided by external professional consultants such as legal consultants;
(8) Review and review the net value of fund assets, net value of fund units, purchase and redemption of fund units calculated by the fund manager
Back price;
(9) To handle information disclosure related to fund custody business activities;
(10) Give opinions on the financial accounting report, quarterly report, interim report and annual report of the fund, and explain the fund management
Whether the manager operates in all important aspects in strict accordance with the provisions of the Fund Contract; If the fund manager fails to execute
When performing the acts specified in the Fund Contract, it shall also state whether the Fund Custodian has taken appropriate measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities not less than laws and regulations
Minimum fixed number of years;
(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) Pay fund income and redemption money to fund share holders in accordance with the instructions of the fund manager or relevant regulations;
(15) Convene a general meeting of fund unit holders or
Cooperate with the Fund Manager and Fund Unitholders to convene a general meeting of Fund Unitholders 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 liquidation group of the Fund assets and participate in the custody, liquidation, valuation, realization and distribution of the Fund assets;
(18) Timely report to the CSRC and the banking industry when faced with dissolution, legal revocation or bankruptcy declaration
To supervise the management institution 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, and its liability for compensation shall not be due to
He is removed from office upon retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws and regulations and the Fund Contract
If the Manager causes losses to the Fund property due to violation of the Fund Contract, it shall report to the Fund Manager for the benefit of the Fund Unitholders
Recovery;
(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 investor shall become the Fund Unitholder and a party to the Fund Contract when he/she obtains the Fund units in accordance with the Fund Contract
Until he no longer holds the fund shares of the Fund. As a party to the Fund Contract, the Fund Unitholders shall not
It is necessary to sign or seal the Fund Contract in writing.
Unless otherwise stipulated by laws and regulations or the Fund Contract, each fund share has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders include but do not include
be limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) According to the provisions of the Fund Contract, transfer or apply for redemption of the 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, and act on the matters discussed at the general meeting of fund unit holders
Exercise voting rights;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) Initiate legal proceedings against the Fund Manager, the Fund Custodian and the Fund Service Institution for acts that damage their legitimate rights and interests
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 include but do not include
be limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus, Fund Product Data Summary and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, independently judge the investment value of the fund
Make investment decisions and bear investment risks;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription, subscription or conversion funds and fees specified in laws and regulations and the Fund Contract;
(5) To bear the limited liability for fund losses or termination of the Fund Contract within the scope of fund units held by them;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, and the legally authorized representatives of fund unit holders shall have the right to represent
Table Fund Unitholders attend the meeting and vote. Unless otherwise stipulated by laws and regulations or the fund contract
Each fund unit held by the fund holder has equal voting rights.
The National People's Congress of the holders of Fund units does not have a daily institution. If the future laws and regulations stipulate otherwise for the general meeting of fund share holders
If so, the then effective laws and regulations shall prevail.
1、 Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be held, provided that
Unless otherwise stipulated by the CSRC or the fund contract:
(1) Terminate the Fund Contract, unless otherwise agreed in 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 and increase the sales service rate;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund share holders who individually or jointly hold more than 10% (including 10%) of the total fund shares
(Calculated based on the fund units on the day when the fund manager receives the proposal, the same below) Request in writing to convene fund units on the same matter
General meeting of holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) The Fund Unitholders shall be convened as required by laws and regulations, the Fund Contract or other provisions of the CSRC
Meeting matters.
2. Within the scope stipulated by laws and regulations and the Fund Contract, and without material benefit to the Fund Unitholders
Under the premise of positive impact, the following circumstances can be modified by the Fund Manager and the Fund Custodian after consultation, without the need to convene fund units
General Meeting of Holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the sales service rate or change the charging method;
(3) On the premise of complying with relevant laws and regulations, adjust the subscription, purchase, redemption, conversion and non delivery of relevant funds
Rules for easy transfer, fixed investment, custody transfer, income distribution and other businesses;
(4) Increase or adjust the setting of fund share categories and stop cash flow within the scope of laws and regulations and the Fund Contract
The sale of fund units and the adjustment of the classification methods and rules of fund units;
(5) The Fund launches new businesses or services;
(6) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(7) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or does not involve
The rights and obligations of the parties to the Fund Contract have changed significantly;
(8) Other circumstances under which it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract.
2、 Convener and convening method
1. Unless otherwise stipulated by laws and regulations or the Fund Contract, the general meeting of fund share holders shall be convened by the Fund Manager
Set.
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 submit a written proposal to the Fund Manager
Discussion. The Fund Manager shall decide whether to convene the meeting within 10 days from the date of receiving the written proposal and notify the Fund Custodian in writing.
If the Fund Manager decides to convene the meeting, it shall convene the meeting within 60 days from the date of issuing the written decision; The Fund Manager decides not to convene the meeting,
If the Fund Custodian still deems it necessary to convene the meeting, it shall convene the meeting by itself, and the meeting shall commence from the date of issuing a written decision
The Fund Manager shall be convened and notified within 60 days, and the Fund Manager shall cooperate.
4. Fund share holders representing more than 10% (including 10%) of the fund shares request in writing to convene a fund on the same matter
The general meeting of unit holders shall submit a written proposal to the fund manager. The Fund Manager shall, from the date of receipt of the written proposal
Decide whether to convene the meeting or not within 10 days, and notify the representatives of the Fund Unitholders and the Fund Custodian who put forward the proposal in writing. fund
If the manager decides to convene the meeting, it shall be convened within 60 days from the date of issuing the written decision; The Fund Manager decides not to convene the meeting
If the Fund Unitholders with more than 10% (including 10%) of the Fund Units still think it necessary to hold the meeting, they shall report to the Fund Custodian
Make a written proposal. The Fund Custodian shall decide whether to convene the meeting or not within 10 days from the date of receipt of the written proposal and notify it in writing
Representatives of the Fund Unitholders and the Fund Manager who put forward the proposal; If the Fund Custodian decides to convene the meeting, it shall issue a written document
The meeting shall be held within 60 days from the date of decision. And inform the Fund Manager that the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of fund shares request to convene fund shares on the same matter
If the general meeting of the holders is not convened by the Fund Manager or the Fund Custodian, it alone or collectively represents more than 10% of the Fund shares
The fund share holders (including 10%) have the right to convene on their own and report to the CSRC for filing at least 30 days in advance. Funds
Where a fund share holder convenes a general meeting of fund share holders on his own according to law, the fund manager and the fund custodian shall cooperate and shall not
Obstruction and interference.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and equity registration date of the meeting.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund unit holders, the convener shall make an announcement in the specified media at least 30 days before the meeting.
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 validity of the agent)
), 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 explain this meeting in the meeting notice
The specific means of communication adopted by the National People's Congress of Fund Unitholders, the entrusted notary organ and its contact information, contact person and table
The deadline for sending and receiving the decision.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to go to the designated place to calculate the voting opinions
Vote for supervision; If the convener is the Fund Custodian, it shall notify the Fund Manager in writing to make a decision at the designated place
Supervise the counting of votes; If the convener is the fund unit holder, it shall notify the fund manager and the fund trustee in writing separately
The supervisor shall go to the designated place to supervise the counting of votes. The Fund Manager or the Fund Custodian refuses to send representatives to vote
If the counting of votes of opinions is supervised, the counting effect of voting opinions shall not be affected.
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, laws and regulations, and regulatory authorities
And other methods agreed in the fund contract. The convening method of the meeting shall be determined by the convener of the meeting.
1. On site meeting. The fund share holder shall attend in person or appoint a representative to attend by proxy,
At the on-site meeting, the authorized representatives of the Fund Manager and the Fund Custodian shall attend the General Meeting of Fund Unitholders as nonvoting delegates
The voting effect shall not be affected if the person or the fund custodian does not send representatives to attend as nonvoting delegates. When the following conditions are met during the on-site meeting
Conduct the agenda of the general meeting of fund share holders:
(1) The certificate of fund shares held by the person attending the meeting in person, and the certificate of fund shares held by the principal issued by the person entrusted to attend the meeting
The amount certificate and the proxy voting authorization certificate of the principal comply with laws and regulations, the Fund Contract and the regulations of the meeting notice
And the vouchers for holding fund units are consistent with the registration information held by the fund manager;
(2) After verification, the voucher of fund shares held on the equity registration date presented by the participants shows that the valid fund
The shares shall not be less than one-half (including one-half) of the total shares of the Fund on the equity registration date. If the participants are interested in
If the effective fund units represented on the registration date are less than half of the total fund units of the Fund on the equity registration date, the convener may
The original items to be considered shall be reviewed within 3 months and 6 months after the time of the original announcement of the general meeting of fund unit holders
Convene a new general meeting of fund unit holders. Representatives of the reconvened fund unit holders' meeting on the equity registration date
The effective fund units shall not be less than one third (including one third) of the total fund units of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders vote on voting matters in writing or at a general meeting
Other methods specified in the announcement shall be delivered to the address or system designated by the convener before the deadline for voting. Correspondence meetings shall be held in written form
Voting shall be conducted in face or other ways specified in the announcement of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, it shall continuously publish relevant information within 2 working days
Suggestive announcement;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener, it shall be the fund custodian
Manager) to the designated place to supervise the counting of votes. The convener of the meeting is in charge of the fund custodian (if the fund is in custody
As the convener, the fund manager) and the notary office shall collect the fund shares in the manner specified in the notice of the meeting
Voting opinions of the holders; If the Fund Custodian or the Fund Manager is notified not to participate in the collection of voting opinions, the statement will not be affected
Decisive effect;
(3) Fund share holders who directly issue voting opinions or authorize others to issue voting opinions
Of the Fund units shall not be less than one-half (including one-half) of the total Fund units on the equity registration date; If I directly issue
In case of voting opinions or authorized representatives to issue voting opinions, fund units held by fund unit holders are less than equity
One half of the total fund units on the registration date, the convener may hold the general meeting of fund unit holders 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. Reconvened fund
At the general meeting of unit holders, holders representing more than one-third (including one-third) of the fund units shall vote directly
Opinions or authorized representatives to issue voting opinions;
(4) The fund share holder or trustee who directly issues the voting opinion in Item (3) above issues the voting on behalf of others
The agent of the opinion, the certificate of holding the fund unit submitted at the same time, and the proxy issued by the agent entrusted to issue the voting opinion
The certificate of fund shares held by the principal and the certificate of proxy voting authorization of the principal comply with laws and regulations, the Fund Contract and
The provisions of the notice of the meeting shall be consistent with the records of the fund registration authority.
3. On the premise that there is no conflict with laws and regulations, the general meeting of fund share holders can be held via the Internet, telephone or other parties
The Fund Unitholders can vote in writing, online, telephone, SMS or other ways
The format shall be determined by the convener of the meeting and listed in the notice of the meeting.
4. If the fund share holder authorizes others to attend the meeting and vote on his behalf without conflict with laws and regulations,
The authorization may be in writing, online, telephone, SMS or other ways, and the specific way shall be listed in the meeting notice.
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 and decisions to the Fund Contract
Termination of the Fund Contract, replacement of the Fund Manager, replacement of the Fund Custodian, merger with other funds, laws and regulations
Other matters specified in the Fund Contract and other matters that the convener of the meeting deems necessary to be submitted to the general meeting of fund unit holders for discussion
matter.
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 be made in the
A timely announcement shall be made before the convening of the general meeting of unit holders.
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 way of on-site meeting, the presider of the meeting shall first determine and announce the scrutineers in accordance with the procedures specified in Article 7 below,
Then the presider of the conference reads out the proposal, and after discussion, votes are taken to form the resolution of the conference. The presider of the conference is the fund manager
If the authorized representative of the Fund Manager fails to preside over the meeting, the Fund Custodian shall
Authorize its representative to preside over the meeting; If neither the authorized representative of the Fund Manager nor the authorized representative of the Fund Custodian can preside
At the general meeting, more than half (including half) of the voting rights held by fund share holders and agents present at the meeting
One fund share holder shall be elected as the chairman of the general meeting of fund share holders. Fund Manager and Fund
The custodian's refusal to attend or preside 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 name (or unit) of the participants shall be recorded in the signature book
Name), ID document number, fund shares held or represented with voting rights, name of the trustor (or unit name)
And contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal at least 30 days in advance, and the deadline for voting shall be notified
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office, which shall be formed under the supervision of the notary office
Resolution.
6、 Voting
Unless otherwise stipulated by laws and regulations or the Fund Contract, each fund share held by the fund share holder
Have equal voting rights.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. General resolution, general resolution shall be subject to half of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) is valid; Except for the matters to be passed by special resolution as specified in item 2 below
Other matters shall be passed by general resolution.
2. Special resolution, which shall be subject to three votes held by fund share holders or their proxies attending the meeting
It can only be made after more than two thirds (including two thirds) pass. Unless otherwise stipulated by laws and regulations, CSRC or fund contract
Unless otherwise agreed, change the operation mode of the Fund, change the Fund Manager or Fund Custodian, terminate the Fund Contract
The merger of the Fund with other funds shall be effective only after the adoption of a special resolution.
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, it shall be submitted to the meeting
The voting to confirm the investor's identity document specified in the notice shall be deemed as an effective attendance of the investor, which apparently conforms to the provisions of the notice of the meeting
If the voting opinions are ambiguous or contradictory, it will be regarded as abstention from voting, but shall be counted into
The total number of fund units represented by fund unit holders with voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be considered separately and item by item
vote.
On the premise of the above rules, the specific rules shall be subject to the notice of the general meeting of fund unit holders issued by the convener.
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the chairperson of the general meeting of Fund Unitholders shall be present at the meeting
At the beginning of the meeting, it was announced that two representatives of fund share holders and the large
A supervisor authorized by the convener of the meeting shall act as the scrutinizer jointly; If the general meeting is convened by the fund share holders themselves or if the general meeting
If the fund manager or fund custodian fails to attend the meeting
The chairperson of the general meeting of fund holders shall announce that three fund share holders present at the meeting shall elect
The representative of the gold share holder acts as the scrutinizer. Failure of the Fund Manager or the Fund Custodian to attend the meeting shall not affect the effectiveness of vote counting
power.
(2) The scrutineer shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall announce the counting of votes on the spot
result.
(3) If the chairperson of the meeting or the fund share holder or agent has any objection to the submitted voting results, he/she may enter
Immediately after the announcement of the voting results, the number of votes required shall be counted again. The scrutineer shall make a new count
Only once. After re counting, the presider of the meeting shall announce the re counting results on the spot.
(4) The vote counting process shall be notarized by a notary office. If the fund manager or fund custodian refuses to attend the meeting
Affect the validity of counting votes.
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 authorized to
The authorized representative (or the authorized representative of the fund manager if convened by the fund custodian) counts the votes under the supervision of the notary public
The authority shall notarize the counting process. The Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes
The supervision 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 for filing within 5 days from the date of adoption.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be submitted to the specified media in accordance with the relevant provisions of the Information Disclosure Measures from the effective date
Announcement on. If voting is carried out by means of communication, the notarial certificate must be submitted when the resolution of the general meeting of fund share holders is announced
The full text, 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 resolutions of the General Meeting of Fund Unitholders
Discussion. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders, fund managers and fund custodians
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 holders of main pocket shares and the side pocket shares
The fund units or voting rights held or represented by the fund holders respectively meet these proportions, but if the relevant fund unit holders
If the matters to be convened and discussed do not involve side pocket accounts, they only refer to the fund units or tables held or represented by the holders of main pocket units
The right of decision is in line with such proportion:
1. The Fund Unitholders need to represent the relevant Fund Units individually or collectively when exercising the right to propose, convene and nominate
More than 10% (including 10%);
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than the relevant funds of the Fund on the equity registration date
One half (including one half) of the gold share;
3. Held by fund share holders who directly issue voting opinions or authorize others to issue voting opinions on behalf of those who hold correspondence meetings
Some fund units are not less than half (including half) of the relevant fund units on the equity registration date;
4. If the fund units held by the fund unit holders who participate in the voting of the general meeting of fund unit holders are less than those held in Quanyideng
One half of the relevant fund units on the record date, 3 months after the convener held the general meeting of fund unit holders as originally announced
The general meeting of fund unit holders reconvened within the next six months on the matters originally scheduled for consideration shall be attended by one-third of the representatives
The holders of the relevant fund units above (including one-third) participate in or authorize others to participate in the voting of the general meeting of fund unit holders;
5. The on-site meeting shall be held by more than half (including two) of the voting rights of fund share holders and agents present at the meeting
1/) electing a Fund Unitholder as the chairperson of the general meeting of Fund Unitholders;
6. General resolutions shall be subject to more than half of the voting rights held by fund share holders or their agents attending the meeting
(including half) passed;
7. Special resolutions shall be subject to more than two-thirds of the voting rights held by fund share holders or their agents attending the meeting
(Two thirds included) passed.
During the implementation of the side pocket mechanism, if the matters considered by the general meeting of fund share holders involve the main pocket account and the side pocket account, they should be divided into
Do not vote by the fund share holders of the main pocket account and side pocket account. Each fund share in the same main side pocket account
Have equal voting rights. If the voting matter does not involve the side pocket account, the side pocket account share has no voting right.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section,
Relevant provisions of this part shall apply to those not specified in this section.
10、 This part provides rules on the causes, conditions, procedures and voting conditions of the general meeting of fund share holders
Yes, any part that directly refers to laws and regulations or regulatory rules, such as the relevant
If the content is cancelled or changed, the Fund Manager shall negotiate with the Fund Custodian in accordance with the newly issued laws, regulations or regulatory rules
After making an announcement in advance, the content of this part can be directly modified and adjusted without the need to convene a meeting of fund unit holders
Discussion.
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, the 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, the 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 shall be the fund custodian or the fund manager shall hold more than 10% (including 10%) of the fund alone or jointly
Nomination of Fund Unitholders of Units;
2. Resolution: The General Meeting of Fund Unitholders shall manage the nominated funds within 6 months after the termination of the duties of the Fund Manager
The resolution shall be made by more than two thirds (including three thirds) of the voting rights held by fund share holders attending the meeting
(II) The resolution shall come into force as of the date of voting;
3. Temporary fund manager: Before the new fund manager is appointed, the CSRC shall appoint a temporary fund manager;
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 change of the Fund Manager, the Fund Custodian shall hold a general meeting of the Fund Unitholders who change the Fund Manager
After the resolution takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
6. Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business information and report to
The temporary fund manager or the new fund manager handles the transfer procedures of fund management business, and the temporary fund manager or the new fund manager
The Fund Manager shall promptly accept it. The temporary fund manager or the new fund manager shall check the fund assets with the fund custodian
Total value and net value of fund units;
7. Audit: If the duties of the fund manager are terminated, the fund manager shall employ a person who meets the requirements of the Securities Law in accordance with laws and regulations
The accounting firm shall audit the fund assets, announce the audit results, and report to the CSRC for filing
Accrued expenses shall be disbursed from the fund assets;
8. Change of fund name: after the replacement of the fund manager, if the original or new fund manager requires, it shall comply with its requirements
Replace or delete the words related to the original fund manager in the fund name.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new fund custodian shall be the fund manager or the fund manager alone or jointly holding more than 10% (including 10%) of the fund
Nomination of Fund Unitholders of Units;
2. Resolution: The General Meeting of Fund Unitholders shall place the nominated Fund in custody within 6 months after the termination of the Fund Custodian's duties
The resolution shall be made by more than two thirds (including three thirds) of the voting rights held by fund share holders attending the meeting
(II) The resolution shall come into force as of the date of voting;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary Fund 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 change of the Fund Custodian, the Fund Manager shall hold a general meeting of the Fund Unitholders who change the Fund Custodian
After the resolution takes effect, it shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures;
6. Handover: If the duties of the Fund Custodian are terminated, the Fund Custodian shall properly keep the Fund assets and the Fund custody business
Materials, and handle the transfer procedures of fund assets and fund custody business with the temporary fund custodian or the new fund custodian in a timely manner,
The new Fund Custodian or the temporary Fund Custodian shall take over in a timely manner. The new fund custodian or temporary fund custodian shall
Check the total value of fund assets and the net value of fund units with the fund manager;
7. Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall, in accordance with the provisions of laws and regulations, employ a person who meets the requirements of the Securities Law
The accounting firm shall audit the fund assets, announce the audit results, and report to the CSRC for filing
The accrued 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, 10% of the total Fund shares will be held by the Fund Manager alone or jointly
The above (including 10%) fund share holders nominate new fund managers and fund custodians;
2. The replacement of the Fund Manager and the Fund Custodian shall be carried out in accordance with the above procedures respectively;
3. Announcement: The new Fund Manager and the new Fund Custodian shall change the funds of the Fund Manager and the Fund Custodian
After the resolution of the general meeting of unit holders takes effect, it shall be jointly announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
3、 New or temporary fund managers receive fund management business or new or temporary fund custodians receive fund assets
Prior to the fund custody business, the original fund manager or fund custodian shall follow the rules of laws and regulations and the Fund Agreement
Continue to perform relevant duties and ensure that the interests of fund share holders will not be damaged. Original Fund Manager or Fund Custody
During the period of continuing to perform relevant duties, the person shall still have the right to collect fund management fees or fund custody fees in accordance with the provisions of this Contract.
4、 The provisions of this Part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian shall directly refer to the laws
Part of laws and regulations or regulatory rules, such as the cancellation or change of relevant contents due to the modification of laws and regulations or regulatory rules in the future,
The Fund Manager and the Fund Custodian may directly
The corresponding contents shall be modified and adjusted without convening a general meeting of fund share holders for deliberation.
Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall enter into a Custodian Agreement in accordance with the Fund Law, the Fund Contract and other relevant provisions
Discussion.
The purpose of entering into the custody agreement is to clarify the custody and investment operation of the fund assets between the fund custodian and the fund manager
The rights, obligations and responsibilities in matters related to accounting, net worth calculation, income distribution, information disclosure and mutual supervision, etc
The safety of gold property shall protect the legitimate rights and interests of fund share holders.
Part XI Registration of Fund Units
1、 Registration business of fund units
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund, including investment
Establishment and management of fund accounts, registration of fund shares, confirmation, clearing and settlement of fund sales business, and agency distribution
Dividends, establishing and keeping the register of fund unit holders, and handling non trading transfer, etc.
2、 Fund registration business handling agency
The registration business of the Fund shall be handled by the Fund Manager or other qualified institutions entrusted by the Fund Manager. fund
If the Manager entrusts other institutions to handle the registration business of the Fund, it shall sign a principal-agent agreement with the agent to clarify the Fund
The manager and agent shall conduct fund account management, fund share registration, clearing, fund transaction confirmation and bonus payment for investors
To benefit, establish and keep the register of fund unit holders and other rights and obligations, and protect the legitimacy of fund unit holders
Equity.
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 rules of registration business shall be adjusted and implemented at the beginning in accordance with relevant provisions
Announce on the specified media before construction;
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 business of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract;
3. Properly keep the registration data, and prepare the name, identity information, details of fund units and other data of fund unit holders
To the institutions recognized by the CSRC. Its retention period shall not be less than that stipulated by laws and regulations from the date of closing the fund account
Minimum age;
4. Having the obligation to keep confidential the fund account information of the fund share holder
The loss caused by the fund shall bear the corresponding liability for compensation, but the situation of judicial compulsory inspection, laws and regulations and the regulations of the CSRC
Except for other circumstances stipulated in the Fund Agreement;
5. Handle non trading transfer business for investors and provide other necessary
Services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
Part XII Investment of the Fund
1、 Investment objectives
The Fund adopts passive indexation investment and adopts strict investment discipline and quantitative risk management measures to
Realize effective tracking of the benchmark index.
2、 Investment scope
The Fund mainly invests in underlying index component bonds and alternative component bonds. In order to better achieve the investment objectives
Gold can also invest in financial instruments with good liquidity, including non component bonds and alternative other interbank deposit receipts and bonds
Bonds (including treasury bonds, local government bonds, central bank bills, financial bonds, corporate bonds, subordinated bonds
Separated trading of pure convertible bonds, government supported bonds, government supported institutional bonds, etc.), short-term financing bonds, ultra short
Non financial enterprise debt financing instruments such as long-term financing bonds and medium-term notes, asset-backed securities, bond repurchase, and bank deposits
(including negotiated deposits, time deposits, call deposits and other bank deposits), cash and other money market instruments and laws
Other financial instruments permitted by laws and regulations or the CSRC to be invested by the Fund (subject to the relevant provisions of the CSRC).
The Fund does not invest in stocks or convertible bonds (except for the pure debt of convertible bonds that can be traded separately)
Exchangeable bonds and other financial instruments with equity attributes.
If laws and regulations or regulatory authorities allow the Fund to invest in other varieties in the future, the Fund Manager, after performing appropriate procedures,
It can be included in the investment scope, and the investment scope can be adjusted in a timely and reasonable manner according to the then effective laws and regulations.
The proportion of the Fund's investment portfolio is: the proportion of the Fund's investment in interbank deposit receipts is not less than 80% of the Fund's assets; Base
The proportion of gold invested in the underlying index component bonds and their alternative component bonds shall not be less than 80% of the Fund's non cash fund assets; book
The Fund shall maintain no less than 5% of the net asset value of the Fund in cash or government bonds with a maturity of less than one year, including cash
It does not include provisions for settlement, deposits and subscription receivables.
The underlying index of the Fund is the China Securities Inter bank Deposit Certificate AAA Index, which is prepared and released by China Securities Index Co., Ltd.
If laws and regulations or the CSRC change the investment proportion limit of investment varieties, the Fund Manager shall perform appropriate
After the procedure, the relevant restrictions on the investment proportion of the above investment varieties can be adjusted or implemented according to the adjusted regulations.
3、 Investment strategy
The Fund is a passive index fund, which uses the methods of sampling replication and dynamic optimization to select the underlying index component bonds
And the inter-bank deposit receipts with good liquidity in the alternative component bonds, to construct the asset portfolio with similar risk return characteristics to the underlying index,
To achieve effective tracking of the benchmark index.
Under normal market conditions, strive for the daily average tracking deviation between the net value growth rate of the Fund and the performance benchmark
The absolute value of is not more than 0.2%, and the annual tracking error is not more than 2%. If tracking deviation is caused by index compilation rules or other factors
If the degree and tracking error exceed the above range, the Fund Manager shall take reasonable measures to avoid further tracking deviation and tracking error
Step up.
1. Asset allocation strategy
The Fund will adopt sampling replication and dynamic optimization methods, mainly based on the composition of the underlying index,
Comprehensively consider the liquidity of the investment object, the daily purchase and redemption of funds, and the trading characteristics and trading habits of inter-bank and exchange bonds
For example, carry out alternative optimization to ensure the effective tracking of the target index.
2. Index investment strategy
The Fund conducts passive indexation investment through sampling replication and dynamic optimization, and strives to maximize the tracking error
Under the premise of miniaturization, the Fund can adopt appropriate methods, such as "duration pegging" and other optimization strategies to adjust the Fund's assets,
Reduce transaction costs to minimize tracking errors within the specified risk tolerance.
3. Bond investment strategy
On the premise of risk control, the Fund will flexibly use other investment strategies. For example, using the inter-bank market
Cross market arbitrage opportunities in the exchange market or between the primary and secondary bond markets; In addition, the event driven strategy is used, namely
Arbitrage by analyzing the impact of major events on the pricing of investment targets; Or use leverage principle to conduct repurchase transactions
Etc.
4. Asset backed securities investment strategy
The key of asset-backed securities investment lies in the analysis of the quality of underlying assets and future cash flow
Under the specific policy framework of securitized products, the risk of individual bonds is divided by combining fundamental analysis and quantitative model
Make investment after analysis and value evaluation. The Fund will strictly control the overall investment scale of asset-backed securities and conduct diversified investment
To reduce liquidity risk.
In the future, with the development of the securities market, the enrichment of financial instruments and the innovation of trading methods, the Fund will also actively seek
Seeking other investment opportunities, such as laws and regulations or regulatory authorities allowing the Fund to invest in other varieties in the future, the Fund will
After the procedure, it is included in the investment scope to enrich the portfolio investment strategy.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's investment in interbank deposit receipts is not less than 80% of the Fund's assets, and the Fund's investment in the underlying index is
The proportion of shares and their alternative components shall not be less than 80% of the Fund's non cash fund assets;
(2) The Fund shall maintain no less than 5% of the net asset value of the Fund in cash or government bonds with a maturity of less than one year
Securities, of which cash does not include provisions for settlement, deposits and subscription receivables;
(3) Residual maturity or resale period of bonds, non-financial enterprise debt financing instruments, asset-backed securities invested by the Fund
Limited to 397 days (including 397 days);
(4) The term of bank deposits, bond repurchases, central bank bills and inter-bank certificates of deposit invested by the Fund shall be less than one year
(including 1 year);
(5) Financial instruments actively invested by the Fund (including inter-bank deposit receipts, credit bonds, non-financial enterprise debt financing instruments
Bank deposits, asset-backed securities with relevant institutions as original equity holders and other varieties recognized by the CSRC)
The corporate credit rating is not lower than AAA; The credit rating mainly refers to the credit rating of the entity in the latest fiscal year
If a pedestrian has two or more domestic rating agencies (excluding the credit rating of China Bond) at the same time, the lower one shall be adopted to determine its rating
Grade; During the period when the Fund holds the above financial instruments, if its credit rating declines and no longer meets the above criteria, it shall report to the rating report
It shall be adjusted to meet the agreement within 3 months from the date of announcement;
(6) The Fund invests in the bank deposits of the same commercial bank and the inter-bank deposit receipts, bonds issued by the same commercial bank
The proportion of asset-backed securities and other financial instruments recognized by the CSRC as original equity holders in the net asset value of the fund
Shall not exceed 10%;
(7) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund
The composition ratio of the relevant index of the fund variety for securities investment is not subject to the proportion limit specified in this article;
(8) All funds under the management of the Fund Manager hold no more than 10% of the securities issued by a company,
The fund varieties that invest in securities in full accordance with the composition proportion of the relevant index are not subject to the proportion limit specified in this article;
(9) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed the net assets of the Fund
10% of the value;
(10) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
(11) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed this asset
10% of the size of supporting securities;
(12) All funds managed by the Fund Manager invest in various types of asset-backed securities of the same original equity holder, and do not
May exceed 10% of the total size of its various asset-backed securities;
(13) The maximum term for the Fund to enter the national inter-bank market for bond repurchase is one year
No extension is allowed after the period;
(14) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed 10% of the Fund's net asset value;
Where the fund does not meet the limit of this proportion due to factors other than the fund manager, such as fluctuations in the securities market and changes in the size of the fund,
The Fund Manager shall not actively increase the investment of liquidity restricted assets;
(15) The Fund, private securities asset management products and other subjects recognized by the CSRC are counterparties to carry out anti trust activities
For repurchase transactions, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the Fund contract;
(16) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(17) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Except for items (2), (5), (14) and (15) above, due to fluctuations in the securities market, merger of securities issuers
If the fund investment proportion does not meet the above stipulated investment proportion due to factors other than the fund manager, such as fund size change
The fund manager shall make adjustment within 10 trading days, but otherwise specified by the CSRC or the Fund Contract
Except in this case. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months from the effective date of the Fund Agreement, make the proportion of the Fund's investment portfolio conform to the Fund Agreement
Relevant agreements of. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract. base
The supervision and inspection of the Fund's investment by the Fund Custodian shall commence on the effective date of this Fund Contract. Laws and regulations or regulatory authorities
If there are other provisions, such provisions shall prevail.
If laws and regulations or regulatory authorities change the above portfolio proportion limit, the changed provisions shall prevail.
Laws and regulations or regulatory authorities cancel the above restrictions. If they apply to the Fund, the Fund Manager, after performing appropriate procedures
The Fund's investment is no longer subject to relevant restrictions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, except as otherwise stipulated by the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, actual controllers or
Securities issued by a company that has a major interest with it or securities underwritten during the underwriting period, or other major issues
Joint trading shall comply with the investment objectives and strategies of the Fund, follow the principle of giving priority to the interests of fund share holders, and prevent
To avoid conflicts of interest, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable prices in the market. Related transactions
It must be approved by the Fund Custodian in advance and disclosed in accordance with laws and regulations. Major related party transactions shall be submitted to fund management
And approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related transactions.
If laws, administrative regulations or regulatory authorities cancel or adjust the above restrictions, and if applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
5、 Target index and performance benchmark
The underlying index of the Fund is the China Securities Inter bank Deposit Certificate AAA Index, which is prepared and released by China Securities Index Co., Ltd.
The benchmark for the performance comparison of the Fund is the return rate of AAA index of China Securities Interbank Deposit Certificates × 95%+the interest rate of RMB demand deposits of banks
(After tax) × 5%.
The Fund is an index fund, which mainly invests in the index component bonds and alternative component bonds of the target, so it is suitable to
The return rate of the index is the main component of the Fund's performance benchmark.
In the future, if the underlying index does not meet the requirements (due to factors other than changes in index preparation methods such as price fluctuation of component bonds)
The subject index does not meet the requirements or laws and regulations, unless otherwise specified by the regulatory authority), the index compilation agency returns
In case of any such circumstance, the Fund Manager shall report to the CSRC and propose solutions within ten working days from the date of occurrence of such circumstance
Resolution, such as changing the target index of the fund, changing the mode of operation, merging with other funds, or terminating the fund contract,
And convene a general meeting of fund share holders to vote within 6 months. The general meeting of fund share holders was not successfully held or was held
If the voting on the above matters is not passed, the Fund Contract will be automatically terminated.
From the time when the index compiling institution stops compiling and publishing the underlying index to the time when the solution is determined, the Fund Manager shall
The index information of the latest trading day provided by the index compiling agency shall be maintained based on the principle of priority of the interests of fund share holders
Financial investment operation.
Notwithstanding the foregoing, if the change of the underlying index has no material adverse impact on the fund investment (including but not limited to the preparation of
Institutional change, index renaming, etc.) and without prejudice to the interests of fund share holders, the Fund Manager may
After the Fund Custodian agrees to change the underlying index without convening a general meeting of fund share holders for deliberation, it shall be reported to the CSRC for recordation
The case shall be announced in time.
6、 Risk return characteristics
The Fund is a hybrid fund. Generally speaking, its long-term average risk and expected return rate are lower than those of equity funds and
Partial equity hybrid funds, higher than money market funds.
The Fund is an index fund, which mainly uses sampling replication and dynamic optimization methods to track the performance of the underlying index
It has risk return characteristics similar to the underlying index and the market represented by the underlying index.
7、 Principles and methods for the Fund Manager to exercise creditors' rights on behalf of the Fund
1. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with the relevant provisions of the State and protect the rights of the Fund Unitholders
Interests;
2. It is conducive to the safety and appreciation of fund assets;
3. Do not seek any profit for themselves, employees, authorized agents or any third party with interests through connected transactions
Improper interests.
8、 Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, the fund share holding shall be protected to the maximum extent
The Fund Manager may, after consultation with the Fund Custodian and consultation with the accounting firm
In accordance with the laws and regulations and the fund contract, the side pocket mechanism is used without the need to convene a general meeting of fund share holders.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions and performance comparison basis in this part
Provisions such as quasi and risk return characteristics are only applicable to the main bag account.
Implementation conditions, implementation procedures, operation arrangements, investment arrangements, disposal, realization and payment of specific assets of side pocket accounts
See the prospectus for details of matters that have a significant impact on investors' rights and interests.
Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to the value of various securities and notes owned by the fund, the principal and interest of bank deposits and fund receivables
The sum of the values of items and other assets.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts, securities accounts and investment accounts for the Fund in accordance with relevant laws, regulations and normative documents
Other special accounts required by the fund. Special fund account opened with fund manager, fund custodian and fund sales agency
It is independent of the property account owned by the fund registration agency and other fund property accounts.
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 the Fund Custodian
safekeeping. The Fund Manager, the Fund Custodian, the Fund Registration Institution and the Fund Sales Institution shall, with their own property, bear their own liabilities
The creditor shall not exercise the right to request freezing, distraining or other rights against the assets of the Fund. In addition to the law
The Fund property may not be disposed of except as provided in the Regulations and the Fund Contract.
The Fund Manager and the Fund Custodian shall be liquidated due to legal dissolution, revocation or bankruptcy
The fund assets do not belong to its liquidation assets. The creditor's rights arising from the management and operation of the fund assets by the fund manager shall not be related to
The debts generated by its inherent assets offset each other; Claims arising from the management and operation of fund assets of different funds by the fund manager
The debts shall not be offset against each other. Liabilities not borne by the fund property itself shall not be enforced against the fund property.
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 the national laws and regulations require that
The non trading day on which the net value of the fund is disclosed.
2、 Valuation object
Bonds, inter-bank deposit receipts, principal and interest of bank deposits, receivables, asset-backed securities and other investments owned by the Fund
And other assets and liabilities.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with the Accounting Standards for Business Enterprises
Relevant regulations of the regulatory authorities.
（1） For investment varieties with an active market and the ability to obtain quotations for the same assets or liabilities, there are quotations on the valuation date
The quoted price shall be applied to the fair value of the asset or liability without adjustment, except for the exceptions specified in the accounting standards
Value measurement. If there is no quotation on the valuation date and there is no major event affecting the fair value measurement after the most recent transaction date, the most
The fair value is determined by the quotation on the recent trading day. There is sufficient evidence to show that the quotation on the valuation date or the latest trading day cannot truly reflect
In case of fair value, the quotation shall be adjusted to determine the fair value.
If it is the same as the above investment varieties but has different characteristics, it shall be based on the fair value of the same assets or liabilities,
The influence of different characteristic factors shall be considered in the valuation technology. Features refer to restrictions on the sale or use of assets
The restriction is aimed at the asset holder, so it should not be considered as a feature in the valuation technology. In addition, fund management
The manager shall not consider the premium or discount arising from its holding of relevant assets or liabilities.
（2） For investment varieties that do not have an active market, they should be suitable for the current situation and have sufficient available quantity
The fair value is determined according to the valuation technology supported by other information. When using valuation techniques to determine the fair value, priority should be given to the use of
Observable input value, only when the observable input value of relevant assets or liabilities cannot be obtained or is not feasible,
Only the unobservable input value can be used.
（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 valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%, the valuation should be adjusted and determined
Fair value.
4、 Valuation method
1. Valuation of securities listed on stock exchanges
(1) The third-party valuation benchmark on the valuation date shall be selected for the non equity fixed income varieties listed or transferred by the Exchange
The full valuation price of the corresponding varieties provided by the service agency on the current day shall be used for valuation, and the fund manager shall conduct valuation in accordance with the provisions of relevant laws and regulations
Tax related processing (the same below);
(2) The third party valuation benchmark service on the valuation date shall be selected for the fixed income varieties with rights listed or transferred by the Exchange
The only valuation full price or recommended valuation full price of the corresponding variety provided by the service agency on the current day for valuation;
(3) For the fixed income variety including the investor's right to sell back, if the right to sell back is exercised, it shall be collected from the registration date of the sale back to the actual collection date
Select the unique or recommended full valuation price of the corresponding varieties provided by the third-party valuation benchmark service agency during the date, the same as
The impact of the issuer's credit risk changes on the fair value shall be fully considered. Not after the closing date (inclusive) of the resale registration period
If the right to sell back is exercised, the valuation shall be conducted according to the price corresponding to the long outstanding period.
2. For the fixed income varieties that are not listed or transferred without listing and there is no active market, it is appropriate to adopt
The fair value shall be determined by valuation techniques supported by sufficient available data and other information.
3. For fixed income varieties without rights in the national inter-bank market
Full price valuation of corresponding varieties on the current day. For the fixed income varieties with rights in the inter-bank market, the third-party valuation basis
The full price of the unique valuation or recommended valuation of the corresponding varieties provided by the quasi service institution on the current day. For sale back including investors
The third party valuation benchmark shall be selected between the registration date of the resale and the actual collection date if the right of resale is exercised
The unique or recommended full valuation price of the corresponding varieties provided by the service agency, taking full account of the issuer's credit risk
Impact of insurance changes on fair value; If the right of resale is not exercised after the deadline of resale registration (inclusive), it shall be subject to a long waiting period
The corresponding price is estimated.
4. If the same security is traded in two or more markets at the same time, it shall be valued separately according to the market in which the security is located.
5. The Fund's investment in inter-bank deposit receipts is valued at the full valuation price provided by the third-party valuation benchmark service agency on the valuation date.
6. Repurchases held by the Fund are presented at amortized cost, and receivables or payables are accrued daily during the repurchase period at the contractual interest rate
interest.
7. The balance of bank deposits and reserves held by the Fund shall be presented at amortized cost, and interest shall be accrued daily at the corresponding interest rate.
8. If there is conclusive evidence that the original method of valuation cannot objectively reflect the fair value of the above assets or liabilities,
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, conduct valuation by the method that best reflects the fair value.
9. In case of large amount purchase or redemption of the Fund, the Fund Manager can adopt the swing pricing mechanism to ensure that
Fairness of gold valuation.
10. If there are other provisions in relevant laws and regulations, regulatory authorities and self-discipline rules, such provisions shall prevail. If there are new items, press
The latest national regulations on valuation.
If the Fund Manager or the Fund Custodian finds that the fund valuation violates the valuation methods, procedures and relevant provisions specified in the fund contract
In case of provisions of laws and regulations or failure to fully protect the interests of fund share holders, they shall immediately notify the other party and jointly identify the original
Therefore, both parties shall negotiate for settlement.
In accordance with relevant laws and regulations, the Fund Manager shall be responsible for the calculation of the net asset value of the Fund and the accounting of the Fund
The fund custodian shall bear the responsibility for review. The Fund Manager shall be responsible for the accounting of the Fund. Therefore, the Fund
If no agreement can be reached on relevant accounting issues after full discussion on an equal basis by relevant parties
The Fund Manager shall publish the calculation result of the net value of the Fund to the public, thus causing losses to the Fund Unitholders and the Fund
The fund manager shall be responsible for the compensation of losses and losses caused by the error of postponement of the calculation of the net value of the fund on the trading day
The administrator does not assume any responsibility.
5、 Valuation procedures
1. The net value of fund units is the balance of the net value of fund assets divided by the fund units on that day after the market is closed on each valuation date
The amount shall be calculated to the nearest 0.0001 yuan, and the fifth digit after the decimal point shall be rounded off. The resulting error shall be included in the fund property. base
The fund manager may establish an emergency adjustment mechanism for net worth accuracy in the case of large redemption. Where national laws and regulations provide otherwise,
From its provisions.
The Fund Manager shall calculate the net value of the Fund assets and the net value of the Fund units on each valuation date and disclose them as required.
2. The Fund Manager shall value the Fund assets on each valuation date, but the Fund Manager shall, in accordance with laws and regulations or the Fund Contract
Except when the valuation is suspended in accordance with. After the Fund Manager evaluates the assets of the Fund on each valuation date, the net value of the Fund units will be
The funds shall be sent to the Fund Custodian, and after the Fund Custodian has checked and found no error, the Fund Manager shall publish it to the public in accordance with the provisions.
6、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the accuracy
Timeliness. In case of valuation error within 4 decimal places (including the 4th decimal place) of the net value of fund units, it shall be deemed as fund units
Net value error.
The parties to the fund contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration agency, or the sales agency
Or if the investor's own fault causes valuation errors and causes losses to other parties, the person responsible for the fault shall
The direct losses of the party suffering losses due to the valuation error ("the injured party") shall be paid according to the following "valuation error handling principles"
Pay 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, and data calculation errors
Error, system failure error, order issuing error, etc. For errors caused by technical reasons, if they are existing technologies in the same industry
If the level is unforeseeable, unavoidable or insurmountable, it shall be considered as force majeure, and the following provisions shall apply.
The investor's transaction information is lost or wrongly handled or other errors are caused due to force majeure
The party who makes an error due to force majeure shall not be liable for compensation to other parties, but shall obtain improper benefits due to the error
The parties still have the obligation to return the unjust enrichment.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall coordinate all parties in a timely manner,
Correct 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; Responsible party due to valuation error
In case of failure to timely correct the valuation errors that have occurred and cause losses to the parties concerned, the party responsible for the valuation errors shall bear the direct losses
Liability for compensation; If the party responsible for the valuation error has actively coordinated, and the party with the obligation to assist has enough time to carry out
If it is corrected but not corrected, it shall bear the corresponding liability for compensation. The party responsible for the valuation error shall report the correction to the relevant parties
To ensure that valuation errors have been corrected.
(2) The party responsible for the valuation error is responsible for the direct losses of the parties concerned, not for the indirect losses, and only for
The direct party concerned with the valuation error shall be responsible for it and not responsible for any 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. But the valuation is wrong
The responsible party shall still be responsible for the valuation error. If the party who obtained the unjust enrichment does not return or does not return all the unjust enrichment
If profits cause losses to the interests of other parties ("the injured party"), the party responsible for the valuation error shall compensate the losses of the injured party,
And have the right to require the party who has obtained the unjust enrichment to deliver the unjust enrichment within the scope of the amount of compensation it has paid;
If the party who obtained the unjust enrichment has returned this part of the unjust enrichment to the injured party, the injured party shall
The difference between the total amount of compensation obtained plus the return of unjust enrichment obtained and the actual loss is paid to the valuation
The party responsible for the 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 according to the causes of valuation errors
Responsible party for valuation error;
(2) Evaluate the losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties;
(3) The responsible party for the valuation error shall correct and compensate according to the principle of handling valuation errors or the method negotiated by the parties
Loss;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors, the fund registration agency shall
Make corrections and confirm the correction of valuation errors to relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) When there is an error in the calculation of the net value of fund units, the Fund Manager shall immediately correct it and notify the Fund Custodian,
And take reasonable measures to prevent further expansion of losses.
(2) When the error deviation reaches 0.25% of the net value of fund units, the Fund Manager shall notify the Fund Custodian and report
CSRC filing; When the error deviation reaches 0.5% of the net value of fund units, the fund manager shall make an announcement and report it to the China Securities Regulatory Commission
Recorded by the Regulatory Commission.
(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 the industry is otherwise popular
In practice, the Fund Manager and the Fund Custodian shall negotiate on the principle of equality and protection of the interests of Fund Unitholders.
7、 Suspension of valuation
1. The securities trading market or the national inter-bank 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 or other circumstances;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date, after consultation and confirmation with the fund custodian,
The Fund Manager shall suspend the valuation;
4. Other circumstances stipulated by laws and regulations, recognized by the CSRC and the fund contract.
8、 Recognition of net fund value
The Fund Manager shall be responsible for the calculation of the net value of the Fund assets and the net value of the Fund units, and the Fund Custodian shall be responsible for the review. base
The Fund Manager shall calculate the net value of the Fund assets and the net value of the Fund units on each valuation day after the end of the transaction and send them to the Fund
Gold Custodian. The fund custodian shall review and confirm the net value calculation result and send it to the fund manager, who shall check the
The net value of gold shall be published as required.
9、 Handling of special cases
1. When the Fund Manager or the Fund Custodian conducts valuation according to Item 8 of the valuation method, the error caused shall not be taken as the basis
Incorrect handling of gold asset valuation.
2. Due to force majeure, or due to stock exchanges, national inter-bank market, registration and settlement companies and deposit banks
The data sent by third party institutions such as banks is wrong, or changes in national accounting policies, market rules and other non fund management
The Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures to
The Fund Manager and the Fund Custodian shall be exempted from any error in the valuation of the Fund assets caused by the failure of the Bank to find any error after inspection
Excluding liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to mitigate or eliminate the resulting
influence.
10、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, it shall evaluate the assets of the main pocket account and disclose the main pocket account in accordance with the provisions of this Part
The disclosure of the net fund value information of the side pocket account is suspended.
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. Fund sales service fee;
4. Unless otherwise specified by laws and regulations and the CSRC, information disclosure related to the Fund after the Fund Contract takes effect
cost;
5. Accounting fees, attorney fees, audit fees, notarial fees, legal fees and
Arbitration fee;
6. Expenses for the general meeting of fund share holders;
7. Securities trading fees of the Fund;
8. Bank transfer fees of the Fund;
9. Fund related account opening and maintenance costs;
10. Other expenses that may be disbursed from the Fund assets in accordance with the relevant provisions of the State and the Fund Contract.
The expenses incurred in the termination of liquidation of the Fund shall be deducted from the assets of the Fund according to the actual expenditure.
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 an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. The management fee is calculated as follows:
H ＝ E × 0.20% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated day by day to the end of each month, and paid monthly. Managed by the Fund Manager and the Fund
After the Fund Custodian and the Fund Manager reach an agreement, the Fund Custodian shall, within 5 working days from the first day of the next month
It shall be paid to the fund manager in a lump sum from the fund property. In case of legal holidays, public holidays, etc., the payment date shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.05% of the net asset value of the Fund on the previous day. The calculation method of custody fee is as follows
Bottom:
H ＝ E × 0.05% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. The Fund Custodian shall check the consistent financial amount with the Fund Manager
According to the report, the fund manager will automatically pay the funds according to the designated account path within 5 working days at the beginning of the month, and there is no need for the fund manager to issue the funds again
With fund transfer instructions. In case of legal holidays, rest days, etc., the payment date shall be postponed to the latest payable date. Expense Auto
After deduction, the Fund Manager shall check, and in case of any discrepancy in data, contact the Fund Custodian for settlement through consultation.
3. Fund sales service fee
The sales service fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. The calculation method is as follows:
H ＝ E × 0.20% ÷ days of the year
H is the daily accrued fund sales service fee
E is the net asset value of the fund on the previous day
The fund sales service fee is accrued daily, accumulated day by day to the end of each month, and paid monthly. The custodian and the manager
Check the consistent financial data, and automatically make a one-time payment from the fund property to the registration authority within 5 working days at the beginning of the month, and then
It shall be paid by the registration agency to each fund sales agency. In case of legal holidays, public holidays, etc., the payment date shall be postponed.
Items 4-10 of the above "I. Types of fund expenses" shall be paid according to relevant regulations and corresponding agreements
The actual expenditure 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. The Fund Manager and the Fund Custodian fail to perform or fully perform their obligations, resulting in expenses or fund assets
Loss;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Subject Index Royalty. The licensing fee of the underlying index shall be borne by the fund manager and shall not be included in the fund property
Ramification;
5. Other items that may not be included in the fund fees according to the relevant laws and regulations and the relevant provisions of the CSRC.
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 should wait for the side pocket
The account assets can be disbursed only after they are realized, and the relevant fees can be charged or remitted as appropriate, but the management fees cannot be charged. See the recruitment for details
Provisions in the written form.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations. fund
The relevant taxes on property investment shall be borne by the fund share holders, and the fund manager or other withholding agents shall be subject to
Withholding and remitting according to the provisions on tax collection.
Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income after deducting relevant 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
Profit available for distribution of the fund refers to the realized income in the undistributed profit and undistributed profit of the fund as of the base date of income distribution
Whichever is lower.
3、 Principle of fund income distribution
1. On the premise of meeting the conditions for fund dividends, the fund manager can distribute the income according to the actual situation,
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 dividends or
Cash dividends are automatically converted into fund shares for reinvestment; If the investor does not choose, the default income distribution method of the Fund is
Cash Dividend; The lock up period for the reinvested shares of dividends obtained from fund units (original units) held by fund unit holders,
Calculated according to the lock up period of the original shares;
3. The net value of fund units after the distribution of fund income cannot be lower than the par value, that is, the net value of fund units on the base date of fund income distribution
The value less the income distribution amount of each unit fund unit cannot be lower than the face value;
4. Each fund unit of the Fund has the same distribution right;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
On the premise of complying with laws and regulations and the provisions of the regulatory authorities, and having no material adverse impact on the interests of fund share holders
The Fund Manager may, after performing appropriate procedures as required by the regulatory authorities and reaching consensus with the Fund Custodian
The principle of profit distribution shall be adjusted. It is not necessary to hold a general meeting of fund share holders, but the change shall be made before the implementation date of the change
Notice.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits as of the base date of income distribution, the objects of fund income distribution
Distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian in accordance with the Information Disclosure Measures
The relevant provisions of shall be announced in the specified media.
6、 Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. Current situation of investors
When the gold dividend is less than a certain amount and is not enough to pay the bank transfer or other handling fees, the fund registration authority may
The cash dividends of the holders shall be automatically converted into fund shares. The calculation method of dividend reinvestment shall be implemented 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 carry out income distribution, as detailed in the prospectus.
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, and the Fund Custodian is responsible for the review;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; The accounting year of the initial fund raising is
The following principles: if the Fund Contract takes effect for less than 2 months, it can be incorporated into the disclosure of the next accounting year;
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,
Prepare the 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 issue a written or
Other methods agreed by both parties.
2、 Annual audit of the Fund
1. The Fund Manager hires an accountant that is independent of the Fund Manager and the Fund Custodian and complies with the Securities Law
Certified public accountants and their certified public accountants shall audit the annual financial statements of the Fund.
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. Replacement of accounting firm
It is necessary to make an announcement on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures, the Information Disclosure Measures
Dynamic Risk Management Regulations, Fund Contract and other relevant regulations. Relevant laws and regulations on information disclosure
In case of any change in the method, media of publication, reporting method and other 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 Fund Unitholders' Meeting
Natural persons, legal persons and unincorporated organizations specified by laws and regulations such as gold share holders and the CSRC.
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 laws, regulations and
The provisions of the CSRC shall disclose fund information and ensure the authenticity, accuracy, integrity, timeliness
Simplicity and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC, pass the information of the Fund that should be disclosed
Media disclosure as required by the CSRC, and ensure that fund investors can check according to the time and method agreed in the Fund Contract
Read or copy publicly disclosed information.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory words of any natural person, legal person or unincorporated organization;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. If the foreign language text is used at the same time, the fund information disclosure
The obligor shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts, the Chinese version shall prevail.
The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the monetary unit is RMB.
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Prospectus, Fund Contract, Fund Custody Agreement, Fund Product Information Summary, Fund
Sales announcement
1. The Fund Contract is to define the rights and obligations of the parties to the Fund Contract, and define the holding of fund shares
The rules and specific procedures for holding the general meeting, specifying the characteristics of fund products and other matters involving the major interests of fund investors
Legal documents.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors, and explain the recognition of the fund
Purchase, subscription and redemption arrangements, fund investment, fund product characteristics, risk disclosure, information disclosure and fund share holders
Services, etc. After the Fund Contract comes into force, if the information in the Prospectus of the Fund changes significantly, the Fund Manager
The prospectus shall be updated and published on the specified website within three working days; Other letters of fund prospectus
In case of any change in interest, the Fund Manager shall update it at least once a year. If the operation of the fund is terminated, the fund manager will not renew the fund
Gold Prospectus.
3. The Fund Custody Agreement defines the activities of the Fund Custodian and the Fund Manager in the custody of the Fund property and the supervision of the Fund operation
Legal documents of the active rights and obligations.
4. The fund product information summary is the summary document of the fund prospectus, which is used to provide investors with a concise fund overview
Want information. After the Fund Contract comes into force, if the information in the fund product data summary has changed significantly, the Fund Manager shall
Within three working days, the summary of fund product information shall be updated and posted on the specified website and the website of the fund sales agency
Business outlets; In case of any change in other information of the fund product information summary, the fund manager shall update it at least once a year. Fund end
In case of termination of operation, the fund manager will not update the summary of fund product information.
5. The Fund Manager shall prepare an announcement on the sale of fund units with respect to the specific matters concerning the sale of fund units.
After the application for fund raising has been registered with the CSRC, the fund manager shall, three days before the sale of the fund units
The amount offering announcement, the indicative announcement of the fund prospectus and the indicative announcement of the fund contract are published in the specified newspapers and periodicals
The gold unit offering announcement, fund prospectus, fund product information summary, fund contract and fund custody agreement are published on
Specify the website, and publish the summary of fund product information on the website or business outlet of the fund sales agency; The Fund Custodian shall
The Fund Contract and the Fund Custody Agreement shall be published on the specified website at the same time.
（2） Announcement on the Effectiveness of the Fund Contract
The Fund Manager shall publish the Fund Contract on the specified media the day after receiving the confirmation document from the CSRC
Effective announcement.
（3） Net fund value information
After the Fund Contract comes into force and before starting to handle the subscription or redemption of fund units, the Fund Manager shall at least
The net value of fund units and the cumulative net value of fund units shall be disclosed once every week on the specified website.
After starting to handle the subscription or redemption of fund units, the fund manager shall, not later than the next day of each open day,
Disclose the net value of fund units and the accumulated fund units on the open day through the specified website, fund sales agency website or business outlet
Net worth.
The Fund Manager shall disclose the half year and the year on the prescribed website no later than the next day after the last day of the half year and the year
Net value of fund units and cumulative net value of fund units on the last day.
（4） Subscription and redemption price of fund units
The Fund Manager shall specify the subscription
Calculation method of redemption price and relevant subscription and redemption rates, and ensure that investors can
Business outlets consult or copy the above information.
（5） Fund periodic report, including annual report, interim report and quarterly report (including asset group
Quarterly report)
The Fund Manager shall, within three months from the end of each year, complete the annual report of the Fund and register the annual report
It shall be published on the specified website, and the suggestive announcement of the annual report shall be published on the specified newspapers and periodicals. Financial meeting in the annual report of the Fund
The report shall be audited by an accounting firm that complies with the provisions of the Securities Law.
The Fund Manager shall, within two months from the end of the first half of the year, prepare and complete the interim report of the Fund
It shall be published on the specified website, and the suggestive announcement of the interim report shall be published on the specified newspaper.
The Fund Manager shall, within 15 working days from the end of the quarter, complete the quarterly report of the Fund and submit the quarterly report
The notice shall be published on the specified website, and the suggestive notice of the quarterly report shall be published on the specified newspaper.
The Fund Manager may not prepare the current quarterly report, interim report or
Annual report.
If a single investor holds 20% or more of the total fund shares during the reporting period
As for the rights and interests of other investors, the Fund Manager shall at least report "other important information that affects the decisions of investors" on a regular basis
Disclosure of the investor's category, shares held and proportion at the end of the reporting period, changes in shares held during the reporting period and the basis
The special risks of the fund are excluded from the special circumstances recognized by the CSRC.
The fund manager shall disclose the assets of the fund portfolio and its liquidity risk in the annual report and interim report of the fund
Analysis, etc.
（6） Interim report
In case of any major event of the Fund, the relevant information disclosure obligor shall prepare in accordance with the relevant provisions of the Information Disclosure Measures
The interim report shall be published on the specified newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the event that may have a significant impact on the rights and interests of fund unit holders or the price of fund units
The following events that sound:
1. The convening and decisions of the general meeting of fund share holders;
2. The Fund Contract is terminated and the Fund is liquidated;
3. Conversion of fund operation mode and fund merger;
4. Change the fund manager, fund custodian, fund share registration agency, and change the fund to an accounting firm;
5. The fund manager entrusts the fund service agency to handle the registration, accounting, valuation and other matters of fund shares on behalf of the fund
The 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 shareholders holding more than 5% of the equity and the actual controller of the Fund Manager;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. The fund manager's senior management, fund manager and the head of the fund custodian's special fund custody department
Change;
10. If the directors of the Fund Manager have changed more than 50% in the last 12 months, the Fund Manager and the Fund Custody
The main business personnel of the special fund custody department have changed by more than 30% in the last 12 months;
11. Litigation or arbitration involving fund management business, fund property and fund custody business;
12. The fund manager or its senior management personnel and fund manager are subject to major administration due to fund management business related behaviors
Penalties and criminal penalties: the fund custodian or the head of its special fund custody department is subject to
Major administrative punishment and criminal punishment;
13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, and the actual control
Securities issued by or underwritten during the underwriting period by a person or a company that has a major interest with him, or engaging in other heavy
Major related party transactions, unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Accrual standards, methods and fees for management fees, custody fees, sales service fees, subscription fees, redemption fees, etc
Rate changes;
16. The valuation error of the net value of fund units reaches 0.5% of the net value of fund units;
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 involving adjustment of fund subscription and redemption events or potential impact on investors' redemption occur;
22. The Fund Manager adopts the swing pricing mechanism for valuation;
23. Adjust the setting of fund share categories;
24. The Fund launches new businesses or services;
25. The underlying index of the Fund is changed;
26. The Fund Information Disclosure Obligor believes that it may cause heavy losses to the rights and interests of the Fund Unitholders or the price of the Fund Units
Other matters with great influence or other matters stipulated by the CSRC and the fund contract.
（7） Clarification announcement
During the duration of the Fund Contract, any news appearing in any public media or circulating in the market may
Where the price of fund units has a misleading effect or causes major fluctuations, and may damage the rights and interests of fund unit holders,
The obligor of relevant information disclosure shall immediately make public clarification on the information after it is known.
（8） Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to liquidate the fund assets and
Make a liquidation report. The fund assets liquidation group shall publish the liquidation report on the specified website and remind the liquidation report
The sexual announcement shall be published in the required newspapers and periodicals.
（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） Information disclosure of investment asset-backed securities
The Fund Manager shall disclose the total amount of asset-backed securities and asset expenditure held by it in the Fund's annual report and interim report
The proportion of the market value of the securities held in the net assets of the fund and the details of all asset-backed securities during the reporting period.
The Fund Manager shall disclose the total amount of asset-backed securities and the market value of asset-backed securities held by it in the quarterly report of the Fund
Proportion in the net assets of the fund and the top 10 asset-backed securities ranked by the proportion of market value in the net assets of the fund at the end of the reporting period
detailed.
（11） Information disclosure during the implementation of the side pocket mechanism
Where the Fund implements the side pocket mechanism, the relevant information disclosure obligor shall, in accordance with laws and regulations, the fund contract and the recruitment statement
Information disclosure shall be carried out in accordance with the provisions of the prospectus. See the provisions of the prospectus for details.
（12） 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 and designate special departments and senior managers
Personnel are responsible for managing information disclosure.
Fund managers and fund custodians should strengthen the control of undisclosed fund information and establish sensitive fund information
Insider registration system. Fund managers, fund custodians and relevant practitioners shall not disclose undisclosed fund letters
Interest.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund information disclosure content of the CSRC
And format standards and other laws and regulations.
The Fund Custodian shall, in accordance with the relevant laws and regulations, the provisions of the CSRC and the Fund Contract
The net asset value of the Fund, the net value of the Fund units, the purchase and redemption price of the Fund units, the regular report of the Fund
The updated prospectus, summary of fund product information, fund liquidation report and other publicly disclosed relevant fund information shall be replied
Check and review, and make written or electronic confirmation to the fund manager.
The Fund Manager and the Fund Custodian shall choose one of the prescribed newspapers to disclose information. Fund manager
The fund custodian shall submit the fund information to be disclosed to the fund electronic disclosure website of the CSRC and ensure the relevant submission
The information is true, accurate, complete and timely.
In order to strengthen investor protection and improve the quality of information disclosure service, the fund manager shall, in accordance with the provisions of the CSRC
Investors shall timely provide information that has a significant impact on their investment decisions.
In addition to disclosing information as required by laws and regulations, fund managers and fund custodians can also focus on providing information for investors to make decisions
From the perspective of useful information, in order to ensure that investors are treated fairly, investors are not misled, and the normal investment operation of the fund is not affected
On the premise of this, we should improve the quality of information disclosure services independently. The specific requirements shall comply with the relevant provisions of the CSRC and the self regulatory rules
regulations. In case of any information disclosure fee arising from the aforesaid independent disclosure, such fee shall not be disbursed from the fund property.
Professional institutions that issue audit reports and legal opinions for the fund information publicly disclosed by the fund information disclosure obligor,
The working paper shall be prepared and the relevant files shall be kept at least as low as required by laws and regulations after the termination of the Fund Contract
Years.
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, in accordance with the relevant laws and regulations
The information is kept at the company's domicile for public reference and reproduction.
8、 Suspension or delay of relevant information disclosure
1. The stock exchange or national inter-bank 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 or other circumstances;
3. Valuation suspension occurs;
4. Other circumstances stipulated by laws and regulations, recognized by the CSRC or the Fund Contract.
Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The change of the fund contract involving the provisions of laws and regulations or the fund contract shall be approved by the resolution of the general meeting of fund share holders
A resolution shall be passed at a general meeting of fund share holders. For the provisions of laws and regulations and fund contract
The matters approved by the general meeting of fund unit holders shall be changed and announced after being approved by the fund manager and the fund custodian,
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 takes effect, and the resolution shall take effect
Later, it will be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
2、 Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the fund manager and the fund custodian are terminated, and there are no new fund managers or new fund custodians within 6 months
Undertaken;
3. The underlying index does not meet the requirements (due to factors other than changes in index compilation methods such as price fluctuation of component bonds
The subject index does not meet the requirements or laws and regulations, unless otherwise specified by the regulatory authority), the index compiling agency exits, etc
Under such circumstances, the Fund Manager convened a general meeting of the Fund Unitholders to vote on the solution, and the general meeting of the Fund Unitholders failed to
The meeting is successfully held or the voting on the above matters is not passed;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation team: establish the fund within 30 working days from the date of termination of the Fund Contract
Asset liquidation group: the fund manager organizes the fund asset liquidation group and conducts fund assets under the supervision of the CSRC
Liquidation.
2. Before the Fund assets liquidation team takes over the Fund assets, the Fund Manager and the Fund Custodian shall
The provisions of the Trust Agreement and the Trust Agreement continue to perform the responsibility of protecting the security of the Fund's assets.
3. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager, the Fund Custodian
The composition of certified public accountants, lawyers and personnel designated by the CSRC as stipulated in the Securities Law. Fund asset liquidation team
Necessary staff can be employed.
4. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation, valuation and change of the Fund assets
Present and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
5. Fund asset liquidation procedures:
(1) After the establishment of the fund assets liquidation group, the fund assets liquidation group 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;
(4) Prepare liquidation report;
(5) Employ an accounting firm conforming to the provisions of the Securities Law to conduct external audit on the liquidation report, and employ lawyers
The financial office shall issue a legal opinion on the liquidation report;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
6. The time limit for the liquidation of the Fund's assets is six months, but it cannot be timely because the liquidity of the securities held by the Fund is restricted
In case of liquidation, the liquidation period shall be postponed accordingly.
7. The Fund Manager and the Fund Custodian have reached consensus or the Fund Asset Liquidation Team believes that there is a difference between
In order to adopt a favorable liquidation method, the liquidation of the Fund's assets can be carried out in accordance with this method and announced in a timely manner, without the need to convene fund units
General Meeting of Holders. If the relevant laws and regulations or the regulatory authorities stipulate otherwise, it shall be handled according to the relevant laws and regulations or the requirements of the regulatory authorities
Li.
4、 Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund assets liquidation
The settlement fee shall be paid by the Fund Assets Liquidation Team in priority from the remaining assets of the Fund.
5、 Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of fund assets, all remaining assets after the liquidation of fund assets shall be deducted from the liquidation of fund assets
After paying the fees and taxes owed and paying off the fund debts, the funds shall be distributed in proportion to the fund units held by the fund unit holders.
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 subject to the provisions of the Securities Law
The accounting firm shall audit and the law firm shall issue a legal opinion, which shall be reported to the CSRC for filing and announcement. Fund property
The liquidation announcement shall be made by the Fund Assets Liquidation Team within 5 working days after the Fund Assets Liquidation Report is submitted to the CSRC for filing
Notice. The Fund Assets Liquidation Team shall publish the liquidation report on the specified website and publish the suggestive announcement of the liquidation report
Published in the required 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 no less than the minimum period of time prescribed by laws and regulations.
Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law and other laws and regulations in the process of performing their respective duties
If damage is caused to the Fund property or the Fund Unitholders, it shall
Their respective acts shall be liable for compensation according to law; If the joint act has caused damage to the fund assets or the holders of fund units,
Should bear joint and several liability for compensation; After assuming joint and several liabilities, one party has the right to claim compensation from the other party according to the degree of fault. yes
Compensation for losses is limited to direct losses. However, the party concerned shall be exempted from liability in 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 CSRC and the Banking Supervision
Losses caused by acts or omissions specified by the management organization;
3. Losses caused by the Fund Manager's investment or non investment in accordance with the investment principles specified in the Fund Contract.
2、 In case of breach of contract by one or more parties, the premise of protecting the interests of fund share holders to the maximum extent
If the Fund Contract can continue to be performed, it shall continue to be performed. The non breaching party has obligations within the scope of its duties and
Take necessary measures to prevent the expansion of losses. If the loss is further aggravated due to the failure to take appropriate measures
Claim compensation for the expanded loss. The reasonable expenses incurred by the non defaulting party to prevent the loss from expanding shall be borne by the defaulting party.
3、 The Fund Manager and the Fund Custodian make business errors due to factors beyond their control
Although the Fund Custodian has taken necessary, appropriate and reasonable measures to check, it has failed to find any errors or
The Fund Manager and the Fund Custodian shall be exempted from the loss of the Fund property or investors caused by the failure to avoid the error
Excluding liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate the resulting
influence.
Part XXI Dispute Settlement and Applicable Law
The parties agree that all disputes arising from or in connection with the Fund Contract shall be settled through
Through friendly negotiation or mediation. The parties to the fund contract are unwilling to settle through negotiation or mediation or negotiation or mediation fails
Either party has the right to submit the dispute to Shanghai International Economic and Trade Arbitration Commission for arbitration in accordance with the Commission's then effective arbitration
The arbitration shall take place in Shanghai. The arbitral award is final and binding on the parties. Except arbitration
The arbitration fee shall be borne by the losing party as otherwise stipulated in the award.
During the dispute resolution period, the parties to the fund contract shall abide by their respective responsibilities and continue to perform the fund contract faithfully, diligently and responsibly
To safeguard the lawful rights and interests of fund share holders.
The Fund Contract is governed by the laws of the People's Republic of China (for the purpose of this Contract, excluding Hong Kong and Macao, China)
Laws of the Special Administrative Region and Taiwan, China).
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 is sealed by the Fund Manager and the Fund Custodian, and the legal representatives or authorized representatives of both parties
Sign or seal and go through the fund filing formalities with the CSRC through the fund manager after the end of the offering, and
It will take effect after written confirmation.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the date when the liquidation results of the Fund assets are reported to the CSRC for filing and publication
Until the date of notification.
3. The Fund Contract shall, as of the effective date, apply to the Fund Manager, the Fund Custodian and the Fund Unitholders
All parties to the Fund Contract shall have the same legal binding force.
4. The original of the Fund Contract is in triplicate. In addition to one copy submitted to the relevant regulatory authority, the Fund Manager, the Fund
The Custodian shall hold one copy each with the same legal effect.
5. The Fund Contract can be printed in a volume for investors to work in the Fund Manager, Fund Custodian and Sales Agency
Site and business site inspection.
Part XXIII Other Matters
Any matters not covered in the Fund Contract shall be settled by the parties to the Fund Contract through consultation in accordance with relevant laws and regulations.
Part XXIV Summary of the Fund Contract
1、 Rights and obligations of the Fund Manager, Fund Custodian and Fund Unitholders
（1） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Manager include but are not limited to:
(1) Raising funds according to law;
(2) From the effective date of the Fund Contract, independently use and manage the Fund in accordance with laws and regulations and the Fund Contract
Property;
(3) Collect fund management fees and other fees specified by laws and regulations or approved by the CSRC in accordance with the Fund Contract
Use;
(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
The Fund Contract and relevant national laws and regulations shall be reported to the CSRC and other regulatory authorities, and necessary measures shall be taken
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;
(9) Serve as or entrust other qualified institutions to act as the fund registration agency to handle the fund registration business and obtain
Fees specified in the gold 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;
(12) Exercising creditor's rights against the invested company for the benefit of the fund in accordance with laws and regulations and for the benefit of the fund
Rights arising from the investment of fund assets in securities;
(13) In the name of the Fund Manager, on behalf of the interests of the Fund Unitholders, exercise litigation rights or implement other actions
Legal act;
(14) Selecting or replacing law firms, accounting firms, securities brokers or other providers of services for the Fund
External institutions;
(15) Formulate and adjust relevant fund subscription, subscription, redemption and transfer on the premise of compliance with relevant laws and regulations
Business rules for exchange, non transaction transfer, custody transfer, fixed investment, etc;
(16) 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 are not limited to:
(1) Raising funds according to law, handling or entrusting other institutions recognized by the CSRC to handle fund units
Sale, subscription, redemption and registration;
(2) Handle fund registration or filing procedures;
(3) From the effective date of the Fund Contract, manage and use the Fund assets in the principle of good faith, prudence and diligence;
(4) Allocate sufficient personnel with professional qualifications to analyze and make decisions on fund investment in a professional way
To manage and operate the assets of the Fund;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems to ensure the management of the Institute
The assets of the Fund and the assets of the Fund Manager are independent of each other, and they are managed separately for different funds under their management, accounted for and entered into
Bank securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, you may not use the Fund assets for your own
And any third person seeking benefits shall not entrust any third person to operate the fund property;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to make the method for calculating the subscription, purchase, redemption and cancellation prices of fund units conform to
According to the provisions of the Fund Contract and other legal documents, calculate and disclose the net value of the fund and determine the application for fund shares
Purchase and redemption price;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure and reporting in strict accordance with the Fund Law, the Fund Contract and other relevant provisions
Service;
(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 Gold Contract and other relevant provisions, the fund information shall be kept confidential and not disclosed to others before public disclosure,
Except for those provided to regulatory agencies, judicial authorities, external professional consultants such as audit and law consultants according to law;
(13) Determine the fund income distribution plan as agreed in the Fund Contract, and distribute the funds to fund share holders in a timely manner
Gold income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene a general meeting of fund unit holders or allocate funds in accordance with the Fund Law, the Fund Contract and other relevant provisions
The mutual fund custodian and fund unit holders shall convene a general meeting of fund unit holders in accordance with the law;
(16) Keep the accounting books, statements, records and other relevant materials of fund property management business activities as required
Less than the minimum number of years prescribed by laws and regulations;
(17) Ensure that all documents or materials that need to be provided to fund investors are issued within the specified time, and ensure investment
The investor can access the public information related to the fund at any time according to the time and method specified in the Fund Contract, 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 of fund assets
Matching;
(19) In the face of dissolution, being canceled or declared bankrupt according to law, timely report to the CSRC and notify
Gold custodian;
(20) When the violation of the Fund Contract causes the loss of the Fund property or damages the legitimate rights and interests of the Fund Unitholders,
Shall bear the liability for compensation, and its liability for compensation shall not be exempted by his retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract
In case of any loss of fund property due to violation of the Fund Contract, the Fund Manager shall place the fund in custody for the benefit of the Fund Unitholders
Human recourse;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with fund affairs to the third party
Conduct responsibility;
(23) Exercise litigation rights or implement other legal acts on behalf of fund share holders in the name of the fund manager
Is;
(24) The Fund Manager fails to meet the filing conditions of the Fund during the offering period, and the Fund Contract cannot take effect
The fund manager shall bear all the raising expenses and settle the raised funds in the fund raising period together with the interest of current deposit of the bank for the same period
Return to the fund subscriber within 30 days after the deadline;
(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） 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 are not limited to:
(1) From the effective date of the Fund Contract, the Fund shall be safeguarded in accordance with laws, regulations and the provisions of the Fund Contract
Production;
(2) Obtaining the fund custody fee and other fees prescribed by laws and regulations or approved by the regulatory authority in accordance with the Fund Contract
Use;
(3) Supervise the Fund Manager's investment operation in the Fund. If the Fund Manager is found to have violated the Fund Contract and
If the national laws and regulations have caused heavy losses to the fund property and the interests of other parties, it shall be reported to the China Securities Regulatory Commission
And take necessary measures to protect the interests of fund investors;
(4) According to relevant market rules, open securities accounts, capital accounts and other investment accounts for the fund
Clearing of securities trading funds;
(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 are not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) Set up a special fund custody department, have a business site that meets the requirements, and have sufficient and qualified familiarity
The full-time staff of the fund custody business shall be responsible for the custody of fund assets;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems to ensure that the fund
The security of the assets and the mutual independence between the fund assets under its custody, the fund custodian's own assets and different fund assets;
Set up separate accounts for different funds under custody, conduct independent accounting and separate account management to ensure that accounts are set up between different funds
Independent of each other in terms of purchase, fund allocation and account book recording;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, you may not use the Fund assets for your own
And any third person seeking benefits shall not entrust a third person to trust the fund property;
(5) To keep the major contracts and relevant vouchers related to the Fund signed by the Fund Manager on behalf of the Fund;
(6) Open fund accounts, securities accounts and other accounts required for investment of fund assets as required, and
According to the investment instructions of the Fund Manager, timely handle the liquidation and delivery matters;
(7) Unless otherwise specified in the Fund Law, the Fund Contract and other relevant regulations,
Before the public disclosure of fund information, it shall be kept confidential and shall not be disclosed to others, but shall be disclosed to regulatory authorities, judicial authorities, auditors
Except those provided by external professional consultants such as legal consultants;
(8) Review and review the net value of fund assets, net value of fund units, purchase and redemption of fund units calculated by the fund manager
Back price;
(9) To handle information disclosure related to fund custody business activities;
(10) Give opinions on the financial accounting report, quarterly report, interim report and annual report of the fund, and explain the fund management
Whether the manager operates in all important aspects in strict accordance with the provisions of the Fund Contract; If the fund manager fails to execute
When performing the acts specified in the Fund Contract, it shall also state whether the Fund Custodian has taken appropriate measures;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities not less than laws and regulations
Minimum fixed number of years;
(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) Pay fund income and redemption money to fund share holders in accordance with the instructions of the fund manager or relevant regulations;
(15) Convene a general meeting of fund unit holders or
Cooperate with the Fund Manager and Fund Unitholders to convene a general meeting of Fund Unitholders 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 liquidation group of the Fund assets and participate in the custody, liquidation, valuation, realization and distribution of the Fund assets;
(18) Timely report to the CSRC and the banking industry when faced with dissolution, legal revocation or bankruptcy declaration
To supervise the management institution 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, and its liability for compensation shall not be due to
He is removed from office upon retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws and regulations and the Fund Contract
If the Manager causes losses to the Fund property due to violation of the Fund Contract, it shall report to the Fund Manager for the benefit of the Fund Unitholders
Recovery;
(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） Rights and obligations of 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 investor shall become the Fund Unitholder and a party to the Fund Contract when he/she obtains the Fund units in accordance with the Fund Contract
Until he no longer holds the fund shares of the Fund. As a party to the Fund Contract, the Fund Unitholders shall not
It is necessary to sign or seal the Fund Contract in writing.
Unless otherwise stipulated by laws and regulations or the Fund Contract, each fund share has the same legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders include but do not include
be limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) According to the provisions of the Fund Contract, transfer or apply for redemption of the 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, and act on the matters discussed at the general meeting of fund unit holders
Exercise voting rights;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) Initiate legal proceedings against the Fund Manager, the Fund Custodian and the Fund Service Institution for acts that damage their legitimate rights and interests
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 include but do not include
be limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus, Fund Product Data Summary and other information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, independently judge the investment value of the fund
Make investment decisions and bear investment risks;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription, subscription or conversion funds and fees specified in laws and regulations and the Fund Contract;
(5) To bear the limited liability for fund losses or termination of the Fund Contract within the scope of fund units held by them;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
（1） Reason for convening
1. When one of the following events occurs or needs to be decided, a general meeting of fund unit holders shall be held, provided that
Unless otherwise stipulated by the CSRC or the fund contract:
(1) Terminate the Fund Contract, unless otherwise agreed in 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 and increase the sales service rate;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Fund share holders who individually or jointly hold more than 10% (including 10%) of the total fund shares
(Calculated based on the fund units on the day when the fund manager receives the proposal, the same below) Request in writing to convene fund units on the same matter
General meeting of holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) The Fund Unitholders shall be convened as required by laws and regulations, the Fund Contract or other provisions of the CSRC
Meeting matters.
2. Within the scope stipulated by laws and regulations and the Fund Contract, and without material benefit to the Fund Unitholders
Under the premise of positive impact, the following circumstances can be modified by the Fund Manager and the Fund Custodian after consultation, without the need to convene fund units
General Meeting of Holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate of the Fund, lower the sales service rate or change the charging method;
(3) On the premise of complying with relevant laws and regulations, adjust the subscription, purchase, redemption, conversion and non delivery of relevant funds
Rules for easy transfer, fixed investment, custody transfer, income distribution and other businesses;
(4) Increase or adjust the setting of fund share categories and stop cash flow within the scope of laws and regulations and the Fund Contract
The sale of fund units and the adjustment of the classification methods and rules of fund units;
(5) The Fund launches new businesses or services;
(6) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(7) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or does not involve
The rights and obligations of the parties to the Fund Contract have changed significantly;
(8) Other circumstances under which it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract.
（2） Convener and convening method
1. Unless otherwise stipulated by laws and regulations or the Fund Contract, the general meeting of fund share holders shall be convened by the Fund Manager
Set.
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 submit a written proposal to the Fund Manager
Discussion. The Fund Manager shall decide whether to convene the meeting within 10 days from the date of receiving the written proposal and notify the Fund Custodian in writing.
If the Fund Manager decides to convene the meeting, it shall convene the meeting within 60 days from the date of issuing the written decision; The Fund Manager decides not to convene the meeting,
If the Fund Custodian still deems it necessary to convene the meeting, it shall convene the meeting by itself, and the meeting shall commence from the date of issuing a written decision
The Fund Manager shall be convened and notified within 60 days, and the Fund Manager shall cooperate.
4. Fund share holders representing more than 10% (including 10%) of the fund shares request in writing to convene a fund on the same matter
The general meeting of unit holders shall submit a written proposal to the fund manager. The Fund Manager shall, from the date of receipt of the written proposal
Decide whether to convene the meeting or not within 10 days, and notify the representatives of the Fund Unitholders and the Fund Custodian who put forward the proposal in writing. fund
If the manager decides to convene the meeting, it shall be convened within 60 days from the date of issuing the written decision; The Fund Manager decides not to convene the meeting
If the Fund Unitholders with more than 10% (including 10%) of the Fund Units still think it necessary to hold the meeting, they shall report to the Fund Custodian
Make a written proposal. The Fund Custodian shall decide whether to convene the meeting or not within 10 days from the date of receipt of the written proposal and notify it in writing
Representatives of the Fund Unitholders and the Fund Manager who put forward the proposal; If the Fund Custodian decides to convene the meeting, it shall issue a written document
The meeting shall be held within 60 days from the date of decision. And inform the Fund Manager that the Fund Manager shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of fund shares request to convene fund shares on the same matter
If the general meeting of the holders is not convened by the Fund Manager or the Fund Custodian, it alone or collectively represents more than 10% of the Fund shares
The fund share holders (including 10%) have the right to convene on their own and report to the CSRC for filing at least 30 days in advance. Funds
Where a fund share holder convenes a general meeting of fund share holders on his own according to law, the fund manager and the fund custodian shall cooperate and shall not
Obstruction and interference.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and equity registration date of the meeting.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund unit holders, the convener shall make an announcement in the specified media at least 30 days before the meeting.
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 validity of the agent)
), 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 explain this meeting in the meeting notice
The specific means of communication adopted by the National People's Congress of Fund Unitholders, the entrusted notary organ and its contact information, contact person and table
The deadline for sending and receiving the decision.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to go to the designated place to calculate the voting opinions
Vote for supervision; If the convener is the Fund Custodian, it shall notify the Fund Manager in writing to make a decision at the designated place
Supervise the counting of votes; If the convener is the fund unit holder, it shall notify the fund manager and the fund trustee in writing separately
The supervisor shall go to the designated place to supervise the counting of votes. The Fund Manager or the Fund Custodian refuses to send representatives to vote
If the counting of votes of opinions is supervised, the counting effect of voting opinions shall not be affected.
（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, laws and regulations, and regulatory authorities
And other methods agreed in the fund contract. The convening method of the meeting shall be determined by the convener of the meeting.
1. On site meeting. The fund share holder shall attend in person or appoint a representative to attend by proxy,
At the on-site meeting, the authorized representatives of the Fund Manager and the Fund Custodian shall attend the General Meeting of Fund Unitholders as nonvoting delegates
The voting effect shall not be affected if the person or the fund custodian does not send representatives to attend as nonvoting delegates. When the following conditions are met during the on-site meeting
Conduct the agenda of the general meeting of fund share holders:
(1) The certificate of fund shares held by the person attending the meeting in person, and the certificate of fund shares held by the principal issued by the person entrusted to attend the meeting
The amount certificate and the proxy voting authorization certificate of the principal comply with laws and regulations, the Fund Contract and the regulations of the meeting notice
And the vouchers for holding fund units are consistent with the registration information held by the fund manager;
(2) After verification, the voucher of fund shares held on the equity registration date presented by the participants shows that the valid fund
The shares shall not be less than one-half (including one-half) of the total shares of the Fund on the equity registration date. If the participants are interested in
If the effective fund units represented on the registration date are less than half of the total fund units of the Fund on the equity registration date, the convener may
The original items to be considered shall be reviewed within 3 months and 6 months after the time of the original announcement of the general meeting of fund unit holders
Convene a new general meeting of fund unit holders. Representatives of the reconvened fund unit holders' meeting on the equity registration date
The effective fund units shall not be less than one third (including one third) of the total fund units of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders vote on voting matters in writing or at a general meeting
Other methods specified in the announcement shall be delivered to the address or system designated by the convener before the deadline for voting. Correspondence meetings shall be held in written form
Voting shall be conducted in face or other ways specified in the announcement of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, it shall continuously publish relevant information within 2 working days
Suggestive announcement;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener, it shall be the fund custodian
Manager) to the designated place to supervise the counting of votes. The convener of the meeting is in charge of the fund custodian (if the fund is in custody
As the convener, the fund manager) and the notary office shall collect the fund shares in the manner specified in the notice of the meeting
Voting opinions of the holders; If the Fund Custodian or the Fund Manager is notified not to participate in the collection of voting opinions, the statement will not be affected
Decisive effect;
(3) Fund share holders who directly issue voting opinions or authorize others to issue voting opinions
Of the Fund units shall not be less than one-half (including one-half) of the total Fund units on the equity registration date; If I directly issue
In case of voting opinions or authorized representatives to issue voting opinions, fund units held by fund unit holders are less than equity
One half of the total fund units on the registration date, the convener may hold the general meeting of fund unit holders 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. Reconvened fund
At the general meeting of unit holders, holders representing more than one-third (including one-third) of the fund units shall vote directly
Opinions or authorized representatives to issue voting opinions;
(4) The fund share holder or trustee who directly issues the voting opinion in Item (3) above issues the voting on behalf of others
The agent of the opinion, the certificate of holding the fund unit submitted at the same time, and the proxy issued by the agent entrusted to issue the voting opinion
The certificate of fund shares held by the principal and the certificate of proxy voting authorization of the principal comply with laws and regulations, the Fund Contract and
The provisions of the notice of the meeting shall be consistent with the records of the fund registration authority.
3. On the premise that there is no conflict with laws and regulations, the general meeting of fund share holders can be held via the Internet, telephone or other means
Fund share holders can vote in writing, online, telephone, SMS or other ways
It shall be determined by the convener of the meeting and listed in the meeting notice.
4. If the fund share holder authorizes others to attend the meeting and vote on his behalf without conflict with laws and regulations,
The authorization may be in writing, online, telephone, SMS or other ways, and the specific way shall be listed in the meeting notice.
（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 and decisions to the Fund Contract
Termination of the Fund Contract, replacement of the Fund Manager, replacement of the Fund Custodian, merger with other funds, laws and regulations
Other matters specified in the Fund Contract and other matters that the convener of the meeting deems necessary to be submitted to the general meeting of fund unit holders for discussion
matter.
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 be made in the
A timely announcement shall be made before the convening of the general meeting of unit holders.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and announce the supervision according to the procedures specified in Article (7) below
After that, the presider of the conference will read out the proposal and vote after discussion to form the resolution of the conference. The host of the conference is
If the authorized representative of the Fund Manager fails to preside over the meeting, the Fund
The custodian authorizes its representative to preside over the meeting; If neither the authorized representative of the Fund Manager nor the authorized representative of the Fund Custodian
If they can preside over the meeting, more than half (including two) of the voting rights held by fund share holders and agents attending the meeting
1/) elect a Fund Unitholder as the chairperson of the Fund Unitholders' Meeting. fund management
The refusal of the Fund Custodian and the Fund Custodian to attend or preside over the General Meeting of Fund Unitholders shall not affect the decisions made by the General Meeting of Fund Unitholders
Validity of resolutions.
The convener of the meeting shall prepare the signature book of the attendees. The name (or unit) of the participants shall be recorded in the signature book
Name), ID document number, fund shares held or represented with voting rights, name of the trustor (or unit name)
And contact information.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal at least 30 days in advance, and the deadline for voting shall be notified
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office, which shall be formed under the supervision of the notary office
Resolution.
（6） Voting
Unless otherwise stipulated by laws and regulations or the Fund Contract, each fund share held by the fund share holder
Have equal voting rights.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. General resolution, general resolution shall be subject to half of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) is valid; Except for the matters to be passed by special resolution as specified in item 2 below
Other matters shall be passed by general resolution.
2. Special resolution, which shall be subject to three votes held by fund share holders or their proxies attending the meeting
It can only be made after more than two thirds (including two thirds) pass. Unless otherwise stipulated by laws and regulations, CSRC or fund contract
Unless otherwise agreed, change the operation mode of the Fund, change the Fund Manager or Fund Custodian, terminate the Fund Contract
The merger of the Fund with other funds shall be effective only after the adoption of a special resolution.
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, it shall be submitted to the meeting
The voting to confirm the investor's identity document specified in the notice shall be deemed as an effective attendance of the investor, which apparently conforms to the provisions of the notice of the meeting
If the voting opinions are ambiguous or contradictory, it will be regarded as abstention from voting, but shall be counted into
The total number of fund units represented by fund unit holders with voting opinions.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be considered separately and item by item
vote.
On the premise of the above rules, the specific rules shall be subject to the notice of the general meeting of fund unit holders issued by the convener.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the chairperson of the general meeting of Fund Unitholders shall be present at the meeting
At the beginning of the meeting, it was announced that two representatives of fund share holders and the large
A supervisor authorized by the convener of the meeting shall act as the scrutinizer jointly; If the general meeting is convened by the fund share holders themselves or if the general meeting
If the fund manager or fund custodian fails to attend the meeting
The chairperson of the general meeting of fund holders shall announce that three fund share holders present at the meeting shall elect
The representative of the gold share holder acts as the scrutinizer. Failure of the Fund Manager or the Fund Custodian to attend the meeting shall not affect the effectiveness of vote counting
power.
(2) The scrutineer shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall announce the counting of votes on the spot
result.
(3) If the chairperson of the meeting or the fund share holder or agent has any objection to the submitted voting results, he/she may enter
Immediately after the announcement of the voting results, the number of votes required shall be counted again. The scrutineer shall make a new count
Only once. After re counting, the presider of the meeting shall announce the re counting results on the spot.
(4) The vote counting process shall be notarized by a notary office. If the fund manager or fund custodian refuses to attend the meeting
Affect the validity of counting votes.
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 authorized to
The authorized representative (or the authorized representative of the fund manager if convened by the fund custodian) counts the votes under the supervision of the notary public
The authority shall notarize the counting process. The Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes
The supervision 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 for filing within 5 days from the date of adoption.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be submitted to the specified media in accordance with the relevant provisions of the Information Disclosure Measures from the effective date
Announcement on. If voting is carried out by means of communication, the notarial certificate must be submitted when the resolution of the general meeting of fund share holders is announced
The full text, 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 resolutions of the General Meeting of Fund Unitholders
Discussion. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders, fund managers and fund custodians
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 holders of main pocket shares and the side pocket shares
The fund units or voting rights held or represented by the fund holders respectively meet these proportions, but if the relevant fund unit holders
If the matters to be convened and discussed do not involve side pocket accounts, they only refer to the fund units or tables held or represented by the holders of main pocket units
The right of decision is in line with such proportion:
1. The Fund Unitholders need to represent the relevant Fund Units individually or collectively when exercising the right to propose, convene and nominate
More than 10% (including 10%);
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than the relevant funds of the Fund on the equity registration date
One half (including one half) of the gold share;
3. Held by fund share holders who directly issue voting opinions or authorize others to issue voting opinions on behalf of those who hold correspondence meetings
Some fund units are not less than half (including half) of the relevant fund units on the equity registration date;
4. If the fund units held by the fund unit holders who participate in the voting of the general meeting of fund unit holders are less than those held in Quanyideng
One half of the relevant fund units on the record date, 3 months after the convener held the general meeting of fund unit holders as originally announced
The general meeting of fund unit holders reconvened within the next six months on the matters originally scheduled for consideration shall be attended by one-third of the representatives
The holders of the relevant fund units above (including one-third) participate in or authorize others to participate in the voting of the general meeting of fund unit holders;
5. The on-site meeting shall be held by more than half (including two) of the voting rights of fund share holders and agents present at the meeting
1/) electing a Fund Unitholder as the chairperson of the general meeting of Fund Unitholders;
6. General resolutions shall be subject to more than half of the voting rights held by fund share holders or their agents attending the meeting
(including half) passed;
7. Special resolutions shall be subject to more than two-thirds of the voting rights held by fund share holders or their agents attending the meeting
(Two thirds included) passed.
During the implementation of the side pocket mechanism, if the matters considered by the general meeting of fund share holders involve the main pocket account and the side pocket account, they should be divided into
Do not vote by the fund share holders of the main pocket account and side pocket account. Each fund share in the same main side pocket account
Have equal voting rights. If the voting matter does not involve the side pocket account, the side pocket account share has no voting right.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section,
Relevant provisions of this part shall apply to those not specified in this section.
（10） This part deals with the causes, conditions, procedures and voting conditions of the general meeting of fund share holders
Provisions, which directly refer to laws and regulations or regulatory rules, such as changes in future laws and regulations or regulatory rules
If the relevant content is cancelled or changed, the Fund Manager shall negotiate with the Fund Custodian in accordance with the newly issued laws, regulations or regulatory rules
After being consistent and announced in advance, this part can be modified and adjusted directly without convening a general meeting of fund share holders
consideration.
3、 Principle of fund income distribution
1. On the premise of meeting the conditions for fund dividends, the fund manager can distribute the income according to the actual situation,
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 dividends or
Cash dividends are automatically converted into fund shares for reinvestment; If the investor does not choose, the default income distribution method of the Fund is
Cash Dividend; The lock up period for the reinvested shares of dividends obtained from fund units (original units) held by fund unit holders,
Calculated according to the lock up period of the original shares;
3. The net value of fund units after the distribution of fund income cannot be lower than the par value, that is, the net value of fund units on the base date of fund income distribution
The value less the income distribution amount of each unit fund unit cannot be lower than the face value;
4. Each fund unit of the Fund has the same distribution right;
5. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
On the premise of complying with laws and regulations and the provisions of the regulatory authorities, and having no material adverse impact on the interests of fund share holders
The Fund Manager may, after performing appropriate procedures as required by the regulatory authorities and reaching consensus with the Fund Custodian
The principle of profit distribution shall be adjusted. It is not necessary to hold a general meeting of fund share holders, but the change shall be made before the implementation date of the change
Notice.
4、 Fund fees and taxes
（1） Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Fund sales service fee;
4. Unless otherwise specified by laws and regulations and the CSRC, information disclosure related to the Fund after the Fund Contract takes effect
cost;
5. Accounting fees, attorney fees, audit fees, notarial fees, legal fees and
Arbitration fee;
6. Expenses for the general meeting of fund share holders;
7. Securities trading fees of the Fund;
8. Bank transfer fees of the Fund;
9. Fund related account opening and maintenance costs;
10. Other expenses that may be disbursed from the Fund assets in accordance with the relevant provisions of the State and the Fund Contract.
The expenses incurred in the termination of liquidation of the Fund shall be deducted from the assets of the Fund according to the actual expenditure.
（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 an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. The management fee is calculated as follows:
H ＝ E × 0.20% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated day by day to the end of each month, and paid monthly. Managed by the Fund Manager and the Fund
After the Fund Custodian and the Fund Manager reach an agreement, the Fund Custodian shall, within 5 working days from the first day of the next month
It shall be paid to the fund manager in a lump sum from the fund property. In case of legal holidays, public holidays, etc., the payment date shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.05% of the net asset value of the Fund on the previous day. The calculation method of custody fee is as follows
Bottom:
H ＝ E × 0.05% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily and paid monthly. The Fund Custodian shall check the consistent financial amount with the Fund Manager
According to the report, the fund manager will automatically pay the funds according to the designated account path within 5 working days at the beginning of the month, and there is no need for the fund manager to issue the funds again
With fund transfer instructions. In case of legal holidays, rest days, etc., the payment date shall be postponed to the latest payable date. Expense Auto
After deduction, the Fund Manager shall check, and in case of any discrepancy in data, contact the Fund Custodian for settlement through consultation.
3. Fund sales service fee
The sales service fee of the Fund is accrued at an annual fee rate of 0.20% of the net asset value of the Fund on the previous day. The calculation method is as follows:
H ＝ E × 0.20% ÷ days of the year
H is the daily accrued fund sales service fee
E is the net asset value of the fund on the previous day
The fund sales service fee is accrued daily, accumulated day by day to the end of each month, and paid monthly. The custodian and the manager
Check the consistent financial data, and automatically make a one-time payment from the fund property to the registration authority within 5 working days at the beginning of the month, and then
It shall be paid by the registration agency to each fund sales agency. In case of legal holidays, public holidays, etc., the payment date shall be postponed.
Items 4-10 of the above "(I) Types of fund expenses" shall be paid according to the relevant regulations and corresponding agreements
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. The Fund Manager and the Fund Custodian fail to perform or fully perform their obligations, resulting in expenses or fund assets
Loss;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Subject Index Royalty. The licensing fee of the underlying index shall be borne by the fund manager and shall not be included in the fund property
Ramification;
5. Other items that may not be included in the fund fees according to the relevant laws and regulations and the relevant provisions of the CSRC.
（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 should wait for the side pocket
The account assets can be disbursed only after they are realized, and the relevant fees can be charged or remitted as appropriate, but the management fees cannot be charged. See the recruitment for details
Provisions in the written form.
（5） Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations. fund
The relevant taxes on property investment shall be borne by the fund share holders, and the fund manager or other withholding agents shall be subject to
Withholding and remitting according to the provisions on tax collection.
5、 Investment scope and investment restrictions of the Fund assets
（1） Investment scope
The Fund mainly invests in underlying index component bonds and alternative component bonds. In order to better achieve the investment objectives
Gold can also invest in financial instruments with good liquidity, including non component bonds and alternative other interbank deposit receipts and bonds
Bonds (including treasury bonds, local government bonds, central bank bills, financial bonds, corporate bonds, subordinated bonds
Separated trading of pure convertible bonds, government supported bonds, government supported institutional bonds, etc.), short-term financing bonds, ultra short
Non financial enterprise debt financing instruments such as long-term financing bonds and medium-term notes, asset-backed securities, bond repurchase, and bank deposits
(including negotiated deposits, time deposits, call deposits and other bank deposits), cash and other money market instruments and laws
Other financial instruments permitted by laws and regulations or the CSRC to be invested by the Fund (subject to the relevant provisions of the CSRC).
The Fund does not invest in stocks or convertible bonds (except for the pure debt part of convertible bonds that can be traded separately)
Exchangeable bonds and other financial instruments with equity attributes.
If laws and regulations or regulatory authorities allow the Fund to invest in other varieties in the future, the Fund Manager, after performing appropriate procedures,
It can be included in the investment scope, and the investment scope can be adjusted in a timely and reasonable manner according to the then effective laws and regulations.
The proportion of the Fund's investment portfolio is: the proportion of the Fund's investment in interbank deposit receipts is not less than 80% of the Fund's assets; Base
The proportion of gold invested in the underlying index component bonds and their alternative component bonds shall not be less than 80% of the Fund's non cash fund assets; book
The Fund shall maintain no less than 5% of the net asset value of the Fund in cash or government bonds with a maturity of less than one year, including cash
It does not include provisions for settlement, deposits and subscription receivables.
The underlying index of the Fund is the China Securities Inter bank Deposit Certificate AAA Index, which is prepared and released by China Securities Index Co., Ltd.
If laws and regulations or the CSRC change the investment proportion limit of investment varieties, the Fund Manager shall perform appropriate
After the procedure, the relevant restrictions on the investment proportion of the above investment varieties can be adjusted or implemented according to the adjusted regulations.
（2） Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's investment in interbank deposit receipts is not less than 80% of the Fund's assets, and the Fund's investment in the underlying index is
The proportion of shares and their alternative components shall not be less than 80% of the Fund's non cash fund assets;
(2) The Fund shall maintain no less than 5% of the net asset value of the Fund in cash or government bonds with a maturity of less than one year
Securities, of which cash does not include provisions for settlement, deposits and subscription receivables;
(3) Residual maturity or resale period of bonds, non-financial enterprise debt financing instruments, asset-backed securities invested by the Fund
Limited to 397 days (including 397 days);
(4) The term of bank deposits, bond repurchases, central bank bills and inter-bank certificates of deposit invested by the Fund shall be less than one year
(including 1 year);
(5) Financial instruments actively invested by the Fund (including inter-bank deposit receipts, credit bonds, non-financial enterprise debt financing instruments
Bank deposits, asset-backed securities with relevant institutions as original equity holders and other varieties recognized by the CSRC)
The corporate credit rating is not lower than AAA; The credit rating mainly refers to the credit rating of the entity in the latest fiscal year
If a pedestrian has two or more domestic rating agencies (excluding the credit rating of China Bond) at the same time, the lower one shall be adopted to determine its rating
Grade; During the period when the Fund holds the above financial instruments, if its credit rating declines and no longer meets the above criteria, it shall report to the rating report
It shall be adjusted to conform to the agreement within 3 months from the date of announcement;
(6) The Fund invests in the bank deposits of the same commercial bank and the inter-bank deposit receipts, bonds issued by the same commercial bank
The proportion of asset-backed securities and other financial instruments recognized by the CSRC as original equity holders in the net asset value of the fund
Shall not exceed 10%;
(7) The Fund holds securities issued by a company whose market value does not exceed 10% of the net asset value of the Fund
The composition ratio of the relevant index of the fund variety for securities investment is not subject to the proportion limit specified in this article;
(8) All funds under the management of the Fund Manager hold no more than 10% of the securities issued by a company,
The fund varieties that invest in securities in full accordance with the composition proportion of the relevant index are not subject to the proportion limit specified in this article;
(9) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed the net assets of the Fund
10% of the value;
(10) The market value of all asset-backed securities held by the Fund shall not exceed 20% of the net asset value of the Fund;
(11) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed this asset
10% of the size of supporting securities;
(12) All funds managed by the Fund Manager invest in various types of asset-backed securities of the same original equity holder, and do not
May exceed 10% of the total size of its various asset-backed securities;
(13) The maximum term for the Fund to enter the national inter-bank market for bond repurchase is one year
No extension is allowed after the period;
(14) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed 10% of the Fund's net asset value;
Where the fund does not meet the limit of this proportion due to factors other than the fund manager, such as fluctuations in the securities market and changes in the size of the fund,
The Fund Manager shall not actively increase the investment of liquidity restricted assets;
(15) The Fund, private securities asset management products and other subjects recognized by the CSRC are counterparties to carry out anti trust activities
For repurchase transactions, the qualification requirements for acceptable collateral shall be consistent with the investment scope agreed in the Fund contract;
(16) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(17) Other investment restrictions stipulated by laws and regulations, the CSRC and the Fund Contract.
Except for items (2), (5), (14) and (15) above, due to fluctuations in the securities market, merger of securities issuers
If the fund investment proportion does not meet the above stipulated investment proportion due to factors other than the fund manager, such as fund size change
The fund manager shall make adjustment within 10 trading days, but otherwise specified by the CSRC or the Fund Contract
Except in this case. Where laws and regulations provide otherwise, such provisions shall prevail.
The Fund Manager shall, within six months from the effective date of the Fund Agreement, make the proportion of the Fund's investment portfolio conform to the Fund Agreement
Relevant agreements of. During the above period, the investment scope and investment strategy of the Fund shall comply with the provisions of the Fund Contract. base
The supervision and inspection of the Fund's investment by the Fund Custodian shall commence on the effective date of this Fund Contract. Laws and regulations or regulatory authorities
If there are other provisions, such provisions shall prevail.
If laws and regulations or regulatory authorities change the above portfolio proportion limit, the changed provisions shall prevail.
Laws and regulations or regulatory authorities cancel the above restrictions. If they apply to the Fund, the Fund Manager, after performing appropriate procedures
The Fund's investment is no longer subject to relevant restrictions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, except as otherwise stipulated by the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, actual controllers or
Securities issued by a company that has a major interest with it or securities underwritten during the underwriting period, or other major issues
Joint trading shall comply with the investment objectives and strategies of the Fund, follow the principle of giving priority to the interests of fund share holders, and prevent
To avoid conflicts of interest, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable prices in the market. Related transactions
It must be approved by the Fund Custodian in advance and disclosed in accordance with laws and regulations. Major related party transactions shall be submitted to fund management
And approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall
Review related transactions.
If laws, administrative regulations or regulatory authorities cancel or adjust the above restrictions, and if applicable to the Fund, the Fund Manager shall
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
6、 Valuation procedures
1. The net value of fund units is the balance of the net value of fund assets divided by the fund units on that day after the market is closed on each valuation date
The amount shall be calculated to the nearest 0.0001 yuan, and the fifth digit after the decimal point shall be rounded off. The resulting error shall be included in the fund property. base
The fund manager may establish an emergency adjustment mechanism for net worth accuracy in the case of large redemption. Where national laws and regulations provide otherwise,
From its provisions.
The Fund Manager shall calculate the net value of the Fund assets and the net value of the Fund units on each valuation date and disclose them as required.
2. The Fund Manager shall value the Fund assets on each valuation date, but the Fund Manager shall, in accordance with laws and regulations or the Fund Contract
Except when the valuation is suspended in accordance with. After the Fund Manager evaluates the assets of the Fund on each valuation date, the net value of the Fund units will be
The funds shall be sent to the Fund Custodian, and after the Fund Custodian has checked and found no error, the Fund Manager shall publish it to the public in accordance with the provisions.
7、 Change and Termination of Fund Contract and Liquidation of Fund Assets
（1） Changes to the Fund Contract
1. Changes to the fund contract involving the provisions of laws and regulations or the fund contract shall be approved by the resolution of the general meeting of fund share holders
A resolution shall be passed at a general meeting of fund share holders. For the provisions of laws and regulations and fund contract
The matters approved by the general meeting of fund unit holders shall be changed and announced after being approved by the fund manager and the fund custodian,
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 takes effect, and the resolution shall take effect
Later, it will be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
（2） Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the fund manager and the fund custodian are terminated, and there are no new fund managers or new fund custodians within 6 months
Undertaken;
3. The underlying index does not meet the requirements (due to factors other than changes in index compilation methods such as price fluctuation of component bonds
The subject index does not meet the requirements or laws and regulations, unless otherwise specified by the regulatory authority), the index compiling agency exits, etc
Under such circumstances, the Fund Manager convened a general meeting of the Fund Unitholders to vote on the solution, and the general meeting of the Fund Unitholders failed to
The meeting is successfully held or the voting on the above matters is not passed;
4. Other circumstances stipulated in the Fund Contract;
5. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: establish the fund within 30 working days from the date of termination of the Fund Contract
Asset liquidation group: the fund manager organizes the fund asset liquidation group and conducts fund assets under the supervision of the CSRC
Liquidation.
2. Before the Fund assets liquidation team takes over the Fund assets, the Fund Manager and the Fund Custodian shall
The provisions of the Trust Agreement and the Trust Agreement continue to perform the responsibility of protecting the security of the Fund's assets.
3. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager, the Fund Custodian
The composition of certified public accountants, lawyers and personnel designated by the CSRC as stipulated in the Securities Law. Fund asset liquidation team
Necessary staff can be employed.
4. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation, valuation and change of the Fund assets
Present and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
5. Fund asset liquidation procedures:
(1) After the establishment of the fund assets liquidation group, the fund assets liquidation group 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;
(4) Prepare liquidation report;
(5) Employ an accounting firm conforming to the provisions of the Securities Law to conduct external audit on the liquidation report, and employ lawyers
The financial office shall issue a legal opinion on the liquidation report;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
6. The time limit for the liquidation of the Fund's assets is six months, but it cannot be timely because the liquidity of the securities held by the Fund is restricted
In case of liquidation, the liquidation period shall be postponed accordingly.
7. The Fund Manager and the Fund Custodian have reached consensus or the Fund Asset Liquidation Team believes that there is a difference between
In order to adopt a favorable liquidation method, the liquidation of the Fund's assets can be carried out in accordance with this method and announced in a timely manner, without the need to convene fund units
General Meeting of Holders. If the relevant laws and regulations or the regulatory authorities stipulate otherwise, it shall be handled according to the relevant laws and regulations or the requirements of the regulatory authorities
Li.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund assets liquidation
The settlement fee shall be paid by the Fund Assets Liquidation Team in priority from the remaining assets of the Fund.
（5） Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of fund assets, all remaining assets after the liquidation of fund assets shall be deducted from the liquidation of fund assets
After paying the fees and taxes owed and paying off the fund debts, the funds shall be distributed in proportion to the fund units held by the fund unit holders.
（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 subject to the provisions of the Securities Law
The accounting firm shall audit and the law firm shall issue a legal opinion, which shall be reported to the CSRC for filing and announcement. Fund property
The liquidation announcement shall be made by the Fund Assets Liquidation Team within 5 working days after the Fund Assets Liquidation Report is submitted to the CSRC for filing
Notice. The Fund Assets Liquidation Team shall publish the liquidation report on the specified website and publish the suggestive announcement of the liquidation report
Published in the required 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 no less than the minimum period of time prescribed by laws and regulations.
8、 Dispute resolution and applicable law
The parties agree that all disputes arising from or in connection with the Fund Contract shall be settled through
Through friendly negotiation or mediation. The parties to the fund contract are unwilling to settle through negotiation or mediation or negotiation or mediation fails
Either party has the right to submit the dispute to Shanghai International Economic and Trade Arbitration Commission for arbitration in accordance with the Commission's then effective arbitration
The arbitration shall take place in Shanghai. The arbitral award is final and binding on the parties. Except arbitration
The arbitration fee shall be borne by the losing party as otherwise stipulated in the award.
During the dispute resolution period, the parties to the fund contract shall abide by their respective responsibilities and continue to perform the fund contract faithfully, diligently and responsibly
To safeguard the lawful rights and interests of fund share holders.
The Fund Contract is governed by the laws of the People's Republic of China (for the purpose of this Contract, excluding Hong Kong and Macao, China)
Laws of the Special Administrative Region and Taiwan, China).
9、 Depository of fund contracts and ways for investors to obtain fund contracts
The Fund Contract can be printed in volumes for investors to use in the offices of the Fund Manager, the Fund Custodian and the Sales Agency
Check the office and business place.
(This page is the signature page of the 7-day holding period securities investment fund contract of Nord China Securities Inter bank Deposit Receipt AAA Index, without the original)
Text)
Fund Manager: Nord Fund Management Co., Ltd
Legal representative or authorized representative:
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
Legal representative or authorized representative:
Signed at:
Signed on: