7-day holding period of Nordisk China Securities interbank deposit certificate AAA index
Securities Investment Fund Custody Agreement
Fund Manager: Nord Fund Management Co., Ltd
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
catalog
1、 Basis, purpose, principle and interpretation of the Fund Custody Agreement two
2、 Fund Custodian's Business Supervision and Verification of Fund Manager two
3、 Fund Manager's Business Verification of Fund Custodian eight
4、 Custody of Fund Assets eight
5、 Sending, confirming and executing instructions twelve
6、 Transaction, clearing and settlement arrangements fifteen
7、 Calculation and Accounting of Net Asset Value of the Fund nineteen
8、 Fund income distribution twenty-three
9、 Information disclosure twenty-three
10、 Custody fee twenty-five
11、 Custody of the Register of Fund Unitholders twenty-five
12、 Preservation of Fund related documents and archives twenty-six
13、 Replacement of Fund Manager and Fund Custodian twenty-seven
14、 Prohibited acts twenty-nine
15、 Change and termination of fund custody agreement and liquidation of fund assets thirty
16、 Liability for breach of contract thirty-two
17、 Applicable Law and Dispute Resolution thirty-three
18、 Effectiveness and Text of the Fund Custody Agreement thirty-three
19、 Other matters thirty-three
Custody Agreement for Publicly Offered Securities Investment Fund
Fund Manager: 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
Fund Custodian: Shanghai Pudong Development Bank Co., Ltd
Domicile: 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
1、 Basis, purpose, principle and interpretation of the Fund Custody Agreement
（1） Basis
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as the Fund Law), the Public Offering of Securities
Management Measures for the Operation of Investment Funds (hereinafter referred to as the "Operation Measures"), Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies
Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds (hereinafter referred to as Sales Measures)
Information Disclosure Measures), Securities Investment Fund Custody Business Management Measures, Securities Investment Fund Information Disclosure Contents and Standards
Format Standard No. 7<Content and Format of Custody Agreement], Nordisk China Securities Inter bank Deposit Receipt AAA Index 7-day Holding Period Securities Investment
The Fund Contract (hereinafter referred to as the Fund Contract), the No. 3 Guidelines for the Operation of Publicly Offered Securities Investment Funds -
And other relevant laws and regulations.
（2） Purpose
The purpose of this Agreement is to clarify the custody, investment operation and net value of the Fund assets between the Fund Custodian and the Fund Manager
The rights, obligations and responsibilities in matters related to calculation, income distribution, information disclosure and mutual supervision to ensure the
Security and protect the legitimate rights and interests of fund share holders.
（3） Principles
The Fund Manager and the Fund Custodian shall fully protect the legitimate rights and interests of the Fund Unitholders on the basis of equality, voluntariness, honesty and credibility
This agreement is signed by consensus.
（4） Interpretation
Unless otherwise agreed in this Agreement, all terms in this Agreement have the same meaning as the corresponding terms in the Fund Contract. If any
Conflicts shall be subject to the Fund Agreement and shall be interpreted in accordance with its terms.
（5） If the Fund implements the side pocket mechanism, please refer to the fund contract and recruitment instructions for relevant arrangements during the implementation of the side pocket mechanism
Provisions of the book.
2、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian exercises supervision over the investment behavior of the Fund Manager
1. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the Fund Contract, invest in the following funds
Supervise the investment objects. If the Fund Contract clearly stipulates the selection criteria for the investment securities of the Fund, the Fund Manager shall
First or regularly provide the fund custodian with a pool of investment varieties so that whether the fund custodian's actual investment in the fund conforms to the fund portfolio
Supervise with the agreement on securities selection standards.
The Fund will invest in the following financial instruments:
The Fund mainly invests in underlying index component bonds and alternative component bonds. In order to better achieve the investment objectives, the Fund
It can also invest in financial instruments with good liquidity, including non constituent bonds and alternative other interbank deposit receipts and bonds
(including national debt, local government bonds, central bank bills, financial bonds, corporate bonds, corporate bonds, subordinated debt, separable
Trading the pure part of convertible bonds, government backed bonds, government backed agency bonds, etc.), short-term financing bonds, ultra short-term financing
Bonds, medium-term notes and other non-financial enterprise debt financing instruments, asset-backed securities, bond repurchase, bank deposits (including agreements
Deposits, time deposits, call deposits and other bank deposits), cash and other money market instruments as well as laws and regulations or China
Other financial instruments that the CSRC allows the Fund to invest in (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 the Fund's investment style or securities selection criteria have been clearly stipulated in the Fund Contract, the Fund Manager shall
Provide investment varieties in the format required by the custodian so that the fund custodian can use relevant technical systems to determine whether the actual investment of the fund is
Supervise the compliance with the provisions of the Fund Contract on the securities selection criteria, and check the matters with doubts.
The Fund shall not invest in investment instruments prohibited by relevant laws, regulations, departmental rules and the Fund Contract.
If laws and regulations or regulatory authorities permit 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.
2. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract, make the following fund investment proportions
Supervision:
(1) In accordance with the provisions of laws and regulations and the provisions of the Fund Contract, the allocation ratio of the Fund's investment assets is:
The proportion of the Fund's investment in interbank deposit receipts shall not be less than 80% of the Fund's assets; The Fund invests in underlying index component bonds
The proportion of its alternative component bonds shall not be less than 80% of the Fund's non cash fund assets; The Fund shall remain no less than the fund capital
Cash of 5% of net assets or government bonds with a maturity date of less than one year, of which cash does not include settlement provisions and deposits and guarantees
Securities, subscription receivables, etc.
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 the investment portfolio does not comply with the above provisions due to factors such as fund size or market changes, the Fund Manager shall
The investment portfolio of the Fund shall be adjusted within the time limit to meet the above proportion limit. If laws and regulations provide otherwise, the provisions shall prevail.
If laws and regulations or the CSRC change the investment proportion limit of investment varieties, the Fund Manager shall perform appropriate procedures
After that, the relevant restrictions on the investment proportion of the above investment varieties can be adjusted or implemented according to the adjusted regulations.
(2) In accordance with the provisions of laws and regulations and the Fund Contract, the Fund's investment portfolio follows the following investment 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 component
The proportion of bonds 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,
Cash does not include provisions for settlement, deposits and subscription receivables;
3) Residual maturity or resale maturity of bonds, non-financial enterprise debt financing instruments, asset-backed securities invested by the Fund
Within 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 is 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 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 there are two or more domestic rating agencies (excluding China Bond credit rating) rating at the same time, the lower one shall be used to determine the rating; book
During the period when the fund holds the above financial instruments, if the credit rating of the fund declines and no longer meets the above criteria, it shall be reported in the rating report
It shall be adjusted to meet the agreement within 3 months from the date of;
6) The Fund invests in the bank deposits of the same commercial bank and the inter-bank deposit receipts, bonds, and related institutions as
Total proportion of the original equity holder's asset-backed securities and other financial instruments recognized by the CSRC in the net asset value of the fund
Not more than 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 types of funds that invest in securities in relation to the composition ratio of the index are 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 types of funds that invest in securities in full accordance with the composition ratio 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 asset value of the Fund
10% of;
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 that of such asset-backed securities
10% of the securities scale;
12) All funds managed by the Fund Manager shall not invest in various asset-backed securities of the same original equity holder
More than 10% of the total size of its various types of asset-backed securities;
13) The maximum term for the Fund to enter the national inter-bank market for bond repurchase is one year, and the bond repurchase is due
No extension is allowed later;
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; because
If 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
The manager shall not actively increase the investment of restricted liquidity assets;
15) The Fund, private equity securities asset management products and other subjects identified by the CSRC carry out reverse return for counterparties
In case of purchase transaction, 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.
The Fund Custodian's supervision obligation on the above indicators is only limited to the supervision of the whole fund managed by the Fund Manager and entrusted by the Custodian
Whether the Ministry's publicly offered funds meet the above proportion restrictions. The Fund Law and other relevant laws and regulations or the regulatory authorities cancel the above restrictions
The fund shall not be subject to the above restrictions after the appropriate procedures are performed.
(3) Adjustment period of fund investment proportion allowed by laws and regulations
In addition to "2), 5), 14) and 15)" in Article (2) above, due to fluctuations in the securities market, mergers of securities issuers
The proportion of the investment portfolio that does not meet the above agreement due to reasons other than the fund manager, such as fund size change, is not limited
However, the Fund Manager shall make adjustment within 10 trading days, but otherwise specified by the CSRC or the Fund Contract
Except for special circumstances agreed upon. 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. fund
The Custodian's supervision and inspection of the Fund's investment shall commence on the effective date of the Fund Contract. Other laws and regulations or regulatory authorities
If it is stipulated, its provisions shall prevail.
If laws and regulations or regulatory authorities change the above portfolio proportion limit, the changed provisions shall prevail. method
The above restrictions are cancelled by laws, regulations or regulatory authorities. If they are applicable to the Fund, the Fund Manager shall, after performing appropriate procedures
Gold investment is no longer subject to relevant restrictions.
The Fund Manager shall formally notify
The Fund Custodian shall send a letter to explain the possible change scale of the Fund and the Company's response measures, so as to facilitate the Fund Custodian to implement transaction supervision.
(4) Other proportional restrictions specified by relevant laws, regulations or departmental rules.
3. The Fund Custodian prohibits the following fund investments in accordance with the provisions of relevant laws and regulations and the Fund Contract
Supervise:
In accordance with the provisions of laws and regulations and the Fund Contract, the Fund is prohibited from engaging in the following acts:
(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.
If laws, administrative regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Fund, fund management
A person may not be subject to the above provisions after performing due process.
4. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract, restrict the investment of the Fund related parties
Executive supervision.
The Fund Manager uses the Fund assets to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders, actual controllers or
Securities issued by companies with other major interests or securities underwritten during the underwriting period, or other major related transactions
If it is easy, it shall comply with the investment objectives and investment strategies of the Fund, follow the principle of giving priority to the interests of fund share holders, and prevent fanli
Conflict of interests, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable market prices. Related transaction must
Obtain the consent of the Fund Custodian first, and perform the obligation of information disclosure. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review
And passed by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall, at least half a year
Review.
If laws, regulations or the Fund Contract stipulate that the Fund is engaged in connected transactions, the Fund Manager and the Fund Custody
Personnel shall first provide each other with the list of related parties and related relationships. The Fund Manager is responsible for ensuring the authenticity and accuracy of the list of connected transactions
It shall be accurate and complete, and shall be responsible for sending the updated list to the Fund Custodian in a timely manner. After the list is changed, the Fund Manager shall
The new list of connected transactions will come into effect after being confirmed by the fund custodian. The Fund Custodian only
The list of fund related parties provided by the fund manager shall be limited for supervision.
5. The Fund Custodian participates in the inter-bank relationship with the Fund Manager in accordance with the provisions of relevant laws and regulations and the Fund Contract
The bond market shall be supervised.
The Fund Custodian shall supervise according to the list of counterparties in the inter-bank bond market provided by the Fund Manager. Fund manager
It is responsible for controlling the credit risk of the counterparty. The fund manager shall bear the losses caused by the credit risk of the counterparty
Be responsible for recovering from the relevant responsible person.
6. The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the Fund Contract, enter into
Executive supervision.
The fund manager shall strengthen the assessment and research on the deposit risk of the fund investment bank, and strictly measure and control the investment bank
For the risk exposure of bank deposits, establish relevant investment restriction systems for different types of deposit banks. Bank deposit for fund investment
In case of losses caused by credit risk events in the deposit bank, the fund manager shall be responsible for compensation first, and then have the right to
Ask relevant responsible person for compensation. If the Fund Custodian complies with relevant laws and regulations and the Fund Agreement
As for the supervision process agreed in the ", the Bank shall not be liable for any loss caused by the credit risk of the deposit bank.
7. The Fund Custodian's supervision responsibility for the Fund's investment in medium-term notes is limited to the investment proportion in accordance with the relevant provisions of this Agreement
And investment restrictions; There is no other supervisory responsibility. If any abnormality is found, it shall be timely written
Notify the Fund Manager. The Fund Manager shall actively cooperate with and assist the Fund Custodian in supervision and verification. The fund is under investment
The Fund Custodian shall not bear any responsibility for the credit risk and liquidity risk caused by the term notes. If it is caused by the fund manager
The Fund Custodian shall not bear any responsibility for any loss caused to the Fund.
Before the fund managed by the fund manager invests in medium-term notes, the fund manager shall, in accordance with the laws, regulations
The Fund Manager has formulated a strict risk control system and liquidity risk disposal plan for investment in medium-term notes
This commitment will strictly implement the risk control system and liquidity risk disposal plan.
（2） The Fund Custodian shall, in accordance with the laws and regulations and the provisions of the Fund Contract, strengthen the activation of the contralateral pocket mechanism and specific assets
Review and supervision of disposal and information disclosure.
When the Fund holds specific assets and there are or potential large redemption applications, the Fund Unitholders shall be protected to the maximum extent
The Fund Manager may, after reaching consensus with the Fund Custodian and consulting the accounting firm
The side pocket mechanism is used in accordance with laws and regulations and the fund contract, without the need to convene a general meeting of fund share holders.
（3） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Calculation, calculation of net value of fund shares, receipt of funds receivable, determination of fund expenses and income, distribution of fund income
Information disclosure and fund performance data published in fund publicity materials shall be monitored and verified.
（4） The Fund Custodian finds that the investment operation and other operations of the Fund Manager violate the Fund Law, the Fund Contract
When the Fund Custody Agreement and other relevant provisions are required, the Fund Manager shall be notified in writing in a timely manner to make corrections within a time limit, and the Fund Manager shall receive
After the notice is given, it shall be checked in a timely manner on the next working day, and a written reply shall be sent to the Fund Custodian for explanation or evidence.
Within the time limit, the Fund Custodian has the right to review the notice at any time and urge the Fund Manager to make corrections. fund management
If the Fund Custodian fails to correct the violations notified by the Fund Custodian within the time limit, the Fund Custodian has the right to report to the CSRC.
The Fund Manager shall actively cooperate with and assist the Fund Custodian in implementing the Fund Custodian's
The supervision and verification of the fund business and the written prompt sent by the fund custodian must be replied to the fund custodian within the specified time
And correct, or explain or provide evidence on the reasonable doubts of the Fund Custodian
If it is required by the Contract and this Custody Agreement to submit a fund supervision report to the CSRC, the Fund Manager shall actively cooperate in submitting
For relevant data and systems.
If the Fund Custodian finds that the investment order issued by the Fund Manager but not executed or the investment that has become effective according to the transaction procedures
If the capital order violates laws, administrative regulations and other relevant provisions, or violates the Fund Contract, it shall be notified immediately
The fund manager and report to the CSRC. The fund manager's above violations and dishonesty give the fund assets or fund units
The fund manager shall bear the losses caused by others.
For the monitoring indicators that must be known after the valuation is completed or the investment orders that have been concluded according to the trading procedures, the Fund
If the custodian finds that the investment order violates laws and regulations or the Fund Contract, it shall immediately notify the Fund Management
And report to the CSRC.
If the Fund Custodian finds that the Fund Manager has major violations, it shall immediately report to the CSRC and notify the Fund Custodian
The manager shall make corrections within a time limit.
The Fund Manager refuses or obstructs the Fund Custodian from exercising its supervision right in accordance with the provisions of this Agreement without justified reasons, or delays
Delays, frauds and other means prevent the Fund Custodian from carrying out effective supervision, and the circumstances are serious or the Fund Custodian still refuses to correct after giving a warning
The fund custodian shall report to the CSRC.
3、 The Fund Manager's business verification of the Fund Custodian
The Fund Manager shall check the performance of custody duties by the Fund Custodian, including but not limited to fund custody
Whether the person keeps the fund property safely, whether the fund account and securities account of the fund property and other accounts required for investment are opened respectively
Account, whether to review the net value of fund assets and net value of fund units calculated by the fund manager, and whether to do it according to the instructions of the fund manager
Clearing and settlement, disclosure of relevant information and supervision of fund investment operation.
The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization, fails to manage the Fund assets in separate accounts, and fails to hold them without reason
The Bank or unreasonably delayed the execution of the fund manager's fund transfer instructions, disclosed the fund investment information and violated the Fund Law and the Fund Agreement
The Fund Manager shall promptly notify the Fund Custodian in writing to rectify within a time limit in accordance with the provisions of the Securities Depository Agreement, this Custodian Agreement and other relevant provisions
Upon receipt of the notice, the Fund Custodian shall check it in a timely manner and send a written reply to the Fund Manager. Within the time limit, based on
The Fund Manager has the right to review the notice at any time and urge the Fund Custodian to make corrections. Fund Custodian to Fund Manager
The Fund Manager shall report to the CSRC if the violation is not corrected within the time limit. The fund manager discovers the fund trust
If the custodian has major violations, it shall immediately report to the CSRC and the banking regulatory authority, and notify the fund custodian at the same time
Correct within a time limit.
The Fund Custodian shall actively cooperate with the Fund Manager in its verification activities, including but not limited to: submitting relevant materials for the Fund
The manager shall check the integrity and authenticity of the entrusted property, reply to the fund manager and make corrections within the specified time.
The Fund Custodian refuses or obstructs the Fund Manager from exercising its supervision right in accordance with the provisions of this Agreement without justified reasons, or delays
Delays, frauds and other means prevent the Fund Manager from carrying out effective supervision, and the circumstances are serious or the Fund Manager still refuses to correct after giving a warning
The fund manager shall report to the CSRC.
4、 Fund property custody
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
2. The Fund Custodian shall safely keep the custody property in accordance with the provisions of this Agreement. Without the instruction of the fund manager, it shall not operate on its own
Use, dispose of and distribute any assets of the Fund (except for the transfer fees deducted by the Fund Custodian on its own initiative). Incorrectness of the Fund Custodian
Be responsible for accounts and properties beyond their actual control.
3. The Fund Custodian shall open a capital account, a securities account and other accounts required for investment for the fund assets under custody in accordance with the provisions
Household.
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody for independent accounting
The business and custody business of other funds shall be subject to strict separate account management to ensure the integrity and independence of fund assets.
5. The Fund Manager shall be responsible for the receivables generated in the process of fund subscription (purchase) and fund investment
The relevant party shall determine the date of receipt and notify the fund custodian. If the fund property fails to reach the fund custodian on the date of receipt
The custodian shall timely notify the fund manager to take measures for collection. The Fund Manager shall be liable for any loss caused to the Fund
The Fund Custodian shall provide necessary assistance and
Cooperate, but bear no responsibility for the loss of fund property.
6. The Fund Custodian's deposit or custody of funds in institutions other than the Fund Custodian arising from the investment of the Fund Manager
Assets, or fund assets handed over to the securities company for clearing and settlement (including but not limited to the funds in the securities trading capital account
Securities fund assets, etc.) and its income due to the third party other than the parties to this agreement, such institution or its member units
The Fund shall not be liable for the losses caused to the Fund assets due to fraud, negligence, negligence or bankruptcy.
7. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust a third person to custody the Fund assets.
（2） Verification of raised funds
During the raising period, the sales agency will transfer the subscription funds into the fund manager's custody
The "Special Account for Fund Subscription of Nord Fund Management Co., Ltd." opened by a qualified commercial bank. The account is opened by the fund manager
Establish and manage. At the expiration of the fund raising period, the total amount of fund units raised, the amount raised and the number of fund unit holders meet
After the relevant provisions of the Fund Law, the Operation Measures and so on, the Fund Manager shall engage the Fund Manager in accordance with the Securities Law of the People's Republic of China
The specified accounting firm shall carry out capital verification and issue a capital verification report, which shall be issued by more than 2 persons participating in the capital verification
(Including 2) Chinese CPA signature is valid. Upon completion of capital verification, the Fund Manager shall transfer the raised funds to the Fund
All funds of the assets shall be transferred into the special asset custody account opened by the fund custodian for the fund, and the transferred funds and capital verification amount shall be ensured
Consistent. The Fund Custodian shall confirm the receipt of funds in writing on the day when it receives the effective subscription funds, and timely deliver the funds to
The account voucher shall be faxed to the fund manager, and both parties shall conduct accounting treatment.
If the Fund raising period expires and the conditions for filing of the Fund Contract are not met, the Fund Manager shall handle the withdrawal as required
The Fund Custodian shall provide necessary assistance and cooperation with respect to the matters referred to in the preceding paragraph.
（3） Opening and management of special fund asset custody account
The Fund Custodian shall open a special asset custody account in its business institution in the name of the Fund, and shall comply with the laws and regulations of the Fund Manager
Effective instructions for fund receipt and payment. The Fund Manager shall provide account opening in accordance with laws, regulations and relevant requirements of the Fund Custodian
And provide other necessary assistance. The seal of the reserved seal of the special asset custody account of the Fund shall be engraved by the Fund Custodian
Preparation, storage and use.
All monetary income and expenditure activities of the Fund shall be conducted through the Fund Custodian or the Fund's special asset custody account. Fund's
The opening and use of the special asset custody account shall be limited to meet the needs of conducting the Fund's business. Except for the business needs of the Fund
The Custodian and the Fund Manager shall not open any other bank account in the name of the Fund; It shall not be used in the name of the fund
The bank account opened shall be used for activities other than the business of the Fund.
The management of the special asset custody account shall comply with the Administrative Measures for RMB Bank Settlement Accounts, the Interim Regulations on Cash Management
Provisions on the Administration of RMB Interest Rate, Interim Provisions on the Administration of Interest Rate, Payment and Settlement Measures, and banking regulatory authorities
Other relevant provisions of.
（4） Opening and management of fund securities account and settlement provision account
The Fund Custodian shall, in the joint name of the Fund Custodian and the Fund, register in Shanghai of China Securities Depository and Clearing Corporation Limited
The branch/Shenzhen branch opens a special securities account.
The opening and use of the Fund's securities account shall be limited to meeting the needs of conducting the Fund's business. Fund Custodian and Fund Management
No one may lend or transfer any securities account of the Fund without the consent of the other party; Nor use any securities of the Fund
The account carries out activities other than the business of the Fund.
The Fund Custodian shall be responsible for the opening of the fund securities account and the safekeeping of the original account opening materials, and the management and application of the account assets
The Fund Manager shall be responsible for it. The Fund Custodian is in the name of the Fund Custodian in China Securities Depository and Clearing Corporation Limited Shanghai
The branch/Shenzhen branch opens a settlement reserve account, and the fund custodian completes the registration with China Securities on behalf of the funds under its custody
The Fund Manager shall actively assist in the liquidation of the primary legal person of the Clearing Company Limited. Settlement provisions and securities
The collection of clearing deposits shall be subject to the provisions of China Securities Depository and Clearing Corporation Limited and the fund custodian's performance of clearing
The business rules formulated by the participants' obligations shall be implemented.
（5） Opening and management of special accounts for bond custody and fund settlement in the inter-bank market and filing of market access
After the Fund Contract comes into force, the Fund Manager shall be responsible for applying for approval in the name of the Fund, provided that it meets the requirements of the regulatory authority
Request and obtain the trading qualification to enter the national interbank borrowing market, and conduct transactions on behalf of the Fund; The Fund Custodian
Relevant regulations of the People's Bank of China, the Central Government Securities Depository and Clearing Co., Ltd., and the Inter bank Market Clearing House Co., Ltd
Yes, in the name of the Fund, it shall be registered with the Central Government Securities Depository and Clearing Co., Ltd. and the Inter bank Market Clearing House Co., Ltd
The Division shall open bond custody accounts and capital settlement accounts, and conduct settlement of bond transactions in the inter-bank market on behalf of the Fund. Gikinto
The custodian assists the fund manager in completing the inter-bank bond market access filing.
（6） Opening and management of other accounts
1. Other accounts that need to be opened due to business development can be opened in accordance with the Fund Contract or relevant laws and regulations,
After the Fund Manager and the Fund Custodian reach an agreement through consultation, the Fund Custodian shall be responsible for opening the Fund. New account according to relevant rules
Use and manage.
2. If laws, regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts, such provisions shall prevail.
（7） Opening and management of fund investment bank deposit account
The Fund Manager and the Fund Custodian shall, in accordance with the relevant regulations, pay a fixed deposit to the Fund's investment bank
The deposit business shall sign a written agreement.
The fund manager shall sign an overall cooperation agreement with the head office of the deposit bank or its authorized branch for the fixed deposit of the fund investment bank
And deposit the funds in the branch designated by the head office of the deposit bank or its authorized branch.
The deposit account must be opened in the name of the fund, the account name is the name of the fund, and the deposit account opening document shall be stamped with the reserved seal
With the official seal of the Fund Manager.
When the Fund invests in bank deposits, the Fund Manager shall sign a specific deposit agreement with the deposit bank to specify the type of deposits
Type, term, interest rate, amount, account number, reconciliation method, withdrawal method, account management and other details.
In order to prevent liquidity risk under special circumstances, the term of early withdrawal shall be stipulated in the time deposit agreement.
During the duration of the time deposits invested by the Fund, the Fund Manager and the Fund Custodian shall establish regular reconciliation with the deposit banks
Mechanism to ensure the authenticity and accuracy of fund bank deposit business accounts and checks.
（8） Custody of valuable certificates such as physical securities and bank time deposit certificates related to the investment of fund assets
The physical securities invested by the Fund assets shall be deposited by the Fund Custodian in the Fund Custodian's vault; Including physical securities
It can also be deposited in China Government Securities Depository and Clearing Co., Ltd., China Securities Depository and Clearing Co., Ltd. Shanghai Branch/Shenzhen
The depository of Shenzhen Branch, Inter bank Market Clearing House Co., Ltd. or bill business center. Purchase of physical securities and
The transfer shall be handled by the Fund Custodian according to the instructions of the Fund Manager. Physical evidence under the actual and effective control of the fund custodian
The Fund Custodian shall be liable for any damage or loss of the securities during the custody of the Fund Custodian. Fund Custodian
Not accepting the property corresponding to physical securities and bank time deposit certificates that are actually and effectively controlled or kept by institutions other than the fund custodian
Guarantee management responsibility.
（9） Custody of major contracts related to fund assets
The original of the major contract related to the Fund signed by the Fund Manager on behalf of the Fund shall be submitted by the Fund Custodian and the Fund
Custody by the administrator. Unless otherwise specified in this Agreement, the Fund Manager shall, when signing major contracts related to the Fund on behalf of the Fund
Ensure that one party of the Fund holds more than two originals so that the Fund Manager and the Fund Custodian each hold at least one original
Pieces. The Fund Manager shall deliver the original contract by personal delivery, registered mail and other safe means within 5 working days after the contract is signed
Delivered to the Fund Custodian. The original contract shall be kept in the respective document custody departments of the Fund Manager and the Fund Custodian for a period of
The time limit shall not be less than the minimum time limit stipulated by laws and regulations.
If it is impossible to obtain more than two originals, the Fund Manager shall provide the Fund Custodian with the consistency with the original contract
The fax or photocopy of the contract affixed with the official seal of the fund manager shall not be transferred without mutual agreement.
5、 Sending, confirmation and execution of instructions
When the Fund Manager uses the Fund assets, it sends the Fund Custodian instructions for fund transfer and other payments
The custodian implements the instructions of the fund manager that are legal and compliant and comply with the relevant provisions of this Agreement, and handles the fund transactions under the name of the fund
Related matters.
The instructions sent by the fund manager include electronic instructions and paper instructions.
The administrator shall sign another direct connection agreement or online custody service for custody electronic instructions with the custodian before enabling the electronic instructions
agreement. The administrator shall provide the fax number and email address for sending the attachment of the instruction according to the way agreed by both parties before sending the paper instruction
Address and order confirmation personnel and their contact information.
（1） Written authorization of the Fund Manager to the personnel who send instructions
The Fund Manager shall provide the Fund Custodian with the reserved seal and the specimen signature of the authorized person, and give a prior written notice (hereinafter referred to as
Referred to as "authorization notice") The list of personnel who the fund custodian has the right to send instructions, indicating the corresponding trading authority, and specifying the fund
The method by which the Fund Custodian confirms the identity of the person who has the right to send when the Manager sends instructions to the Fund Custodian. Fund manager's transfer
The notice of authorization of fund instructions shall be signed and sealed by the legal representative or authorized agent of the fund manager
If signed by the manager, the power of attorney of the legal representative shall also be attached. The Fund Custodian shall reply or call back to
Confirmation by the Fund Manager. The letter of authorization for transfer instructions must be updated at least one trading day in advance, no matter when the fund is established or subsequently updated,
Send scanned copies or other written confirmation from the Fund Custodian and the Fund Manager to the Fund Custodian for stamping the Fund Custodian
The authorized person's change notice signed by the legal representative or its authorized agent with the official seal of the manager, and at the same time, notify the fund trust by telephone
Manage people. The notice of change shall specify the effective time and provide the specimen signature of the new authorized person. The Fund Custodian shall receive the notice of change
Confirm with the fund manager by telephone on the day of knowing. The authorized change takes effect from the effective time specified in the change notice. If changed
If the effective time specified in the notice is earlier than the time when the Fund Custodian receives the notice of change, the authorized change shall be made after the Fund Custodian receives the notice of change
Effective when notified. The Fund Manager shall, within three days thereafter, deliver the original of the notice of change of the letter of authorization of the transfer order to the Fund Custodian, and transfer
If the original of the letter of authorization for fund instructions is not delivered to the fund custodian on time, the fund custodian has the right to refuse to execute the transfer corresponding to the letter of authorization
The Fund Custodian shall not bear the losses caused thereby. The Fund Manager and the Fund Custodian shall keep the authorization documents confidential
The content shall not be disclosed to anyone other than the authorizer, the authorized person and the relevant operators, but laws and regulations may
Unless otherwise required by the authority.
（2） Content of instructions
1. The instruction refers to the payment instruction (including redemption, dividend) sent by the fund manager to the fund custodian when using the fund property
Red payment, repurchase due payment instructions, etc.) and other fund transfer instructions, etc., capital settlement of securities investment in the stock exchange
It is unnecessary for the Fund Manager to send instructions, and the Fund Custodian shall send the settlement to the Fund Custodian according to the relevant registration and clearing company
Data for fund settlement.
2. The instructions issued by the Fund Manager to the Fund Custodian shall clearly indicate the payment account number, payment account name, deposit bank, collection account number
The name of the receiving account, the bank of deposit, the reason for the payment, the time of payment, the time of receipt, the amount, the account, etc., with the reserved seal affixed and
Signature of the authorized person.
（3） Time and procedure for sending, confirming and executing instructions
The authorized sender (hereinafter referred to as the "authorized person") determined by the "authorization notice" shall use fax on behalf of the fund manager
Sent to the Fund Custodian in the form of or other means confirmed in writing by the Fund Custodian and the Fund Manager. The fund manager is righteous
The Fund Manager shall confirm with the Fund Custodian in a timely manner after sending the instructions, because the Fund Manager failed to give instructions to the Fund Custodian in a timely manner
It is confirmed that the Fund Custodian will not bear any responsibility for the losses caused by the failure of funds to arrive in the account in time. Fund Custodian in accordance with
The instruction can be executed only after the method specified in the "Authorization Notice" confirms that the instruction is valid. For the instructions issued by the authorized person, the fund
The administrator shall not deny its effectiveness. The Fund Manager shall comply with the Fund Law, relevant laws and regulations and the Fund Contract
Yes, the authorized person shall send the transfer order within its legal business authority and transaction authority according to its authorized authority
Instruction. When sending instructions, the Fund Manager shall set aside the time necessary for the Fund Custodian to execute the instructions. General transfer refers to
The order (excluding the non guaranteed delivery order, new bond and other purchase orders) shall be handed over to the custodian before 15:00 (the deadline of the order),
If the fund manager requires the account to be received at a certain time of the day, the instruction shall be given 2 working hours in advance (from 9:00 to 11:00)
30, 13:00 to 17:00).
The Fund Manager shall send the subscription instructions such as new bonds to the Fund Custodian one working day before the subscription
When the order is issued on the day of purchase, the Fund Manager shall reserve the time necessary for the Fund Custodian to execute the order, which shall not be later than
It shall be submitted to the Fund Custodian at 11:00 a.m. (the deadline for instructions).
If the transfer time given to the fund custodian in the transfer order is less than 2 working hours or later than the deadline of the aforementioned order
The Fund Custodian shall try its best to complete the fund transfer within the specified time, but shall not be responsible for the failure of implementation due to insufficient time
Ren.
The instruction transmission is not timely due to the fund manager, and the time required for the transfer is not enough, resulting in the failure of the fund to
The fund manager shall bear the losses caused by the timely arrival. The Fund Manager shall trade the interbank market bonds into
After the receipt is stamped with the reserved seal, it shall be faxed to the Fund Custodian in a timely manner and notified to the Fund Custodian by telephone.
After the order arrives at the Fund Custodian, the Fund Custodian shall designate a special person to check whether the elements of the order are complete, sealed and sealed
Check whether the authorizer is consistent with the content of the reserved authorization document, and timely notify the fund management if any problem or doubt is found
And has the right to immediately return the order to the fund manager and require him to issue a new effective order.
When giving instructions to the Fund Custodian, the Fund Manager shall ensure that there is sufficient fund balance in the relevant custody account
The Fund Custodian has the right to refuse to execute the instructions issued by the Manager to the Fund Custodian without sufficient funds
That is, notify the Fund Manager that the Fund Custodian will not bear any responsibility for the loss caused by failure to implement the instruction.
（4） The circumstances and handling procedures of the Fund Manager sending wrong instructions
The circumstances under which the fund manager sends wrong instructions include but are not limited to the fact that the instruction sender has no right or exceeds his/her authority to send instructions
And delivery information error, unclear or incomplete important information in the instruction, and the instruction violates laws and regulations, the Fund Contract and this
Agreement, etc.
The Fund Custodian has the right to refuse to execute the instructions of the Fund Manager if it finds them wrong when performing the supervision function and promptly
The Fund Manager shall be notified in writing to make corrections. After receiving the notice, the Fund Manager shall check it in time and report to the Fund in writing
The custodian sends a reply for confirmation. If it is necessary to revoke the order, the fund manager shall issue a written statement and affix the reserved seal.
（5） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
Unless otherwise agreed in this Agreement, the Fund Custodian fails to comply or fails to comply in a timely manner with the Fund Manager due to its own reasons
The orders sent in line with the agreement of this Agreement and effective in accordance with the normal trading procedures shall be executed, and shall be distributed to the Fund and its units
If any person or fund manager causes losses, he/she shall be responsible for compensating the corresponding direct losses.
（6） Procedures for replacing the authorized person
If the fund manager changes the authorized person, changes or terminates the scope of authorization for the authorized person, it must submit at least one payment in advance
On trading days, send scanned copies or other written confirmation of the Fund Custodian and the Fund Manager to send the covering base to the Fund Custodian
The change notice of the authorized person with the official seal of the fund manager and the signature of the legal representative or its authorized agent, and the telephone notification basis
Gold Custodian. The change notice shall specify the effective time, and provide the signature sample of the new authorized person. The Fund Custodian receives the change
The notice will be confirmed to the fund manager by telephone on the same day. The authorized change takes effect from the effective time specified in the change notice. if
If the effective time specified in the change notice is earlier than the time when the Fund Custodian receives the change notice, the authorized change shall be received by the Fund Custodian
The change notice shall take effect. Before the notice of change of the authorized person takes effect, the Fund Custodian shall still execute the order as originally agreed
No one can deny its effectiveness. The Fund Manager shall send the original of the notice of change of the authorized person to the Fund Custodian within three days thereafter.
If there is any change in the list and authority of the authorized personnel of the Fund Manager, it fails to notify the Fund Custodian in a timely manner and
The Fund Custodian shall not be liable in any form for any damage caused to the Fund Unitholders by leaving new seals and signature samples.
The Fund Custodian shall notify in advance by mail, fax or recorded telephone if it changes the personnel who accept the instructions of the Fund Manager
Fund Manager.
（7） Other matters
The Fund Manager shall bear the responsibility for issuing illegal, illegal or contrary orders as agreed in the Fund Contract and this Agreement.
The Fund Custodian's right to execute the Fund Manager's instructions that have become effective in accordance with normal trading procedures has caused damage to the Fund's assets
No liability for damages.
6、 Transaction, clearing and settlement arrangements
（1） Standards and procedures for selecting securities operating institutions to act as agents for securities trading
The Fund Manager shall be responsible for selecting the securities operating institutions that act as agents for the purchase and sale of the Fund's securities.
The Fund Manager shall be responsible for determining the relevant securities operating institutions after reviewing them in accordance with relevant standards and internal management systems
Acting as an agent for the Fund's securities trading institutions, and assuming corresponding responsibilities. Fund managers and selected securities operating institutions
The Fund Manager shall notify the Fund Custodian of the signing of the transaction unit lease agreement and disclose the relevant information in the statutory information disclosure announcement
Content.
The Fund Manager shall, prior to the commencement of the operation of the Fund, change the basic information such as the special trading unit number and commission rate of the Fund
Timely notify the Fund Custodian in writing of the situation and submit the Transaction Unit Lease Agreement provided by the selected securities operating institution
Timely deliver to the Fund Custodian to ensure that the Fund Custodian applies for receiving settlement data.
（2） Settlement arrangements after the fund invests in securities
1. The Fund Custodian shall be responsible for the clearing and settlement of all OTC and over-the-counter transactions in which the Fund invests in securities
Responsible for handling.
2. The Fund Manager and the Fund Custodian shall sign a separate custody agreement before the Fund invests in the OTC investment varieties
Bank Securities Fund Settlement Agreement.
3. When the Fund invests in non guaranteed delivery investment varieties, the Fund Manager shall comply with the Fund Custodian's prior disclosure
A written notice in the form of a household letter.
4. Inter bank bond payment settlement
The Fund Manager shall timely submit the inter-bank Shanghai Stock Exchange, China Bond registration and transfer instructions and transaction notice to the Fund in accordance with relevant regulations
The Custodian and the Fund Manager shall set aside the time necessary for the Fund Custodian to execute the order.
The fund manager shall track the transaction settlement, securities and assets in real time according to the query function provided by China Bond Depository and Clearing Corporation Limited
The receipt of funds and the change of balance facilitate the monitoring of the settlement process and the front-end control of matching funds with transactions.
5. The term format of the deposit agreement signed between the time investment fund manager and the deposit bank shall be one day before the value date of the time deposit
It shall be sent to the Fund Custodian within three working days, and the Fund Manager shall send the transfer instruction of time deposit and the sealed version of the deposit agreement (fax
Copies or scanned copies) shall be submitted to the Fund Custodian in accordance with the provisions of laws and regulations, the Fund Agreement and the Custodian Agreement
The Manager shall confirm with the Fund Custodian by telephone in a timely manner. For the instructions issued by the Fund Manager in accordance with the agreed procedures, the Fund
The administrator shall not deny its effectiveness.
When sending investment orders, the Fund Manager shall reserve the time necessary for the Fund Custodian to execute the investment orders
Between. The transmission of investment orders is not timely and sufficient transfer time is not reserved due to the fund manager, resulting in the failure of funds
The loss caused by timely arrival shall be borne by the Fund Manager.
If the deposit bank is unable to deliver the deposit certificate to the Fund Custodian before 17:00 on the day of deposit, the Fund Manager shall urge
The deposit bank sends the scanned copy of the deposit certificate to the fund custodian. After the deposit certificate is delivered to the custodian, the fund custodian shall be responsible for
Keep the original certificate of deposit. The Fund Custodian only conducts formal review on the deposit certificate, which includes the account name
Value date, maturity date, amount and interest rate. The Fund Custodian shall not be responsible for verifying the authenticity of the deposit certificate.
The deposit agreement signed between the fund manager and the deposit bank shall include:
(1) The deposit bank provides the necessary conditions for opening deposit accounts, depositing and withdrawing funds for the time deposit business of the entrusted assets
Want to support and efficient settlement services.
(2) The deposit bank provides door-to-door services for the deposit certificates of the time deposits invested by the entrusted assets, namely: time deposits
On the day the deposit funds arrive at the account, the deposit bank shall send an authorized agent to properly send the "certificate of deposit" (hereinafter referred to as the "certificate")
To the Fund Custodian. Before the "Certificate" is handed over to the Fund Custodian
All losses shall be borne by the deposit bank.
(3) On the due date of fixed deposit or the date of early withdrawal, the deposit bank shall send an authorized agent to the fund custody
The "certificate" is extracted by the personnel department. After the "Certificate" is handed over to the authorized agent of the depository bank
All losses caused shall be borne by the deposit bank.
The deposit bank shall, at least one working day in advance, provide the fund custodian with
Written authorization. The authorized agent shall show valid ID card or work card when providing door-to-door service.
(4) The deposit bank shall ensure to pay the principal and interest of the deposit in time, and transfer the principal and interest to the Fund on the day of withdrawal
The custodian account at the fund custodian (Shanghai Pudong Development Bank), and the opening bank, account number, account name
Large amount payment number. The deposit bank shall confirm that the principal and interest of time deposits can only be transferred to the corresponding custody account opened in the custodian or
Designated account confirmed by the custodian. If the information of the above designated collection account needs to be changed, it must be approved in writing by the Fund Custodian.
(5) Deposit banks shall provide regular reconciliation services for fixed deposit business. The first reconciliation should be no later than the deposit of funds
The next natural month. Except for the first reconciliation, the reconciliation frequency shall not be less than once every six months. The deposit bank shall cooperate with the fund custodian
Written request for "confirmation".
(6) If the reserved seal of the "Certificate" is changed during the deposit duration, the deposit bank shall cooperate in handling the change procedures
Continued.
（3） Confirmation of available fund balance
The Fund Custodian shall, before 9:30 a.m. of each working day, transfer the available fund balance of the escrow account to the party approved by both parties
To the fund manager.
（4） Reconciliation of transaction records, funds and securities accounts
1. Reconciliation of transactions
The Fund Manager and the Fund Custodian shall check the transaction records on a daily basis. Before disclosing net worth to the public, it must be ensured that
All the actual transaction records of the day are consistent with the transaction records in the fund accounting book.
2. Reconciliation of capital accounts
The fund account includes the fund's bank deposits and other accounting information. The fund account shall be verified daily by the fund custodian
Yes, the fund manager reviews the available position statement provided by the custodian to check the fund balance. Daily check of bank deposit account
The account received is consistent with the account, and the account is consistent with the actual situation.
3. Reconciliation of securities accounts
Securities account refers to the type, quantity and
amount of money. The Fund Manager and the Fund Custodian shall check the securities account balance on a daily basis. The securities account of the stock exchange is settled every trading day
Check the securities accounts of the inter-bank market once at the end of each month to ensure that the accounts are consistent with the reality.
（5） Basic Provisions on Fund Purchase, Redemption and Conversion
1. The Fund will begin to apply for and redeem within 3 months after the Fund Contract comes into effect
The management time shall be subject to the announcement. Confirmation and liquidation of subscription and redemption of fund units shall be carried out by the fund manager or the registration institution entrusted by the fund manager
be responsible for.
2. The Fund Manager shall send the Fund Manager's confirmation to the Fund Custodian on each trading day in accordance with the relevant provisions of this Agreement
Relevant data of subscription, redemption and conversion of open-ended funds, and be responsible for the authenticity, accuracy and integrity of the above data. base
The fund custodian shall timely check the receipt of subscription and transferred funds and timely transfer redemption and transfer according to the instructions of the fund manager
Disbursements. The Fund Manager shall ensure that the registration authority of the Fund (or entrusted by the Fund Manager) shall be at 15:00 every working day
Send the aforesaid relevant data of the previous opening day to the Fund Custodian in advance, and ensure the accuracy and completeness of the relevant data.
3. The Fund Manager sends the subscription and redemption through the data transmission system jointly agreed with the Fund Custodian
If the system cannot send data normally due to various reasons, both parties can solve the problem through negotiation. The fund or
In case of loss of one party to this agreement, the party whose system fails to transmit data normally shall be liable for compensation, but the situation caused by force majeure
Shape exclusion; If it is caused jointly by both parties, they shall bear corresponding responsibilities according to their own fault degree. The Fund Manager reports to the Fund Custodian
The data sent shall be kept by both parties in accordance with relevant regulations.
4. The Fund Manager shall ensure that the interface specification of the registration data it sends is consistent with the interface specification of the Fund Custodian
To.
5. Opening and management of special account for fund registration and clearing
In order to meet the needs of fund transfer such as subscription and redemption, the Fund Manager shall open funds for fund subscription and redemption
The liquidated fund shall be registered in the special account for liquidation.
6. The fund manager shall be responsible for determining the receipt of the receivable assets generated in the process of fund purchase with the relevant parties
The Fund Custodian shall notify the Fund Custodian on the date when the fund assets fail to reach the Fund Custodian on the account day
If the Fund Manager is informed that it has taken measures to collect the funds, which has caused losses to the Fund, the Fund Manager shall be responsible to the relevant parties
The Fund Custodian shall not bear any responsibility for the recovery of the losses of the Fund.
7. Payment of redemption funds
When the Fund Custodian pays the redemption money according to the instructions of the Fund Manager, if the Fund has sufficient capital in the special custody account
The Fund Custodian shall pay in accordance with the provisions of the Fund Contract and this Agreement; If the Fund has sufficient capital in the special custody account
And the Fund Custodian has enough reasonable time to transfer funds, but the Fund Custodian fails to timely implement the legal and compliant instructions
The liability shall be borne by the Fund Custodian, except for cases caused by force majeure. Due to insufficient funds in the special custody account
The Fund Custodian shall notify the Fund Manager in a timely manner if the Fund Custodian fails to pay on time due to the failure of the Fund Custodian to pay. In case of fund management
If it is caused by the manager, the responsibility shall be borne by the fund manager, and the fund custodian shall not assume the obligation of advance; If yes, except fund management
If it is caused by a third party other than the Fund Custodian or the Fund Custodian, the responsibility shall be borne by the third party, and the Fund Custodian shall not bear the obligation of advance
If losses are caused to fund share holders, the Fund Custodian shall be responsible for cooperating with the Fund Manager to recover from a third party
Business.
8. Fund payment execution and responsibility definition
Net transfer out and redemption, except that the fund account where the subscription amount reaches the fund custodian needs to be reconciled by both parties in the agreed way
The funds shall be paid in accordance with the relevant provisions of this Agreement. If there is no provision in this agreement, it shall be subject to the agreement of both parties
that 's ok.
The Fund Manager and the Fund Custodian shall take all necessary measures to ensure that the subscription, redemption and other funds are in compliance with the relevant provisions of this Agreement
Transfer to the designated account within the specified time. However, due to the reasons of a third party other than the Fund Manager and the Fund Custodian, force majeure
The Fund Manager and the Fund Custodian shall not be liable for the failure of funds to arrive on time due to any reason. If so
If losses are caused to the Fund, the Fund Manager shall be responsible for recovering from a third party, and the Fund Custodian shall have the obligation to assist in the recovery.
9. Suspension of redemption and massive redemption
The Fund Manager shall, in strict accordance with relevant laws and regulations and the provisions of the Fund Contract
The Bank shall deal with it accordingly and notify the Fund Custodian in a form agreed by both parties in a timely manner on the day of the suspension of redemption. fund management
People should deal with the situation of huge redemption in strict accordance with relevant laws and regulations and the provisions of the Fund Contract,
And notify the Fund Custodian in a form approved by both parties in a timely manner on the day when partial redemption is decided to be postponed.
（6） Settlement of subscription and redemption funds
1. Before T+1 day (including T+1 day, and T day is the application date), the fund manager is responsible for the subscription and redemption of investors according to T day
The confirmation data of the fund return shall be summarized and transmitted to the fund custodian. Funds subscribed by the Fund Manager and the Fund Custodian accordingly
Accounting treatment.
The fund settlement between the fund custody account and the "fund clearing account" follows the original principle of "full settlement and net settlement"
Then, the net receivable amount or net payable amount of the trusteeship account on the current day shall be determined according to the difference between the receivable funds and payable funds of the trusteeship account
To determine the amount of capital delivery. If there is a net receivable amount in the custody account, the fund manager shall
15: Transfer from the fund clearing account to the fund custody account before 00 p.m. The fund custodian shall notify the fund immediately after the funds are received
The Manager shall fax the relevant written vouchers to the Fund Manager for accounting management; If there is net payable amount of custody account
The Fund Manager shall send the transfer instruction to the Fund Custodian on the previous working day
The net payable amount of the escrow account shall be transferred to the fund clearing account before 12:00 on the capital settlement date, and the fund custodian shall
Immediately notify the fund manager after the funds are transferred out, and hand over the relevant written vouchers to the fund manager for accounting management.
When there is a net payable amount in the custody account, if the fund bank account has sufficient funds, the fund custodian shall allocate on time
Payment; The Fund Custodian shall timely allocate funds due to insufficient funds in the Fund's bank account
Inform the Fund Manager that if it is caused by the Fund Manager, the responsibility shall be borne by the Fund Manager and not by the Fund Custodian
Undertake the obligation of advance payment.
（7） Fund conversion
The Fund Manager and the Fund Custodian shall handle the fund management in accordance with relevant laws and regulations, the Fund Contract and this Agreement
Gold conversion.
（8） Responsibility determination and handling procedures for overbought or oversold funds
When performing the supervision function, the Fund Custodian shall
Immediately remind the Fund Manager that the Fund Manager is responsible for solving the losses caused to the Fund and the Fund Custodian. If
If it is caused by the fault of the Fund Manager, it shall be borne by the Fund Manager. In case of overbought behavior not due to the fund custodian
The administrator must allocate funds before 12:00 a.m. on T+1 day to complete clearing and settlement.
7、 Calculation and accounting of fund net asset value
（1） Time and procedure for calculating and reviewing the 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. The net value of fund units is estimated according to each
After the market is closed on the duty day, the net asset value of the fund is calculated by dividing the balance of the fund units on that day, accurate to 0.0001 yuan, decimal point
The last fifth digit shall be rounded off, and the resulting error shall be included in the fund property. Under the circumstance that the fund manager can set up a large redemption
Net value accuracy emergency adjustment mechanism. If it is otherwise stipulated by the state or the Fund Contract, the provisions shall prevail.
According to relevant laws and regulations, the Fund Manager shall be responsible for the calculation of the net asset value of the Fund and the accounting of the Fund
The custodian shall be responsible for the review. The Fund Manager shall be responsible for the accounting of the Fund. Therefore, it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality
The Manager shall publish the calculation results of the net value of the Fund. On each valuation date, the Fund Manager shall evaluate the assets of the Fund
Value. Except when the Fund Manager suspends valuation in accordance with laws and regulations or the provisions of the Fund Agreement. The valuation principle shall comply with the Fund
Contract, Guidelines for Accounting Business of Securities Investment Funds and other laws and regulations. Each valuation of the Fund Manager
Calculate the net value of the fund units and the net value of the fund assets of the day after the end of the day trading and send them to the fund trust in a way agreed by both parties
Manage people. The Fund Custodian shall review and confirm the net value calculation result and send it to the Fund Manager in a way agreed by both parties
The manager shall publish it to the public as agreed.
According to the Fund Law, the Fund Manager calculates and publishes the net value of the Fund, and the Fund Custodian reviews and reviews the Fund Management
The net value of the fund calculated by the manager. The accounting responsible party of the Fund is the Fund Manager. For accounting issues related to the Fund, such as
After full discussion on the basis of equality among relevant parties, no agreement can be reached
The calculation results of.
If laws, regulations and regulatory authorities have mandatory provisions, such provisions shall prevail. In case of any new items, the valuation shall be conducted according to the latest national regulations.
（2） Fund asset valuation
The valuation principles shall comply with the Fund Contract, the Guidelines for Accounting Business of Securities Investment Funds and other laws and regulations
The agreement.
When the valuation method specified in relevant laws and regulations or the Fund Contract cannot objectively reflect the fair value of the fund property
The Fund Manager may, according to the specific circumstances and after consultation with the Fund Custodian, value at the price that best reflects the fair value.
（3） 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.
（4） Valuation error handling
1. When there is an error within 4 decimal places (including the fourth decimal place) of the net value of fund units, it shall be deemed as an error of the net value of fund units;
In case of any error in the calculation of the net value of the Fund units, the Fund Manager shall immediately correct it, notify the Fund Custodian, and adopt a contract
Reasonable measures to prevent further expansion of losses; When the error deviation reaches 0.25% of the net value of fund units, the fund manager shall
Report to the Fund Custodian and to the CSRC for filing; When the error deviation reaches 0.5% of the net value of fund units, the Fund Manager shall
When the announcement is made; Notify the Fund Custodian and report to the CSRC for filing; The Fund Manager shall be responsible for any error in net value calculation
If losses are caused to the Fund Unitholders and the Fund, the valuation errors agreed in the Fund Agreement and this Agreement shall be handled
Principle and procedure.
2. When the calculation error of the net value of fund units is caused to the fund and fund units due to the fund manager and fund custodian
When compensation is required for losses caused by someone, the Fund Manager and the Fund Custodian shall define the responsibilities of both parties according to the actual situation
The liability shall be compensated according to the following terms after confirmation:
(1) The Fund Manager shall be responsible for the accounting of the Fund. Accounting issues related to the Fund, such as
After full discussion on the basis of equality, if no agreement can be reached, it shall be implemented according to the proposal of the fund manager, and the fund share
The Fund Manager shall be responsible for compensating the direct losses caused by the Fund holder and the Fund property.
(2) If the net value of fund units calculated by the fund manager has been announced after being reviewed and confirmed by the fund custodian, and
If the administrator does not raise doubts about the calculation process or require the fund manager to explain in writing, the net value of the fund unit is wrong and the
If the fund share holder suffers direct losses, it shall pay compensation to the fund share holder or the fund in accordance with the provisions of laws and regulations
As for the amount of compensation paid to the Fund Unitholders or the Fund, the Fund Manager and the Fund Custodian shall
The proportion of management fee and custody fee shall bear corresponding responsibilities.
(3) For example, the Fund Manager and the Fund Custodian have recalculated and verified the net value of the Fund units for many times
Yes, if no agreement can be reached, in order to avoid the situation that the net value of fund units cannot be announced on time, it shall be calculated by the fund manager
If it is announced to the public, the Fund Manager shall be responsible for compensating the direct losses caused to the Fund Unitholders and the Fund.
(4) Due to the information error provided by the fund manager (including but not limited to the fund purchase or redemption amount)
The Fund Manager shall be responsible for compensating the losses of the Fund Unitholders and the Fund property caused by the calculation error of the net value of the Fund Units.
3. Due to force majeure, or due to the stock exchange, the national inter-bank market, the registration and clearing company and the deposit bank
Data errors sent by third-party institutions, or changes in national accounting policies, market rules and other non fund managers
For reasons attributable to the Fund Custodian, although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection,
However, if no error is found, the Fund Manager and the Fund Custodian shall be exempted from compensation for the resulting error in the valuation of the Fund assets
Ren. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
4. The net value of the fund manager and the fund custodian due to their respective technical system settings shall be used to calculate the tail difference
The calculation result of the manager shall prevail.
5. If the above contents are otherwise stipulated by laws and regulations or regulatory authorities, their provisions shall prevail. If the industry has other common practices,
Both parties shall negotiate in the principle of equality and protection of the interests of fund share holders.
（5） Suspension of valuation and announcement of net value of fund units
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 the 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 specified by laws and regulations, and recognized by the CSRC and the Fund Contract.
（6） Establishment of fund account book
After the Fund Contract comes into force, the Fund Manager and the Fund Custodian shall follow the same accounting method agreed by the relevant parties
And accounting treatment principles, independently set up, record and keep the full set of account books of the Fund
Regularly check and supervise each other to ensure the safety of fund assets. If both parties disagree on the accounting treatment method
The fund manager's handling method shall prevail.
If the accounts of the relevant parties are found to be inconsistent after reconciliation, the Fund Manager and the Fund Custodian must promptly identify the reasons and
Correct and ensure that the records of the account books recorded in parallel by relevant parties are completely consistent. If the check on the current day is inconsistent, the wrong account cannot be found temporarily
If the calculation and announcement of the net value of the Fund are affected by the reason of, the account book of the Fund Manager shall prevail.
（7） Preparation and review of regular reports of the Fund
The financial statements of the Fund shall be independently prepared by the Fund Manager and the Fund Custodian on a monthly basis. The monthly report shall be prepared every
It shall be completed within 5 working days after the end of the month.
After the Fund Contract comes into force, if the information in the Prospectus of the Fund changes significantly, the Fund Manager shall
Update the fund prospectus and publish it on the specified website within working days; Where other information in the prospectus changes,
The Fund Manager shall be updated at least once a year. If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund. base
The financial manager shall complete the preparation and announcement of the quarterly report within 15 working days from the end of the quarter; At the end of the half year of the fiscal year
Complete the preparation and announcement of the interim report within the next two months; The annual report shall be prepared and consolidated within three months after the end of the accounting year
Notice.
The Fund Manager shall complete the monthly report within 5 working days. On the day when the monthly report is completed, the Fund Manager shall affix its official seal to the report,
Provide relevant reports to the Fund Custodian for review by encrypted fax; The Fund Custodian shall review within 3 working days, and
Timely notify the Fund Manager of the review results in writing. The fund manager shall complete the quarterly report within 7 working days
On the day when the report is completed, the relevant report shall be submitted to the Fund Custodian for review, and the Fund Custodian shall reply within 7 working days after receiving it
And notify the Fund Manager of the review results in writing. The Fund Manager shall complete the interim report within 30 days
On the day of completion, the relevant report shall be submitted to the Fund Custodian for review. The Fund Custodian shall review the report within 30 days after receiving it and
The Fund Manager shall be notified of the review results in writing. The Fund Manager shall complete the annual report within 45 days,
The relevant report shall be submitted to the Fund Custodian for review, and the Fund Custodian shall review the report within 45 days after receiving it, and the review results shall be communicated in writing
Know the fund manager.
When the Fund Custodian finds discrepancies in the statements of relevant parties during the review process, the Fund Manager and the Fund Custodian
The reasons shall be jointly identified and adjusted, and the adjustment shall be subject to the accounting treatment method recognized by the relevant parties. After verification, the fund
The custodian shall affix its seal on the report provided by the fund manager or issue a review opinion affixed with the business seal of the custody business department
Each party concerned shall keep one copy of the letter. If the Fund Manager and the Fund Custodian cannot
If the relevant statements are agreed, the Fund Manager has the right to publish an announcement in accordance with the statements prepared by it, and the Fund Custodian has the right to
The relevant information shall be reported to the CSRC for filing.
After reviewing the financial accounting report, interim report or annual report, the Fund Custodian shall stamp for confirmation or issue a copy of
The review confirmation letter shall be provided for the prompt when the competent authority reviews the relevant documents.
8、 Fund income distribution
（1） Principle of fund income distribution
Fund income distribution refers to the distribution amount and proportion of the fund's distributable profits determined according to the income distribution plan
The number of fund units held shall be distributed to the fund unit holders in proportion.
The income distribution shall comply with the provisions of the Fund Contract on the principle of income distribution.
（2） Procedures for Formulation and Implementation of Fund Income Distribution Plan
The fund manager shall formulate the fund income distribution plan in accordance with the relevant provisions of the Fund Contract.
The fund manager shall draw up the fund income distribution plan and the fund custodian shall review it. Fund manager after review
The income distribution plan shall be announced in the specified media in accordance with the relevant provisions of the Information Disclosure Measures; If the Fund Manager and
The Fund Custodian cannot reach an agreement on the income distribution plan before the income distribution date, and the Fund Custodian is obliged to distribute the income
The scheme and relevant information shall be submitted to the CSRC for filing and the fund manager shall be notified in writing after the above documents are submitted
The Fund Manager has the right to publicly announce the income distribution plan it has drawn up as of January 1, and the Fund Custodian has the obligation to assist in the management of the Fund
Unless there is evidence to prove that the scheme violates laws, regulations and the Fund Contract.
（3） 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.
9、 Information disclosure
（1） Confidentiality obligations
In addition to the fund information disclosed in accordance with the Fund Law, the Information Disclosure Measures, the Fund Contract and the CSRC
In addition to the disclosure of relevant regulations, the Fund Manager and the Fund Custodian have the information generated in the operation of the Fund and obtained from the other party
Our business information should be kept confidential. Any information of the Fund Manager and the Fund Custodian on the Fund, except for laws and regulations
In addition, it shall not disclose to any third party before its public disclosure. However, the following situations should not be considered as fund management
The Manager or Fund Custodian violates the confidentiality obligation:
1. Confidential information is disclosed, divulged or made public for reasons other than those of the Fund Manager and the Fund Custodian;
2. The Fund Manager and the Fund Custodian shall abide by and obey the court judgment, arbitration award or CSRC and other regulatory authorities
Information disclosure or disclosure made by the order or decision of.
（2） Contents of information disclosure
The Fund Manager and the Fund Custodian shall bear their respective responsibilities in accordance with relevant laws and regulations and the provisions of the Fund Contract
Responsibility for information disclosure. The Fund Manager and the Fund Custodian shall actively cooperate, supervise and supervise each other to ensure their performance
The obligation to disclose in a statutory manner and within a time limit.
The information disclosure of the Fund mainly includes the Fund Prospectus, the Fund Contract, the Fund Custody Agreement and the fund product information
Information summary, announcement on the sale of fund units, announcement on the effectiveness of the Fund Contract, regular report of the Fund (including the annual report of the Fund
Fund interim report and quarterly fund report (including quarterly asset portfolio report), interim report, fund net value information, fund
Amount subscription, redemption price, clarification announcement, resolution of the general meeting of fund share holders, liquidation report, investment in asset-backed securities
Information disclosure, information disclosure during the implementation of the side pocket mechanism and other necessary announcement documents shall be drafted and responsible by the fund manager
publish.
The Fund Manager and the Fund Custodian shall strictly comply with the information disclosure requirements specified in the Fund Contract. Fund net value letter
Interest, net value of fund units, purchase and redemption price of fund units, regular fund reports and updated prospectus, fund products
If the relevant fund information publicly disclosed, such as the summary of information and the fund liquidation report, needs to be reviewed by the fund custodian according to relevant regulations
The Fund Custodian shall conduct review and examination, and make written or electronic confirmation to the Fund Manager. Relevant information is entrusted by the fund
It can be announced only after the review is correct. Other information disclosures that do not need to be reviewed by the Fund Custodian shall be promptly notified to the Fund Custodian
People. The financial report part of the annual report shall be certified by an accountant who meets the provisions of the Securities Law of the People's Republic of China
It can be disclosed only after the audit of the financial office.
The fund manager shall, within the time limit prescribed by the CSRC, pass the fund information that should be disclosed to the CSRC
Media disclosure will be regulated. According to laws and regulations, the Fund Custodian will disclose the information that should be publicly disclosed by the Fund Custodian
Referral disclosure.
（3） Responsibilities and information disclosure procedures of the Fund Manager and the Fund Custodian in information disclosure
1. Responsibilities
The Fund Custodian and the Fund Manager shall be honest in the process of information disclosure with the purpose of protecting the interests of fund share holders
Keep your promises and keep your secrets. The Fund Manager shall be responsible for handling the information disclosure related to the Fund which shall be in the charge of the Fund Manager,
The Fund Custodian shall be notified in advance of the matters that shall be reviewed by the Fund Custodian as prescribed in Paragraph (2) of this Article
A person shall give a written reply within the specified time after receiving the notice.
2. Procedure
Information disclosure documents subject to review by the Fund Custodian in accordance with relevant regulations shall be drafted by the Fund Manager and submitted to the Fund Custodian
After review, the Fund Manager shall make an announcement.
In case of any event required to be disclosed in the Fund Contract, it shall be announced in accordance with the Fund Contract.
3. Storage of information text
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall, in accordance with the relevant laws and regulations
The information shall be kept at their respective residences for public reference and reproduction. The investor can obtain the reply of the above documents after paying the cost of production
Copy or photocopy.
The Fund Manager and the Fund Custodian shall ensure that the content of the text is completely consistent with the content of the announcement.
4. Suspension or delay of disclosure of fund related information
(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
Hour;
(3) Valuation suspension occurs;
(4) Other circumstances specified by laws and regulations, and recognized by the CSRC and the Fund Contract.
10、 Fund expenses
Fund expenses shall be withdrawn and paid in accordance with the provisions of the Fund Contract.
（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. Through the Fund Manager and Fund Custodian
After verification, the Fund Custodian shall negotiate with the Fund Manager 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 custody fee is calculated as follows:
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 fund manager does not need to issue the fund payment automatically within 5 working days at the beginning of the month according to the designated account path
Fund transfer instructions. In case of legal holidays, rest days, etc., the payment date shall be postponed to the latest payable date. Automatic deduction of expenses
After that, the Fund Manager shall check the data and contact the Fund Custodian for settlement in a timely manner in case of any discrepancy.
（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, which is subject to the review of the custodian and the manager
For consistent financial data, it will be automatically paid from the fund property to the registration authority in a lump sum within 5 working days at the beginning of the month, and then
The registration agency shall pay to each fund sales agency. In case of legal holidays, public holidays, etc., the payment date shall be postponed.
（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 be subject to the side pocket account
The account can be disbursed only after the assets are realized, and the relevant fees can be charged or remitted as appropriate, but management fees cannot be charged. See the prospectus for details
Regulations or relevant announcements.
11、 Custody of the Register of Fund Unitholders
The list of Fund Unitholders properly kept by the Fund Manager, including the effective date of the Fund Agreement and the Fund Agreement
Fund Unitholders on the termination date, the registration date of the rights of the general meeting of Fund Unitholders, June 30 and December 31 of each year
roster. The contents of the register of fund unit holders must include the names of fund unit holders and the fund units they hold.
The register of fund unit holders shall be prepared and kept by the fund registration agency of the fund in accordance with the instructions of the fund manager
The Manager shall keep the register of Fund Unitholders in accordance with the current relevant rules. The storage mode can be electronic or document.
The storage period shall not be less than the minimum period stipulated by laws and regulations.
Before the Fund Custodian prepares the interim report and annual report, the Fund Manager shall
The register of fund share holders shall be sent to the fund custodian, and the documents may be electronic or in the form of documents, and the authenticity of the register shall be guaranteed
Real, accurate and complete. The Fund Custodian shall keep it properly and shall not use the register of holders for anything other than the fund custody business
Purpose.
12、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager and the Fund Custodian shall keep the fund account books, original vouchers and vouchers of the Fund according to their respective responsibilities
Certificates, transaction records, announcements, important contracts and other relevant materials shall be kept confidential and kept within the specified period. fund management
The Fund Custodian shall keep the records, account books, statements and other relevant materials of the Fund's property management business activities, and the Fund Custodian shall keep the
Records, account books, statements and other relevant materials of financial custody business activities. The storage period shall not be less than the minimum stipulated by laws and regulations
Years.
（2） Establishment of contract archives
1. The Fund Manager or the Fund Custodian shall, after signing the contract related to the Fund, promptly comply with relevant laws and regulations
In accordance with the provisions of this Agreement, the original or copy of the contract shall be submitted to the other party.
2. The Fund Manager and the Fund Custodian shall keep the originals of all contracts signed with respect to the Fund assets in accordance with their respective responsibilities.
（3） Change and assistance
If the Fund Manager and/or the Fund Custodian change, the unchanged party is obliged to assist the successor after the change
Receive corresponding documents.
13、 Replacement of Fund Manager and Fund Custodian
（1） Replacement of Fund Manager
1. Conditions for replacement of the Fund Manager
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. Procedures for changing the 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 share holders shall manage the nominated funds within 6 months after the termination of the duties of the fund manager
The manager shall form a resolution, which shall be subject to more than 2/3 (including 2/3) of the voting rights held by fund share holders attending the meeting
The resolution shall be passed, and 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 replacement of the Fund Manager, the Fund Custodian shall appoint the holders of fund units who change the Fund Manager
The resolution shall be announced in the specified media within 2 days after it takes effect;
(6) Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business information and timely
Handle the transfer procedures of fund management business with 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 total assets of the fund with the fund custodian
Value and net value of fund units;
(7) Audit: If the duties of the fund manager are terminated, the fund manager shall be employed in accordance with the provisions of laws and regulations and in accordance with the Securities Law
The accounting firm of
The expenses shall be disbursed from the fund assets;
(8) Change of fund name: after the replacement of the fund manager, if required by the original or new fund manager
It is required to replace or delete the name words related to the original fund manager in the fund name.
（2） Replacement of Fund Custodian
1. Conditions for replacement of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
(1) The fund custody qualification is canceled according to law;
(2) Dismissed by the general meeting of fund unit holders;
(3) It is dissolved, canceled or declared bankrupt according to law;
(4) Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2. Procedures for changing 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, within 6 months after the termination of the duties of the Fund Custodian
The administrator shall form a resolution, which shall be subject to the form of more than 2/3 (including 2/3) of the voting rights held by the fund share holders attending the meeting
The resolution is adopted and takes effect from the date of adoption;
(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 replacement of the Fund Custodian, the Fund Manager shall be responsible for
The resolution shall be announced in the specified media within 2 days after it takes effect;
(6) Handover: If the duties of the Fund Custodian are terminated, the Fund Custodian shall properly keep the Fund assets and the Fund Custodian
To handle the transfer of fund assets and fund custody business to the temporary fund custodian or the new fund custodian in a timely manner
Continued, the new Fund Custodian or the temporary Fund Custodian shall take over in a timely manner. New Fund Custodian or Temporary Fund Custodian
The total value of fund assets and the net value of fund units shall be checked with the fund manager;
(7) Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall be employed in accordance with the provisions of laws and regulations and in compliance with the Securities Law
The accounting firm of
The accrued expenses shall be disbursed from the fund assets.
（3） 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
Joint announcement shall be made on the specified media within 2 days after the resolution of the general meeting of unit holders takes effect.
（4） New or temporary fund managers receive fund management business or new or temporary fund custodians receive fund assets
And fund custody business, the original fund manager or fund custodian shall continue in accordance with laws and regulations and the provisions of the Fund Agreement
Perform relevant duties and ensure that the interests of fund share holders will not be damaged. The original fund manager or fund custodian
During the period of continuing to perform relevant duties, he shall still have the right to collect fund management fees or fund custody fees in accordance with the provisions of the fund contract.
14、 Prohibited acts
The behaviors prohibited by the parties to the custody agreement include but are not limited to:
（1） The Fund Manager and the Fund Custodian mix their own property or other people's property with the Fund property to engage in securities investment
Capital.
（2） The Fund Manager and the Fund Custodian treat unfairly the different fund assets under their management or custody.
（3） The Fund Manager and the Fund Custodian, by taking advantage of the Fund assets or their positions, are not the Fund Unitholders
Three people seek benefits.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders gains or bear losses in violation of regulations.
（5） The Fund Manager and the Fund Custodian disclose to others any information that has not been disclosed in accordance with laws and regulations during the operation of the Fund
Information disclosed publicly by means of.
（6） The Fund Manager issues investment instructions, redemption and dividend to the Fund Custodian without sufficient funds
Transfer instructions of funds, or issuing instructions to the fund custodian in violation of regulations.
（7） The Fund Custodian delays or refuses to execute the effective instructions of the Fund Manager that comply with this Agreement.
（8） The Fund Manager and the Fund Custodian are not independent in administration and finance, and their senior fund managers are mutually
Position.
（9） The Fund Custodian privately uses or disposes of the Fund assets according to the legal instructions of the Fund Manager, the Fund Agreement or
Except for the disposition stipulated in the custody agreement.
（10） The Fund Manager and the Fund Custodian may not use the Fund assets 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.
（11） Other acts prohibited by laws and regulations and the fund contract, as well as in accordance with the relevant provisions of laws and regulations
Other acts prohibited by the CSRC from fund managers and fund custodians. Cancellation by laws, administrative regulations or regulatory authorities or
To change the above prohibitive provisions, if applicable to the Fund, the Fund Manager has the right to comply with laws, regulations or
The regulation adjusted or modified by the regulatory authority shall be implemented, and the obligation of information disclosure shall be performed to investors.
15、 Change and termination of fund custody agreement and liquidation of fund assets
（1） Change and termination of custody agreement
1. Change procedure of custody agreement
The parties to this agreement may change the contents of the agreement upon consensus. The changed trusteeship agreement
The contents shall not conflict with the provisions of the Fund Contract and shall be added by the Fund Manager and the Fund Custodian
Official seal or special seal for contract and signature (or seal) of legal representatives or authorized agents of both parties for confirmation. Fund Custodian Association
The change of the discussion shall be reported to the CSRC for filing.
2. Termination of the Fund Custody Agreement
This Escrow Agreement shall be terminated in the following circumstances:
(1) The Fund Contract is terminated;
(2) The Fund Custodian is dissolved, revoked, bankrupt or has other Fund Custodian take over the Fund assets;
(3) The Fund Manager is dissolved, revoked according to law, bankrupt or other Fund Managers take over the management of the Fund
Right;
(4) In case of termination under laws and regulations or the Fund Contract.
（2） Liquidation of fund assets
1. Fund asset liquidation team: establish the fund asset within 30 working days from the date of termination of the Fund Contract
The asset liquidation group and the fund manager shall organize the asset liquidation group and carry out the asset liquidation under the supervision of the CSRC
Calculate.
2. Before the Fund Assets Liquidation Team takes over the Fund Assets, the Fund Manager and the Fund Custodian shall
And the provisions of this Custody Agreement continue to perform the responsibility of protecting the security of the Fund's assets.
3. Composition of the Fund assets liquidation group: the Fund assets liquidation group consists of the Fund Manager, the Fund Custodian, and the Fund Manager
The composition of certified public accountants, lawyers and personnel designated by the CSRC according to the Securities Law of the People's Republic of China. Fund property
The liquidation team may employ necessary staff.
4. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody, liquidation, valuation and realization of the Fund assets
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. Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund assets liquidation
The expenses shall be paid by the liquidation team of the fund assets in priority from the remaining assets of the fund.
7. Fund assets shall be paid off in the following order:
(1) To pay the liquidation expenses of the Fund assets;
(2) Pay the taxes owed;
(3) Pay off fund debts;
(4) It shall be distributed in proportion to the fund units held by the fund unit holders.
Fund assets shall not be distributed to fund share holders until they have been paid off in accordance with the provisions of Items (1) - (3) of the preceding paragraph.
（3） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The liquidation report of the fund assets is in accordance with the Certificate of the People's Republic of China
The accounting firm specified in the Securities Law shall audit and the law firm shall issue a legal opinion, which shall be reported to the CSRC for filing and publication
Notice. The Fund assets liquidation announcement shall be submitted by the Fund assets within 5 working days after the Fund assets liquidation report is submitted to the CSRC for filing
The liquidation group makes an announcement. The fund assets liquidation group shall publish the liquidation report on the specified website and submit the liquidation report
The notice shall be published in the required newspapers and periodicals.
（4） 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.
16、 Liability for breach of contract
（1） If the Fund Manager or the Fund Custodian fails to perform this Agreement or violates this Agreement due to its fault,
The party at fault shall bear the liability for breach of contract, and if it causes losses to the other party, it shall compensate for the direct losses. as
In case of failure to perform this Agreement or breach of this Agreement due to the fault of both parties, both parties shall, according to the actual situation
If they bear their respective liabilities for breach of contract and cause damage to the fund assets or fund unit holders, they shall respectively
To bear liability for compensation according to law; If the joint act causes damage to the fund property or the fund unit holders, they shall bear
With liability. Compensation for losses shall be limited to direct losses. However, the party concerned shall be exempted from liability in the following circumstances:
1. The Fund Manager and the Fund Custodian shall act or not act in accordance with the then effective laws and regulations or the provisions of the CSRC
Loss caused by the accident;
2. Without fraud or negligence, the Fund Manager acts in accordance with the investment principles specified in the Fund Contract
Losses caused by exercising or not exercising its investment right;
3. Force majeure such as natural disasters;
4. Computer system failure, network failure, communication failure, power failure, computer virus attack, changes in laws and regulations
Abnormal suspension or termination of business of registration and transfer registrant, abnormal suspension or suspension of stock exchange or national inter-bank market
Stop trading, data errors sent by stock exchanges and registration and clearing companies, and other fund managers and fund custodians shall not
The factors under control lead to business errors. Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures
The Fund Manager and the Fund may suffer losses to the Fund property or investors as a result of the failure to find errors after the measures are checked
The trustee is exempted from liability for compensation. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate the resulting
influence.
（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 is obliged to be timely within the scope of its responsibilities
Take necessary measures to prevent the expansion of losses. If the loss is further expanded due to failure to take appropriate measures, it shall not be expanded
Claim compensation for the loss of. 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
Where the Fund Custodian has taken necessary, appropriate and reasonable measures to carry out inspection, but fails to find any error
The Fund Manager and the Fund Custodian shall be exempted from the compensation liability for the loss of the Fund property or investors. But fund managers and funds
The custodian shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
17、 Applicable Law and Dispute Resolution
（1） This agreement is governed by the laws of the People's Republic of China (for the purpose of this agreement, Hong Kong and Macao are excluded here
Administrative Region and Taiwan Law), and shall be interpreted accordingly.
（2） Both parties agree that all disputes arising out of or in connection with this agreement, except through friendly negotiation
If it can be settled, it shall be submitted to Shanghai International Economic and Trade Arbitration Commission for arbitration in accordance with its arbitration rules in effect at that time,
The place of arbitration is Shanghai, and the arbitral award is final and binding on all parties concerned, unless otherwise specified in the arbitral award,
The arbitration fee shall be borne by the losing party.
During the dispute settlement period, both parties shall abide by the responsibilities of the Fund Manager and the Fund Custodian and continue to be faithful, diligent and diligent
Responsible for performing the obligations specified in the Fund Contract and this Custodian Agreement, and safeguarding the legitimate rights and interests of fund share holders.
18、 Validity and text of the Fund Custody Agreement
（1） This Agreement is sealed by the Fund Manager and the Fund Custodian, affixed with the official seal or special seal for contract, and legally prescribed by both parties
It is established after being signed or sealed by the representative or authorized representative. The official text of this agreement is the text registered by the CSRC.
（2） This Agreement shall come into force from the effective date of the Fund Contract, and the validity period shall be from the effective date to the settlement of the Fund assets
The calculation results shall be reported to the CSRC for filing and announced.
（3） This agreement has the same legal binding force on all parties since the effective date.
（4） The original of this Agreement is in triplicate. In addition to one copy submitted to the relevant regulatory authority, the Fund Manager and the Fund Custodian
Each person holds one copy, and each copy has the same legal effect.
19、 Other matters
（1） Both parties hereby confirm that both parties have fully understood and understood that each party opposes its employees to seek any
And promises to avoid such situations in the principle of integrity and fairness, and will not provide any job to the employees of the other party without permission
What forms of rebates, cash gifts, securities, valuables, various incentives, private expense compensation, private travel, high cost consumer goods
Expensive entertainment and other improper benefits.
（2） Anti money laundering obligations
During the duration of this Custodian Agreement, the Fund Manager shall perform the corresponding anti money laundering obligations in accordance with laws and regulations and actively cooperate
The depository account opening and settlement bank shall carry out the customer identification work according to the requirements of the regulatory authority on anti money laundering, and provide authentic
Accurate and complete customer information, and comply with the management regulations of all parties on anti money laundering and anti-terrorism financing. Have reasonable reasons
For customers suspected of money laundering and terrorist financing, either party has the right to take necessary measures in accordance with the anti money laundering regulations of the People's Bank of China
Control measures.
（3） Matters not covered in this Agreement shall be handled through consultation by the parties in accordance with the Fund Contract and relevant laws, regulations and provisions.
(No text below)
(This page is the signature page of the Depository Agreement for 7-day Holding Period Securities Investment Fund of Nord China Securities Depository Certificate AAA Index, without
Body)
This agreement is signed by the following two parties on _______. Both parties confirm that after signing this agreement
Both parties have explained and discussed all the terms in detail, both parties have no doubt about all the terms of the agreement, and
The parties in this agreement have an accurate understanding of the legal meaning of the rights and obligations and liability limitation or exemption clauses.
Fund Manager: Fund Custodian:
Shanghai Pudong Development Bank Co., Ltd
(Official seal or special seal for contract) (Official seal or special seal for contract)
Legal representative or authorized representative: Legal representative or authorized representative:
(Signature or seal) (Signature or seal)