Bosera Technology Driven Hybrid Securities Investment Fund Custodian Association
Discussion
Fund manager: Bosera Fund Management Co., Ltd
Fund Custodian: Agricultural Bank of China Limited
catalog
1、 Parties to the Fund Custody Agreement three
2、 Basis, purpose and principle of the Fund Custody Agreement five
3、 The Fund Custodian's business supervision and verification of the Fund Manager five
4、 The Fund Manager's business verification of the Fund Custodian sixteen
5、 Custody of Fund Assets seventeen
6、 Sending, confirmation and execution of instructions twenty-one
7、 Transaction, clearing and settlement arrangements twenty-five
8、 Calculation and accounting of the net asset value of the fund twenty-nine
9、 Fund income distribution thirty-seven
10、 Fund information disclosure thirty-eight
11、 Fund expenses forty
12、 Registration and Custody of the Register of Fund Unitholders forty-two
13、 Preservation of Fund related documents and archives forty-three
14、 Replacement of Fund Manager and Fund Custodian forty-four
15、 Prohibited acts forty-seven
16、 Change and termination of custody agreement and liquidation of fund assets forty-nine
17、 Liability for breach of contract fifty-one
18、 Dispute Resolution fifty-three
19、 Effectiveness of the Escrow Agreement fifty-three
20、 Other matters fifty-four
21、 Signing of Escrow Agreement fifty-four
Whereas Bosera Fund Management Co., Ltd. is a company legally established in accordance with Chinese laws and has
A validly existing limited liability company is qualified to serve as a fund manager in accordance with relevant laws and regulations
The qualification and ability of the person, and it is proposed to raise and issue Bosera technology driven hybrid securities investment fund;
Whereas Agricultural Bank of China Limited is a company legally established in accordance with the laws of China
The bank that is in effective existence is qualified to act as the fund custodian in accordance with relevant laws and regulations
Qualification and ability;
Whereas Bosera Fund Management Co., Ltd. plans to serve as a hybrid securities investment driven by Bosera Technology
Agricultural Bank of China Limited, the fund manager of the fund, plans to act as Boshi Technology Driver
Fund custodian of dynamic hybrid securities investment funds;
To clarify the fund managers and funds of Bosera technology driven hybrid securities investment funds
This Custody Agreement is hereby formulated for the rights and obligations between the custodians;
Unless otherwise agreed, the Fund Contract of Bosera Technology Driven Hybrid Securities Investment Fund
(hereinafter referred to as the "Fund Contract")
Has the same meaning; In case of any conflict, the Fund Contract shall prevail and be interpreted in accordance with its terms.
1、 Parties to the Fund Custody Agreement
（1） Fund manager
Name: Bosera Fund Management Co., Ltd
Address: Fund Building, No. 5999, Yitian Road, Fuxin Community, Lianhua Street, Futian District, Shenzhen
21st floor
Legal representative: Jiang Xiangyang
Date of establishment: July 13, 1998
Approval authority and approval document number: CSRC Jian Jian Ji Zi [1998] 26
number
Organizational form: limited liability company
Registered capital: RMB 250 million
Business scope: fund raising; Fund sales; Asset management and CSRC approval
Other businesses available
Duration: continuous operation
（2） Fund Custodian
Name: Agricultural Bank of China Limited
Registered address: No. 69, Jianguomen Inner Street, Dongcheng District, Beijing
Postal code: 100031
Legal representative: Gu Shu
Time of establishment: January 15, 2009
Approval document and document number of fund custody qualification: ZJJZ [1998] No. 23 of China Securities Regulatory Commission
Approval authority and approval document number: CBRC YJF [2009] No. 13
Registered capital: 349983.034 million yuan
Duration: continuous operation
Business scope: absorbing public deposits; Issue short-term, medium-term and long-term loans; Handling country
Internal and external settlement; Handle bill acceptance and discount; Issuance of financial bonds; Agency issuance and exchange
Paying and underwriting government bonds; Buying and selling government bonds and financial bonds; Interbank lending; Trading
Acting to buy and sell foreign exchange; Settlement and sales of foreign exchange; Engaging in bank card business; Provide letter of credit service and guarantee
protect; Agency collection and payment; Provide safe deposit box service; Agency fund clearing; Various exchange businesses;
Acting as loan agent for policy banks, foreign governments and international financial institutions; Loan commitment; group
Organize or participate in syndicated loans; Foreign exchange deposit; Foreign exchange loans; Foreign exchange remittance; Foreign exchange borrowing; hair
To issue, buy or sell foreign currency securities other than stocks; Foreign exchange bill
Acceptance and discount; Proprietary and agency foreign exchange trading; Foreign currency exchange; Foreign exchange guarantee; Credit investigation
Consulting and witness business; Enterprise and individual financial advisory services; Customer transaction settlement of securities companies
Fund custody business; Securities investment fund custody business; Enterprise annuity custody business; Industrial investment
Fund custody business; Domestic securities investment custody business of qualified foreign institutional investors; agent
Open-end fund business; Telephone banking, mobile banking and online banking; Financial derivative production
Product trading business; Other businesses approved by the banking regulatory authority under the State Council and other regulatory authorities
Service; Concurrent insurance agency business.
2、 Basis, purpose and principle of fund custody agreement
（1） Basis for entering into custody agreement
This agreement is based on the Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as "the Law of the People's Republic of China on Securities Investment Funds")
Financial Law of the People's Republic of China), the Administrative Measures for the Operation of Publicly Offered Securities Investment Funds (hereinafter referred to as "the Administrative Measures for the Operation of Securities Investment Funds")
Measures for the Administration of Information Disclosure of Publicly Offered Securities Investment Funds (hereinafter referred to as "Measures")
"Information Disclosure Measures") and other relevant laws and regulations (hereinafter referred to as "laws and regulations")
Formulation of the fund contract and other relevant provisions.
（2） Purpose of entering into custody agreement
The purpose of this Agreement is to clarify the relationship between the Fund Manager and the Fund Custodian
Custody, investment operation, net value calculation, income distribution, information disclosure and mutual supervision
Rights, obligations and responsibilities in relevant matters to ensure the safety of fund assets and protect the holding of fund shares
The legitimate rights and interests of others.
（3） Principles for entering into custody agreement
The Fund Manager and the Fund Custodian shall, on the basis of equality, voluntariness, good faith and full protection of the Fund
This agreement is signed based on the principle of legal rights and interests of gold investors.
3、 The Fund Custodian's business supervision and verification of the Fund Manager
（1） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement,
Supervise the investment scope and objects of the fund. The fund contract clearly stipulates the fund investment risk
In case of qualification or securities selection criteria, the Fund Manager shall provide them in the format required by the Fund Custodian
Investment variety pool and counterparty pool, so that the fund custodian can use relevant technical systems to
Supervise whether the actual investment of the fund conforms to the provisions of the fund contract on the securities selection criteria, and
Check the doubtful items.
The investment scope of the Fund includes domestic legally issued or listed stocks (including the main board
Industrial board and other stocks and depositary receipts approved or registered for listing by the CSRC)
Hong Kong stock market stocks allowed to be traded under the trading interconnection mechanism with the Hong Kong stock market
(Hereinafter referred to as "Hong Kong Stock Standard Shares"), bonds (including government bonds, financial bonds, corporate bonds
Corporate bonds, central bank notes, medium-term notes, short-term financing bonds, ultra short-term financing bonds, convertible bonds
Bonds (including separable trading convertible bonds), exchangeable bonds, publicly issued subordinated bonds, etc.)
Asset backed securities, financial derivatives (including stock index futures, treasury bond futures, stock options
Credit derivatives, etc.), bond repurchase, inter-bank deposit receipts, bank deposits (including negotiated deposits
Time deposits and other bank deposits), money market instruments, cash, laws and regulations or
Other financial instruments permitted by the CSRC for fund investment (subject to the relevant regulations of the CSRC
).
The Fund may participate in financing business in accordance with relevant laws and regulations and the Fund Contract.
If laws and regulations or the CSRC later allow the Fund to invest in other varieties, the Fund shall
After performing appropriate procedures, the Manager may include it in the investment scope of the Fund.
The Fund's stock assets (including depositary receipts) account for 60% - 95% of the Fund's assets, of which
Investing in stocks of "technology driven" listed companies defined by the Fund shall not be less than non cash base
80% of gold assets and 0% - 50% of stock assets are invested in Hong Kong stocks; each
Stock index futures contracts, stock option contracts and treasury bond futures contracts are deducted at the end of each trading day
After the transaction margin to be paid, the cash or government bonds with a maturity of less than one year shall not be less than
5% of the net asset value of the Fund. The aforesaid cash does not include settlement provisions, deposits
Collection of purchase money, etc.
If laws and regulations or the CSRC change the investment proportion limit of investment varieties
After performing appropriate procedures, the manager may adjust the investment proportion of the above investment varieties.
（2） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement,
Supervise the proportion of fund investment and financing. The Fund Custodian shall adjust the term according to the following proportion
Supervise:
(1) The Fund's stock assets (including depositary receipts) account for 60% - 95% of the Fund's assets,
Among them, the shares invested in "technology driven" listed companies defined by the Fund are no less than non cash
80% of the fund's assets, and the investment proportion of Hong Kong stocks in the underlying stocks is
0%-50%；
(2) Stock index futures, stock options and treasury bond futures are deducted at the end of each trading day
After the transaction margin to be paid, the Fund holds cash or has a maturity of less than one year
The proportion of government bonds shall not be less than 5% of the net asset value of the fund, of which cash does not include settlement reserves
Payment, deposit, subscription receivable, etc;
(3) The market value of the securities issued by a company held by the Fund (if one
The total market value of A shares and H shares issued by companies shall not exceed the fund assets
10% of net worth;
(4) All funds managed by the Fund Manager and managed by the Fund Custodian
Holding the securities issued by a company, not more than the securities (if holding the securities issued by a company at the same time
10% of A shares and H shares);
(5) The total asset value of the Fund shall not exceed 140% of the net asset value of the Fund;
(6) The proportion of the Fund's investment in various asset-backed securities of the same original equity holder,
Shall not exceed 10% of the net asset value of the Fund;
(7) The market value of all asset-backed securities held by the Fund shall not exceed the fund assets
20% of net worth;
(8) The proportion of asset-backed securities held by the Fund of the same (referring to the same credit rating),
Shall not exceed 10% of the size of the asset-backed securities;
(9) All funds managed by the Fund Manager and managed by the Fund Custodian
All kinds of asset-backed securities invested in the same original equity holder shall not exceed their various asset expenditures
10% of the total amount of securities held;
(10) The Fund shall invest in assets with a credit rating of BBB or above (including BBB)
Supporting securities. During the period when the Fund holds asset-backed securities, if its credit rating declines
If it meets the investment criteria, it shall sell all of them within 3 months from the date of the rating report;
(11) The Fund's assets participate in the issuance and subscription of shares, and the amount declared by the Fund shall not exceed
The total assets of the Fund and the number of shares declared by the Fund shall not exceed that of the proposed company
The total number of shares issued for the second time;
(12) The Fund's participation in the investment of stock index futures and treasury bond futures shall comply with the following restrictions:
1) The value of stock index futures contracts purchased by the Fund at the end of any trading day,
Shall not exceed 10% of the net asset value of the Fund;
2) The value of treasury bond futures contracts held by the Fund at the end of any trading day,
Shall not exceed 15% of the net asset value of the Fund;
3) At the end of any trading day, the purchased stock index futures and treasury bond futures held by the Fund
The sum of the contract value and the market value of the securities shall not exceed 95% of the net asset value of the fund; Among them,
Marketable securities refer to stocks, bonds (excluding government bonds with maturity within one year), assets
Supporting securities, redemptory financial assets for sale (excluding pledge repurchase), etc;
4) At the end of any trading day, the value of the sold stock index futures contracts held by the Fund is not
May exceed 20% of the total market value of the shares held by the Fund;
5) At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund is not
May exceed 30% of the total market value of bonds held by the Fund;
6) Stock index futures contracts traded by the Fund on any trading day (excluding closing positions)
The transaction amount of shall not exceed 20% of the net asset value of the fund on the previous trading day;
7) Treasury bond futures contracts traded by the Fund on any trading day (excluding closing positions)
The transaction amount of shall not exceed 30% of the net asset value of the fund on the previous trading day;
8) The market value of stocks held by the Fund and the value of stock index futures contracts purchased and sold,
The total (netting calculation) shall comply with the relevant provisions of the fund contract on the proportion of stock investment;
9) Bonds held by the Fund (excluding government bonds with maturity less than one year)
The total of the market value and the value of treasury bond futures contracts purchased and sold (netting calculation) should be consistent with the basis
Relevant provisions on the proportion of bond investment in the gold contract;
(13) The Fund's participation in stock option trading shall comply with the following provisions:
1) The total amount of premium paid and received due to open stock option contracts shall not exceed
10% of the net asset value of the Fund;
2) Those who open positions to sell subscription stock options shall hold sufficient underlying securities; opening sale
If the stock option is put, it shall hold the full amount of cash required for the exercise of the contract or be recognized by the rules of the Exchange
Cash equivalents that can offset stock option margin;
3) The par value of the outstanding stock option contract shall not exceed 20% of the net asset value of the fund.
The par value of the contract is calculated by multiplying the exercise price by the contract multiplier;
4) The fund's investment in stock options shall comply with the proportion limit agreed in the fund contract (such as stocks
Position, proportion of individual shares, etc.), investment objectives and risk return characteristics;
(14) The Fund does not hold credit derivatives with the attribute of credit protection seller
With contractual credit derivatives, the nominal principal of credit derivatives held by the Fund shall not exceed
100% of the face value of the corresponding protected bonds in the fund; The Fund invests in the same credit protection
The total principal of various credit derivatives of the seller shall not exceed 10% of the net asset value of the fund;
Funds due to fluctuations in securities/futures markets, mergers of securities issuers, changes in fund size, etc
If factors other than the manager cause the fund not to comply with the proportion limit specified above, the fund shall be managed
The personnel shall make adjustment within 3 months;
(15) All the funds managed by the Fund Manager and managed by the Fund Custodian are open
Fund (including open-end funds and regular open-end funds in the open period) holds one
The tradable shares issued by a listed company shall not exceed 15% of the tradable shares of the listed company;
All investment portfolios managed by the Fund Manager and managed by the Fund Custodian hold one
The number of tradable shares issued by a listed company may not exceed that of the listed company
30%；
(16) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed
15% of the net asset value of the Fund;
Due to fluctuations in the securities/futures market, stock suspension of listed companies, changes in fund size, etc
Where factors other than the fund manager cause the fund not to meet the proportion limit specified in the preceding paragraph, the fund shall
The manager shall not actively increase the investment of liquidity restricted assets;
(17) The Fund and private securities asset management products and other owners recognized by the CSRC
In case of carrying out reverse repo transactions for counterparties, the qualification requirements for acceptable collateral shall be consistent with
The investment scope agreed in the gold contract shall be consistent;
(18) After the Fund participates in financing business, at the end of any trading day
The sum of the market value of the stocks purchased through financing and other securities shall not exceed the net asset value of the fund
95%；
(19) The proportion of the Fund's investment in depositary receipts shall be limited to stocks listed and traded in China
Execute and calculate the shares listed and traded in China together;
(20) Other investments stipulated by laws and regulations, CSRC and fund contract
Limitations.
Except for Articles (2), (10), (14), (16) and (17)
Fluctuations, mergers of securities issuers, changes in fund size and other factors outside the fund manager
If the investment proportion of the fund does not meet the above investment proportion, the fund manager shall
Adjustment shall be made within the trading day, except for special circumstances stipulated by laws and regulations or the CSRC.
The Fund Manager shall make the investment of the Fund within 6 months from the effective date of the Fund Contract
The portfolio proportion shall comply with the relevant provisions of the fund contract. During the above period, the investment scope of the Fund
The enclosure and investment strategy shall comply with the provisions of the fund contract. The Fund Custodian's investment in the Fund
The supervision and inspection shall start from the effective date of the fund contract.
Laws and regulations or regulatory authorities cancel or change the above restrictions. If applicable to the Fund
After the Fund Manager has performed appropriate procedures, the Fund's investment will no longer be subject to relevant restrictions or changes
The following provisions shall be implemented.
（3） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement,
Supervise the prohibited acts of fund investment in Item 11 of Article 15 of this Agreement.
In accordance with the provisions of laws and regulations on the Fund's engaging in connected transactions, the Fund Manager and the Fund
The custodians shall provide each other with prior information about the shareholders who have a controlling relationship with this institution or who have
The list of companies with significant interests and their updates shall be submitted in a manner agreed by both parties, and it shall be confirmed that
The authenticity, integrity and comprehensiveness of the list of connected transactions provided by the Exchange. The fund manager has
Responsible for keeping a true, complete and comprehensive list of connected transactions and updating the list in a timely manner.
After the list is changed, the Fund Manager shall send it to the Fund Custodian in a timely manner, and the Fund Custodian shall confirm it in a timely manner
Recognize changes to known lists. If the fund custodian strictly follows the supervision process in its operation,
If the fund manager still conducts related party transactions in violation of regulations and causes losses to fund assets, the fund manager shall
The fund custodian has the right to report to the CSRC when the manager assumes the responsibility.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their holdings
Securities or securities issued by shareholders, actual controllers or companies with significant interests
Securities underwritten during the sales period or other major related party transactions shall meet the requirements of the Fund
Investment objectives and strategies, follow the principle of giving priority to the interests of fund share holders, and guard against interests
Conflict, establish and improve the internal approval mechanism and evaluation mechanism, and implement according to fair and reasonable market price
that 's ok. Relevant transactions must be approved by the Fund Custodian in advance and disclosed in accordance with laws and regulations
Dew. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and shall be subject to two thirds
Approved by the independent directors on. The Board of Directors of the Fund Manager shall, at least half a year
Review.
Laws, administrative regulations or regulatory authorities cancel or change the above restrictions, if applicable
After the Fund and the Fund Manager have performed appropriate procedures, the investment of the Fund will no longer be subject to relevant restrictions
Or subject to the changed regulations.
（4） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement,
Supervise the participation of fund managers in the inter-bank bond market. The fund manager shall invest
Provide the Fund Custodian with carefully selected inter-bank bonds applicable to the Fund before capital operation
List of counterparties in the securities market, and agree on the transaction settlement method applicable to each counterparty. base
The Fund Custodian supervises whether the Fund Manager conducts transactions in accordance with the inter-bank bond market provided in advance
Trading on hand list. The fund manager can conduct a semi annual transaction with the counterparties in the inter-bank bond market
The list shall be updated, for example, the fund manager shall temporarily adjust the inter-bank bonds according to the market situation
The list of market counterparties shall explain the reasons to the fund custodian
Negotiate with the Fund Custodian for settlement within three working days in advance. Fund manager receives fund custody
After written confirmation, the list confirmed to be adjusted will become effective. Before the new list becomes effective
Transactions that have not been settled by the eliminated counterparty shall still be settled in accordance with the agreement.
The fund manager is responsible for controlling the credit of the counterparty according to the trading rules of the inter-bank bond market
The Fund Custodian will execute the contract price according to the inter-bank bond market transaction sheet
Monitor the situation, but do not bear the losses caused by the counterparty's failure to perform the contract. Such as fund custody
It is found that the fund manager has not entered into the transaction according to the agreed counterparty or transaction method
When conducting transactions, the Fund Custodian shall timely remind the Fund Manager that the Fund Custodian shall not be responsible for
Any loss and liability caused by this.
（5） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement,
Supervise the fund manager's investment bank deposits.
If the Fund invests in bank deposits, the Fund Manager shall, in accordance with the provisions of laws and regulations and the Fund
As agreed in the contract, establish an investment system, prudently select deposit banks, and properly control risks; and
Cooperate with the Fund Custodian to complete relevant business handling as required by the Fund Custodian.
（6） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement,
Calculation of net asset value of funds, calculation of net asset value of various fund units, receipt of funds receivable, funds
Determination of expenses and income, fund income distribution, relevant information disclosure, fund promotion
The materials contain fund performance data for supervision and verification.
If the Fund Manager wills false performance without the approval of the Fund Custodian
If the data is printed on the promotional materials, the Fund Custodian will not bear any responsibility for this, and
It will report to the CSRC immediately upon discovery.
（7） The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Agreement,
Supervise the Fund's investment in restricted securities.
1. The Fund's investment in negotiable restricted securities shall comply with the Regulations on Private Offering of Fund Investment
Notice on Issues Related to Circulating Restricted Securities such as Stocks and other relevant laws and regulations.
2. Circulating restricted securities, including non-public shares regulated by relevant laws and regulations
The offline allotment part of the public offering shares, etc., shall be clearly defined at the time of issuance and can be delivered at a fixed time
Yi Securities, excluding securities whose trading is temporarily suspended due to the release of major news or other reasons
Issuance of unlisted securities, pledged bonds in repurchase transactions and other restricted negotiable securities.
3. Prior to the initial investment in restricted securities, the Fund Manager shall formulate relevant investment
Capital decision-making process, risk control system, liquidity risk control plan and other rules and regulations. fund
The manager shall reasonably arrange the investment ratio of the tradable restricted securities according to the needs of fund liquidity
For example, the specific proportion shall be specified in the risk control system to avoid liquidity risk of the fund.
The above rules and regulations shall be approved by the Board of Directors of the Fund Manager. The above rules and regulations are approved by the Board of Directors
After that, the Fund Manager shall approve the above rules and regulations and the Board of Directors
The resolution shall be submitted to the Fund Custodian.
4. Before investing in restricted negotiable securities, the Fund Manager shall trade at least one time in advance
The Fund Custodian shall be provided with relevant information on restricted negotiable securities on a daily basis, which shall specifically include:
Not limited to the following documents (if any):
The number of shares to be issued, pricing basis, copies of regulatory authority's approval documents, funds
Copy of the sales agreement signed between the manager and the underwriter, payment notice, and the fund to be subscribed
Quantity, price, total cost, transfer account number, transfer amount, transfer time document, etc. fund
The manager shall guarantee the authenticity and integrity of the above information.
5. The Fund Custodian shall, in the process of supervising the Fund Manager's investment in restricted securities,
If it is believed that the specific investment behavior of the fund manager may affect the
The Fund Custodian has the right to require the Fund Manager to deal with the risks caused by the Fund assets
The elimination or preventive measures shall be supplemented and rectified, and a written explanation shall be made. Otherwise, fund custody
The Fund Manager shall have the right to refuse to execute its relevant instructions upon prior written notification to the Fund Manager. For refusing to execute
The Fund Custodian shall not bear any responsibility for the loss of the Fund property caused by such instruction, and shall have the right to
Report to the CSRC.
6. The Fund Manager shall ensure that the restricted securities invested by the Fund are registered and deposited in the name of the Fund
And ensure that the Fund Custodian can make normal inquiries. Restrictions caused by the fund manager
The problem of securities registration and depository causes the loss of the fund property or the fund custodian is unable to keep it safely
The fund manager shall bear the responsibility and losses of the fund property.
7. If the Fund Manager fails to submit relevant information to the Fund Custodian in accordance with this Agreement
Data or submitted false data, resulting in the Fund Custodian being unable to perform its duties as a Fund Custodian
The Fund Manager shall bear the corresponding legal consequences according to law. Except that the Fund Custodian fails to
Losses arising from investment in restricted securities other than the performance of the Fund Contract and this Agreement
The fund custodian shall not bear the above losses after performing its supervision duties in accordance with this Agreement.
（8） The Fund Custodian discovers the above matters and investment orders or actual situation of the Fund Manager
In case of violation of laws, regulations and provisions of the fund contract in the investment operation, it shall be notified in writing in a timely manner
The fund manager shall make corrections within a time limit. The Fund Manager shall actively cooperate with and assist the Fund Custodian in its supervision
Supervision and verification. After receiving the notice, the Fund Manager shall check it in time before the next working day and submit a written statement
Send a reply to the Fund Custodian in face to explain or cite the Fund Custodian's doubts
Certificate, stating the reason for the violation and the time limit for correction, and ensuring timely correction within the specified time limit. On
Within the prescribed period, the Fund Custodian has the right to review the notice at any time and urge the Fund Custodian to
The gold manager corrects. The Fund Manager fails to meet the deadline for the violation notified by the Fund Custodian
In case of internal correction, the Fund Custodian shall report to the CSRC. Fund Custodian Finds Fund Management
The investment orders that have come into force in accordance with the transaction procedures violate laws, administrative regulations and other relevant laws
If it violates the provisions of the fund contract, it shall immediately notify the fund manager and report
China Securities Regulatory Commission.
（9） The Fund Manager has the obligation to cooperate with and assist the Fund Custodian in accordance with laws, regulations
The Fund Contract and this Custodian Agreement shall check the Fund business. Letter to the Fund Custodian
The Fund Manager shall reply and correct within the specified time, or
Explanation or proof of doubts; The Fund Custodian shall report to the CSRC in accordance with the regulatory requirements
The Fund Manager shall actively cooperate in providing relevant data and materials and
System, etc.
（10） If the Fund Custodian finds that the Fund Manager has major violations, it shall report them in a timely manner
The CSRC shall notify the fund manager to correct within a time limit and report the correction results to China
CSRC. The Fund Manager refuses or obstructs the other party to act in accordance with the provisions of this Agreement without justified reasons
Exert supervision power, or take delay, fraud and other means to prevent the other party from conducting effective supervision, and the circumstances are strict
If the Fund Custodian fails to correct after warning, the Fund Custodian shall report to the CSRC
meeting.
（11） When the fund holds specific assets and there are or potential large redemption applications
In accordance with the principle of protecting the interests of fund share holders to the maximum extent, the Fund Manager shall
After reaching consensus through consultation and consulting the accounting firm, the administrator may, in accordance with laws, regulations and
The side pocket mechanism is used as agreed in the gold contract.
The Fund Custodian shall, in accordance with the provisions of relevant laws and regulations and the provisions of the Fund Contract
Review and supervise the implementation of the mechanism, specific asset disposal and information disclosure. Side bag machine
The specific rules during the implementation period shall be in accordance with the provisions of relevant laws and regulations and the fund contract
Execution.
4、 The Fund Manager's business verification of the Fund Custodian
（1） The Fund Manager shall check the performance of custody duties by the Fund Custodian
Items to be investigated include the safe custody of fund assets by the fund custodian and the opening of fund accounts for fund assets
And securities account and other accounts required for investment, review the net asset value of the fund calculated by the fund manager and
Net value of various fund units, clearing and settlement according to the instructions of the fund manager, and relevant information
Disclose and supervise fund investment and operation.
（2） The Fund Manager finds that the Fund Custodian misappropriates the Fund assets without authorization and fails to
The assets are managed separately, and the fund manager's fund transfer instructions are not implemented or delayed without reason
Order or disclose fund investment information in violation of the Fund Law, the Fund Contract, this Agreement and others
In case of relevant provisions, the Fund Custodian shall be notified in writing to make corrections within a time limit. Fund Custody
After receiving the notice, the staff shall check it in time before the next working day and send it to the fund management in writing
The person sends a reply, stating the reason for violation and the time limit for correction, and guarantees to correct in time within the specified time limit
Yes. The Fund Manager has the right to review the notice at any time within the above specified period,
Urge the Fund Custodian to make corrections. The Fund Custodian shall actively cooperate with the Fund Manager's verification bank
To, including but not limited to: submit relevant materials for the Fund Manager to verify the completion of the custody property
Integrity and authenticity, reply to the fund manager and correct within the specified time.
（3） The Fund Manager shall report in a timely manner if it finds that the Fund Custodian has major violations
The CSRC shall also notify the fund custodian to make corrections within a time limit and report the results of the corrections to China
CSRC. The Fund Custodian refuses or obstructs the other party to act in accordance with the provisions of this Agreement without justified reasons
Exert supervision power, or take delay, fraud and other means to prevent the other party from conducting effective supervision, and the circumstances are strict
If the Fund Manager refuses to correct after warning, the Fund Manager shall report to the CSRC
meeting.
5、 Custody of fund assets
（1） Principles of Fund Property Custody
1. The Fund property shall be independent of the inherent property of the Fund Manager and the Fund Custodian.
2. The Fund Custodian shall keep the Fund assets safely. Without the legal basis of the fund manager
The Fund Custodian shall not use, dispose of or distribute the legal compliance instructions given in the procedures
Any property of gold.
3. The Fund Custodian shall open the fund account and securities account of the Fund property in accordance with the provisions
Account required for investment.
4. The Fund Custodian shall set up separate accounts for different fund assets under its custody and manage them separately
Management and independent accounting to ensure the integrity and independence of the fund assets.
5. The Fund Custodian shall, in accordance with the instructions of the Fund Manager
In case of special circumstances, the two parties can negotiate separately for settlement.
6. The fund manager shall be responsible for the assets receivable arising from the fund investment
The relevant parties shall determine the date of receipt and notify the Fund Custodian that the Fund property has not arrived on the date of receipt
If it reaches the fund account, the fund custodian shall timely notify the fund manager to take measures to urge
Collection. The Fund Custodian shall not be liable for any loss caused to the Fund property.
7. Except in accordance with laws and regulations and the provisions of the Fund Contract, the Fund Custodian shall not entrust
A third person shall trust the fund assets.
（2） Fund raising period and capital verification of raised funds
1. The funds during the fund raising period shall be deposited with the fund manager in a business with custody qualification
Special account for fund subscription opened by Industrial Bank. The account shall be opened and managed by the fund manager.
2. The total amount of fund units raised
The amount of fund raised and the number of fund unit holders comply with the Fund Law and the Operation Measures
After the relevant provisions, the Fund Manager shall transfer all funds belonging to the Fund property to the Fund Custodian
The fund custody account opened by the Bank shall, at the same time, employ the funds that meet the requirements of the People's Republic of China
The accounting firm specified in the Securities Law of the People's Republic of China shall conduct capital verification and issue a capital verification report. issue
The capital verification report of
Effectiveness.
3. If the fund raising period expires and the conditions for fund filing are not met, the fund shall be managed by the fund
The Fund Custodian shall provide full assistance to the Manager in handling refund and other matters as required.
（3） Opening and management of fund account
1. The Fund Custodian shall be responsible for the opening and management of the Fund's capital account.
2. The Fund Custodian may open the Fund's capital in its business institution in the name of the Fund
And handle the receipt and payment of funds according to the legal and compliant instructions of the fund manager. The Fund's
The reserved seal of the bank shall be kept and used by the fund custodian. All monetary income and expenditure activities of the Fund
Including but not limited to investment, payment of redemption amount, payment of fund income, collection of subscription amount,
All shall be conducted through the fund account of the Fund.
3. The opening and use of the fund custody account is limited to the fund business
Needs. The Fund Custodian and the Fund Manager shall not open any fund in the name of the Fund
Other bank accounts; And may not use any account of the Fund for activities other than the business of the Fund
Move.
4. The opening and management of the fund custody account shall comply with relevant laws and regulations
regulations.
5. Under the conditions of compliance with laws and regulations, the Fund Custodian may
The custodian's special account handles the payment of fund assets.
（4） Opening and management of fund securities accounts
1. The Fund Custodian is located in the Shanghai Branch of China Securities Depository and Clearing Co., Ltd
Shenzhen Branch shall open a securities account jointly named by the Fund Custodian and the Fund for the Fund.
2. The opening and use of the Fund's securities account shall be limited to meet the needs of conducting the Fund's business
Yes. The Fund Custodian and the Fund Manager shall not lend or transfer the Fund without the consent of the other party
And shall not use any account of the Fund for any securities account other than the business of the Fund
Activities.
3. The fund custodian, in the name of its own legal person, is registered with the China Securities Depository and Clearing Corporation Limited
The company opens a settlement reserve account and completes the registration and settlement with China Securities on behalf of the funds under its custody
The fund manager shall actively assist in the liquidation of the first level legal person of the limited liability company.
The collection of settlement provisions shall be subject to the provisions of China Securities Depository and Clearing Corporation Limited.
4. The Fund Custodian shall be responsible for the opening of the Fund's securities account and the custody of the receipt of account opening,
The fund manager shall be responsible for the management and application of account assets.
5. After the effective date of this Custodian Agreement, the Fund is allowed to engage in other investment varieties
Investment business involving the opening and use of relevant accounts shall be opened and used in accordance with relevant regulations
And management; If there is no relevant provision, the Fund Custodian shall refer to and comply with the above account
Provisions on opening and use.
（5） Opening and management of special bond custody account
After the Fund Contract comes into effect, the Fund Custodian shall register in accordance with the People's Bank of China and the Central Government Bonds
The relevant provisions of the Clearing Company Limited and the Inter bank Market Clearing House Co., Ltd
The name of the fund is in the shares of the Central Government Securities Depository and Clearing Co., Ltd. and the inter-bank market clearing house
Limited companies open bond custody and settlement accounts, and conduct inter-bank market bonds on behalf of the Fund
Settlement of securities. The Fund Manager, on behalf of the Fund, signs the national inter-bank bond market bond repurchase agreement
agreement.
（6） Opening and management of other accounts
1. Other accounts opened for business development may be opened in accordance with laws, regulations and
The provisions of the gold contract shall be opened after the Fund Manager and the Fund Custodian discuss. New account is available
Use and manage relevant rules.
2. Where laws, regulations and other relevant provisions provide otherwise for the opening and management of relevant accounts,
Follow the regulations.
（7） Custody of relevant valuable certificates of fund property investment
Valuable certificates such as physical securities and certificates of deposit of fixed bank deposits related to the investment of fund assets shall be issued by
The Fund Custodian shall be responsible for proper custody, and the custody certificate shall be held by the Fund Custodian. Physical security
The purchase and transfer shall be handled by the Fund Custodian according to the instructions of the Fund Manager. Belongs to Gikinto
Damage and destruction of physical securities under the effective control of the custodian during the custody of the Fund Custodian
The Fund Custodian shall be liable for the loss. Fund Custodian to Fund Custodian
The securities actually and effectively controlled by other institutions shall not bear the custody responsibility.
（8） Custody of major contracts related to fund assets
Original copies of major contracts related to the Fund signed by the Fund Manager on behalf of the Fund
It shall not be kept by the Fund Manager or the Fund Custodian. Unless otherwise specified in the Agreement, the Fund Manager
When signing major contracts related to the Fund on behalf of the Fund, it shall be ensured that one party of the Fund holds two copies
The original of the above, so that the Fund Manager and the Fund Custodian each hold at least one original
Pieces. The Fund Custodian's custody period for major contracts shall be no less than that prescribed by law after the termination of the Fund contract
Minimum period required by regulations.
6、 Sending, confirmation and execution of instructions
The fund manager sends the fund transfer and
The Fund Custodian shall execute the instructions of the Fund Manager and handle the funds under the name of the Fund
And other related matters. The Fund Manager shall send instructions by electronic instruction or fax
Or confirmed by both parties.
（1） General agreement on electronic instruction mode
1. The Fund Manager sends it through the clearing management system client provided by the Fund Custodian
Electronic instructions, or the fund manager sends a telegram by calling the data interface provided by the fund custodian
Sub instruction.
2. The Fund Custodian shall provide the Fund Manager with a client certificate, and the Fund Manager shall approve the application of
Handle relevant business with customer certificate and corresponding password, and will not deny that it sends
The effect of the electronic instructions of. All electronic instructions that pass both customer certificate and password authentication
The Fund Manager shall be deemed to have acted, and all consequences arising therefrom shall be borne by the Fund Manager.
3. The Fund Manager shall exercise reasonable care and use clients in a safe environment
Take reasonable measures such as timely updating anti-virus software and installing system security patches; set up
Passwords with high security, avoid using simple passwords or passwords that are easy to be guessed by others;
Keep the customer certificate and corresponding password properly. In case of theft of customer certificate, password disclosure, etc
The Fund Custodian shall be notified in time to change the certificate and reset the password
The Fund Manager shall be responsible for all consequences caused before the password is reset.
When electronic instructions cannot be sent normally, both parties shall handle relevant business by fax.
（2） The Fund Manager's written authorization to the personnel who send instructions by fax
1. The Fund Manager shall designate a special person and a special fax number to send instructions to the Fund Custodian
Order.
2. The Fund Manager shall provide the Fund Custodian with a written authorization document, which shall
Including the reserved seal of the fund manager, which is used by the fund custodian to determine the fund manager
The only basis for the consistency of the sent command surface. The Fund Manager sends a grant to the Fund Custodian
After the right documents are issued, they shall be confirmed by telephone in a timely manner to ensure that the Fund Custodian receives them in a timely manner.
3. The Fund Custodian receives the fax of the authorization document and is confirmed by the Fund Manager by telephone
The authorization document will take effect. The Fund Manager shall, within three working days after sending the fax
The original of the authorization document shall be delivered to the Fund Custodian
In case of any discrepancy between the originals, the faxed copy shall prevail.
4. The Fund Manager and the Fund Custodian are obliged to keep confidential the authorization documents, and their contents
It shall not be disclosed to anyone other than the authorized person and relevant operators, but as required by laws and regulations
Or required by competent authorities.
（3） Content of instructions
1. Instructions include payment instructions (including redemption, dividend payment instructions, inter-bank business transfer
And other fund transfer instructions.
2. The instructions issued by the Fund Manager to the Fund Custodian shall specify the cause of payment and the time of payment
Room, arrival time, amount, account information, etc., with reserved seal affixed.
（4） Time and procedure for sending, confirming and executing instructions
1. Sending and confirmation of instructions
The Fund Manager shall, in accordance with the provisions of laws and regulations and the Fund Contract, conduct its legal operations
Send instructions within the authority and transaction authority.
After the fund manager sends the instruction through electronic instruction, the instruction status will become "trust"
The custodian bank has received "or" the custodian bank is in process ". The above command status change time is regarded as a command
Time of arrival at the Fund Custodian. The fund manager shall timely inquire the instruction form after sending the instruction
Status. If it is found that the order is not sent successfully or the status of the order is wrong, it should immediately contact the fund custodian
solve. The Fund Custodian provides the Fund Manager with inter-bank transaction sheet information through the client
Fund redemption information and payable management fees, custody fees, sales fees, trading unit commissions, etc
Section information. The Fund Manager shall check or confirm the electronic instructions generated according to the above information
It is recognized that the Fund Custodian shall not be liable for the error in the amount of instructions generated due to the provision of the above information
Ren.
After the fund manager sends the order with the reserved seal by fax, it shall promptly
Confirm with the Fund Custodian by telephone. The Fund Manager shall, after the completion of the transaction
After affixing the reserved seal on the inter transaction transaction form, it shall be faxed to the fund custodian in a timely manner and confirmed by telephone.
The Fund Custodian designates a special person to receive the instructions of the Fund Manager and the inter-bank transaction transaction form
Confirmation telephone number of the Fund Manager. After the order or transaction order reaches the fund custodian
The administrator shall designate a special person to conduct a superficial consistency review according to the authorization documents provided by the fund manager
Check, timely and prudently verify relevant contents and seals, and the Fund Custodian does not accept the authenticity of the order
Take responsibility. In case of any doubt, the Fund Manager must be notified in a timely manner.
When sending instructions, the Fund Manager shall set aside the execution instructions for the Fund Custodian to
2 working hours less. The instruction transmission caused by the fund manager is not timely or fails
Leave enough time for transfer, and fail to prepare enough funds, resulting in the funds not arriving in the account in time
The fund manager shall bear the losses incurred.
2. Execution of instructions
The Fund Custodian shall implement the instructions in a timely manner after verifying them.
The Fund Manager shall ensure that when the Fund Custodian executes the instruction, the fund custody account
There is sufficient fund balance, otherwise the Fund Custodian may refuse to implement it, but it shall notify the Fund in a timely manner
The Fund Manager shall review and find out the reasons, and confirm that this trading instruction is invalid
The Custodian shall not be liable for any loss caused by failure to execute the instruction.
For orders with high timeliness requirements such as new share subscription, the fund manager must promptly
Order shall be sent to the Fund Custodian and confirmed by telephone to reserve sufficient instructions for the Fund Custodian
Processing time.
The Fund Custodian has the right to refuse to execute the instructions with insufficient funds when they are sent
If the manager confirms that the order will not be cancelled, the time when the fund custodian is notified and the fund is fully prepared shall be deemed as
As the time of receiving the order, the investment loss caused by insufficient fund balance in the account is not managed by the fund
People bear.
（5） The circumstances and handling procedures of the Fund Manager sending wrong instructions
If the Fund Custodian finds any error in the instruction, it shall prompt the Fund Manager to correct it before implementing it,
The Fund Manager shall be liable for the delay losses caused thereby.
（6） The circumstances and punishment of the Fund Custodian's postponement or refusal to execute the order in accordance with laws and regulations
Management procedure
If the Fund Custodian finds that the Fund Manager's instructions violate laws, administrative regulations and other provisions
In case of any violation of the relevant provisions or provisions of the fund contract, the execution shall be suspended or refused, and a timely notice shall be given
Know the fund manager.
If the Fund Custodian finds that the instructions of the Fund Manager that have become effective in accordance with the trading procedures violate
In case of anti laws, administrative regulations and other relevant provisions, or in violation of the fund contract
The Fund Manager shall be notified in a timely manner, and the losses caused thereby shall be borne by the Fund Manager.
（7） The handling method for the Fund Custodian's failure to follow the instructions of the Fund Manager
The Fund Custodian fails to execute or wrongly executes the Fund Manager due to its own reasons
If any damage is caused to the interests of the Fund, it shall take timely measures to make up for it,
If losses are caused to fund share holders, they shall be liable for the direct economic losses caused thereby
Ren.
（8） Change of authorization notice
1. If the fund manager modifies the content of the authorization notice, it shall at least three times in advance
The Fund Custodian shall be notified by telephone within five working days. The fund manager shall provide a written change authorization notice
The notice document shall be sent to the Fund Custodian by fax after being stamped with the official seal, and at the same time, it shall be sent by telephone
Confirm with the Fund Custodian. The notice of change of authorization is received by the Fund Custodian
The fax and the telephone confirmation of the fund manager will take effect. Fund manager will work in the next three jobs
The original of the notice of change of authorization shall be delivered to the Fund Custodian within days. If the original is different from the fax
To, the fax copy shall prevail.
2. The Fund Custodian shall change the personnel receiving the instructions of the Fund Manager and their contact information
Send it to the fund manager by fax at least one working day in advance. Change of Fund Custodian
The personnel and contact information of the fund manager's instructions shall take effect after the fund manager confirms by telephone.
（9） Other matters
1. When the fund custodian receives the order, whether the elements of the order are complete and sealed
Check whether it is consistent with the content of the reserved authorization document. If any problem is found,
The Fund Manager shall be notified in a timely manner.
2. In addition to being liable for damages to the interests of the Fund due to its own reasons,
Caused by the Fund Custodian's execution of the Fund Manager's instructions in accordance with laws, regulations and this Agreement
The Fund Manager shall be responsible for any possible losses of the Fund.
7、 Transaction, clearing and settlement arrangements
（1） Select securities and futures operating institutions that act as agents for securities and futures trading
The Fund Manager shall design the criteria for selecting securities operating institutions to act as agents for securities trading and
Procedure. The Fund Manager is responsible for selecting the securities operating institutions that act as agents for the purchase and sale of the Fund's securities
Use its trading unit as the fund's trading unit. Fund manager and selected securities operation
When an institution signs an entrustment agreement, the fund manager shall notify the fund custodian in advance. Fund manager
In accordance with the relevant regulations, the selected securities operating machine shall be listed in the interim report and annual report of the fund
Relevant information of the organization, the trading volume of the securities purchased and sold by the fund through the securities operating agency, and the repurchase price
The volume of transactions and commissions paid shall be disclosed, and the above information and fund specific trading units shall be disclosed
Timely notify the fund in writing of the basic information and changes of the fund such as No., commission rate, etc
Custodian. Changes brought about by the modification of relevant laws and regulations or transaction rules to be effective at that time
Laws, regulations and relevant transaction rules shall prevail.
The Fund Manager is responsible for selecting the futures brokerage institutions that act as agents for the futures trading of the Fund, and
They sign futures brokerage contracts, and other matters shall be in accordance with the relevant provisions of laws and regulations and fund contracts
Implementation. If there is no clear provision, the relevant securities trading and securities brokerage institutions can refer to the
Rule execution.
（2） Settlement arrangements after the fund invests in securities
1. Clearing and settlement
The Fund Custodian shall be responsible for the clearing and settlement of the securities traded by the Fund. Fund remittance and transfer are entrusted by the fund
The Fund Manager shall handle the transaction according to the transaction results of the Fund Manager.
If the loss of fund assets is caused in liquidation due to the Fund Custodian's own reasons
The Fund Custodian shall be responsible for compensating the losses of the Fund; If the fund manager has not notified in advance
The Fund Custodian added trading units, resulting in incomplete data received by the Fund Custodian, resulting in clearing
The fund manager shall be responsible for the accounting errors; If the fund manager has not notified in advance
For transactions to be settled separately, the fund manager shall bear the losses of fund assets; If by
Reasons for overbought and oversold of fund managers in violation of laws, regulations and trading rules
The Fund Custodian shall immediately notify the Fund Custodian of the difficulties and risks caused by the Fund investment liquidation
The fund manager shall be responsible for the settlement of the loss caused to the fund
Undertake.
At the end of the trading day (T day), the fund manager shall guarantee the funds of each managed asset
The account has enough funds to complete the capital settlement on T+1 day on time. If the fund account of the entrusted assets
When the account fails to meet the settlement requirements on T+1 day, the fund custodian shall adopt a fixed proportion
If the low reserve is calculated and collected, the fund manager shall make up the amount before 11:00 on T+1 day. yes
Where the Fund Custodian adopts the differentiated minimum reserve ratio, the Fund Manager shall
Make up the amount before 8:30 on T+1 at the latest to ensure that the Fund Custodian completes clearing and settlement in a timely manner.
The Fund Manager shall ensure that the Fund Custodian executes the transfer instructions sent by the Fund Manager
At the time of order, there is sufficient funds in the fund custody account or fund settlement account. Fund assets
When the gold position is insufficient, the Fund Custodian has the right to refuse the transfer instruction sent by the Fund Manager, but
The Fund Manager shall be notified in a timely manner. The fund manager shall give full consideration to the basic fund
The processing time of the fund custodian's transfer. Under the condition that the fund fund position is sufficient, the fund shall be placed in custody
We shall not delay or
Reject execution.
2. Time and method of reconciliation of transaction records, capital and securities accounts
(1) Reconciliation of transactions
The Fund Manager and the Fund Custodian shall check the transaction records on a daily basis. Net amount of external disclosure
Before setting the value, it is necessary to ensure that all the actual transaction records of the day and the transaction records on the fund accounting books
The records are completely consistent. If the actual transaction record is inconsistent with the accounting book record, the foundation
If the accounting is incomplete or untrue, the loss caused to the Fund shall be borne by the Fund Manager.
(2) Reconciliation of capital accounts
The capital accounts are verified on a daily basis, and the accounts are consistent with the facts.
(3) Reconciliation of securities accounts
The Fund Custodian shall check the types and quantities in the securities account on time to ensure daily trading
The type and quantity of securities in the securities account after closing shall be consistent with the records in the fund accounting books.
(4) Physical voucher account
The physical voucher account shall be checked by the relevant parties at the end of each month.
（3） Basic Provisions on Fund Purchase, Redemption and Conversion
1. Confirmation and liquidation of subscription, redemption and conversion of fund units designated by the fund manager
The registration authority is responsible.
2. The Fund Manager shall transfer the subscription, redemption and conversion of open-ended funds
The data is transmitted to the fund custodian. The Fund Manager shall open the subscription, redemption and conversion
Responsible for the data authenticity of mutual funds.
3. The Fund Manager shall ensure that the registration institution entrusted by it must be at 15:00 every working day
Send the above relevant data of the previous opening day to the Fund Custodian in advance, and ensure the accuracy of the relevant data
Accurate and complete.
4. The registration authority shall send relevant data through the system established with the fund custodian
For various reasons, the system cannot send normally, and both parties can solve the problem through negotiation. Fund management
The data sent by the Manager to the Fund Custodian shall be kept by both parties in accordance with relevant regulations.
5. If the Fund Manager entrusts other institutions to handle the registration business of the Fund
The Fund Manager shall be responsible for the matters.
6. Establishment and management of special clearing account
In order to meet the needs of subscription, redemption and dividend capital remittance, the fund manager shall issue the capital
The special account for cash clearing shall be managed by the registration agency.
（4） Capital clearing of subscription, redemption and fund conversion of open-ended funds
The fund settlement between the fund custody account and the "fund clearing account" follows the principle of "full settlement
The principle of "net settlement" is based on the receivable funds of the escrow account every day (the purchase application corresponds to the purchase application
The sum of the net amount and the net amount corresponding to the fund conversion transfer application) and the capital payable (corresponding to the redemption application
Redemption amount deducted from the expenses attributable to fund assets and the corresponding amount deducted from the fund conversion and transfer out application
To determine the net receivable amount or net payable amount of the custody account
To determine the amount of capital delivery. If there is a net receivable amount in the custody account, the fund manager
It shall be transferred from the fund clearing account to the fund custody account before 15:00 on the settlement date
The Fund Manager shall be notified immediately after the funds are received; If there is net payable amount of custody account
The Fund Manager shall send the transfer instruction to the Fund Custodian in advance, and the Fund Custodian shall
The fund manager's transfer instruction will transfer the net payable amount of the escrow account from
The fund custody account shall be transferred to the fund clearing account.
If the fund is a net receivable on that day, the fund custodian shall timely check whether the funds collected have arrived
For funds that are not received on time due to the fund manager, the fund manager shall be notified in a timely manner
The fund manager shall bear the responsibilities arising from the transfer by the manager. If the fund on that day is net
The Fund Custodian shall timely transfer the payables according to the instructions of the Fund Manager. For cause
The Fund Manager shall timely notify the Fund Custodian of the funds that are not transferred on time due to reasons of the Fund Custodian
The fund custodian shall bear the responsibilities arising from the transfer by the custodian.
（5） Fund financing If the fund is financed in accordance with the relevant national regulations, the fund is under custody
People shall provide necessary assistance for fund financing.
8、 Calculation and accounting of fund net asset value
（1） Calculation and review procedures of the net asset value of the Fund
1. Net Asset Value of the Fund
The net value of all types of fund units is based on the basis of
The net value of gold assets is calculated by dividing the balance of such fund units on the current day to 0.0001
Yuan, rounded to the fifth place after the decimal point. Under the circumstance that the fund manager can set up a large redemption
Net value accuracy emergency adjustment mechanism. If the state has other provisions, such provisions shall prevail.
The Fund Manager shall calculate the net asset value of the Fund and the net value of various fund units on each working day
Value, and publish as required.
2. Review procedure
After the fund manager evaluates the fund assets on each working day
The net value result shall be sent to the Fund Custodian, and after the Fund Custodian has checked and found no error, the Fund Manager shall
It shall be published in accordance with the fund contract and relevant laws and regulations.
（2） Fund asset valuation methods and treatment of special circumstances
1. Valuation object
Stocks, stock index futures contracts, treasury bond futures contracts, stock options contracts owned by the Fund
Credit derivatives, principal and interest of bonds and bank deposits, receivables, asset-backed securities
Other investment and other assets and liabilities.
2. Valuation method
(1) Marketable securities (including stocks and depositary receipts) listed on the exchange or transferred by listing
Etc.), based on the market price (closing price) listed on the stock exchange on the valuation date; Valuation date
If there is no transaction, the economic environment has not changed significantly since the latest trading day and the securities issuer has not
In case of major events affecting the price of securities, the market price (closing price) of the most recent trading day shall be used for evaluation
Value; If the economic environment has changed significantly after the recent trading day or the securities issuer has had an impact
For major events affecting the securities price, reference can be made to the current market price and major changes of similar investment varieties
Adjust the market price of the latest transaction and determine the fair price.
(2) For the non equity fixed income varieties that have been listed or listed for transfer, select
The valuation of the corresponding varieties provided by the third-party valuation benchmark service agency on the duty day is conducted at full price on that day
Valuation.
(3) For the fixed income varieties with rights that have been listed or listed for transfer, select the valuation
The only full valuation price of the corresponding variety provided by the third-party valuation benchmark service agency on the day or
Recommend full valuation price for valuation.
For the fixed income variety including the investor's right to sell back, if the right to sell back is exercised, it shall be registered on the sale back register
Select the corresponding products provided by the third-party valuation benchmark service agency between the recording date and the actual collection date
The unique or recommended full valuation price of the species. After the deadline (including the same day) of the resale registration period
If the right to sell back is not exercised, the valuation shall be conducted according to the price corresponding to the long outstanding period.
(4) For publicly issued convertible bonds listed on the exchange market
For bonds with equity conversion in the active market, the closing price on the valuation date shall be selected for bonds with full price trading
As the full valuation price; For bonds with net price transaction, the closing price on the valuation date shall be selected and added every 100 yuan
The pre tax accrued interest is taken as the full valuation price.
(5) Fixed income products that are not listed or transferred without listing and have no active market
It shall be applicable in the current situation and supported by sufficient available data and other information
The fair value is determined by the valuation technique of.
(6) The securities in the unlisted period shall be handled according to the following circumstances:
1) The new shares issued in the stock exchange on the valuation date, such as stock dividend, conversion into additional shares, allotment and public issuance
Valuation method of the same stock listed on the Exchange; If there is no transaction on that day, the latest
Market price (closing price) valuation;
2) For the initial public offering of unlisted shares, the fair value is determined using valuation techniques,
If it is difficult to reliably measure the fair value by the valuation technology, it shall be valued at cost;
3) Shares with a certain period of restricted sale period specified at the time of issuance, including but not limited to non-public shares
Public offering of shares by the company's shareholders during the issuance of shares and IPO
Easy to obtain stocks with limited sales period, excluding trading suspension, newly issued unlisted stocks and repurchase transactions
Pledged bonds and other tradable restricted stocks in China shall be determined according to the relevant regulations of the regulatory authority or industry association
Allowable value.
(7) Where the same security is traded in two or more markets at the same time, it shall be subject to the location of the securities
The market is valued separately.
(8) The Fund participates in the trading of stock index futures contracts and treasury bond futures contracts
If there is no settlement price on the valuation day, and the economy after the latest trading day
If the environment has not changed significantly, the settlement price on the latest trading day shall be used for valuation.
(9) The Fund invests in stock options in accordance with relevant laws and regulations and the
Specified valuation.
(10) The Fund invests in credit derivatives according to the valuation of the day provided by a third party institution
Price, but the valuation responsibility that the Fund Manager should bear according to law is not exempted by the entrustment
Division. If the selected third party institution fails to provide the valuation price, relevant laws and regulations and the enterprise
The accounting standards require that the fair value shall be determined using reasonable valuation techniques.
(11) The Fund participates in financing business in accordance with relevant laws and regulations and relevant regulations of the industry association
Relevant regulations.
(12) Exchange rate
In the calculation of the value of the Fund's foreign currency assets, if the exchange rate of major currencies against RMB is involved
In the middle of the RMB exchange rate published by the People's Bank of China or its authorized institution on the fund valuation date
Price shall prevail; For the exchange rate between other currencies and RMB, refer to the data service provider
The conversion rate of various currencies to US dollars on the current day is calculated by arbitrage method.
(13) In case of large amount subscription or redemption, the fund manager can adopt swing
Pricing mechanism to ensure the fairness of fund valuation. Specific handling principles and operation specifications
Relevant laws and regulations as well as provisions of regulatory authorities and self regulatory rules.
(14) The valuation of the Fund's investment depositary receipts shall be calculated according to the shares listed and traded in China
Ticket execution.
(15) If there is conclusive evidence that the above method of valuation can not objectively reflect its fair value
In case of allowable value, the Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances
Price valuation reflecting fair value.
(16) If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. as
If there are new items, the valuation shall be based on the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the provisions of the fund contract
Valuation methods, procedures and provisions of relevant laws and regulations or failure to fully maintain fund share holdings
When someone has interests, he/she shall immediately notify the other party, jointly identify the reasons, and both parties shall negotiate for settlement.
In accordance with relevant laws and regulations, the obligations for the calculation of the net asset value of the Fund and the accounting of the Fund shall be determined by
The Fund Manager shall undertake. The fund manager is the fund accounting responsible party of the Fund. Therefore,
For accounting issues related to the Fund, if fully discussed on an equal basis by relevant parties
After that, it is still unable to reach an agreement. According to the calculation result of the fund manager on the net value of the fund
Make public.
（3） Treatment method for net value error of fund units
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure that
Accuracy and timeliness of gold asset valuation. Four decimal places after the net value of any type of fund unit
In case of valuation error within (including the fourth), it shall be deemed as the net value error of such fund units.
The parties to the fund contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or Fund Custodian, or
The error in valuation caused by the fault of the institution, or the sales agency, or the investor itself, resulting in other mistakes
If a party suffers losses, the person responsible for the fault shall be responsible for the loss caused by the valuation error
The direct loss of the person ("the injured party") shall be compensated according to the following "principles of handling valuation errors",
Be liable for compensation.
The main types of the above valuation errors include but are not limited to: data reporting errors, data transmission
Input error, data calculation error, system failure error, order issuing error, etc.
2. Principles for handling valuation errors
(1) Valuation error occurs but has not caused losses to the parties
The responsible party shall coordinate all parties in a timely manner and make corrections in a timely manner
The party responsible for the valuation error shall bear the responsibility; The responsible party fails to correct the valuation errors in time
If the valuation error causes losses to the parties, the party responsible for the valuation error shall be liable for the direct losses
Liability for compensation; If the party responsible for the valuation error has actively coordinated and has the obligation to assist
If there is enough time for correction but no correction is made, it shall bear the corresponding liability for compensation. Valuation
The party responsible for the error shall confirm the correction to the relevant parties to ensure that the valuation error has been
Has been corrected.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the parties concerned, and shall not be liable
Be responsible for the losses, and only be responsible for the direct parties involved in the valuation error, not the third party
be responsible for.
(3) The party who obtains improper gains due to valuation error shall return the improper gains in a timely manner
The obligation of interest. However, the party responsible for the valuation error shall still be responsible for the valuation error. If due to obtaining no
When the benefited party does not return or does not return all of the unjust enrichment, the interests of other parties are caused
Loss of profits ("the aggrieved party"), the party responsible for the valuation error shall compensate the loss of the aggrieved party, and
Within the scope of the amount of compensation paid by the party, the party who has obtained the unjust enrichment has the right to demand delivery
The right of unjust enrichment; If the party who obtained the unjust enrichment has wrongly benefited this part
If it is returned to the injured party, the injured party shall add the amount of compensation it has received to the amount of compensation it has received
The difference between the total amount of unjust enrichment returns and its actual loss shall be paid to the valuation error liability
Party A.
(4) The adjustment of valuation error shall be restored to the correct one assuming no valuation error
The way of the situation.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner
The sequence is as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party of valuation error for the cause of value error;
(2) According to the principle of handling valuation errors or the method negotiated by the parties
Assess the losses caused;
(3) According to the principle of handling valuation errors or the method negotiated by the parties
The responsible party makes corrections and compensates for losses;
(4) According to the method of handling valuation errors, it is necessary to modify the number of transactions of the fund registration agency
According to, the fund registration authority shall make corrections and correct the valuation errors to the relevant parties
Confirm.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the Fund Manager shall immediately
Correct, notify the Fund Custodian, and take reasonable measures to prevent further expansion of losses.
(2) When the error deviation reaches 0.25% of the net value of such fund units, the fund manager
It shall notify the fund custodian and report to the CSRC for filing; Error deviation reaches such funds
When the net value is 0.5%, the fund manager shall make an announcement and report to the CSRC for filing.
(3) The fund manager and the fund custodian are generated due to their respective technical system settings
The tail difference of net value calculation shall be subject to the calculation result of the fund manager.
(4) If the above contents are otherwise stipulated by laws and regulations or regulatory authorities, their provisions shall prevail
Li. If there are other common practices in the industry, the fund manager and the fund custodian should follow the principle of equality and
Negotiate on the principle of protecting the interests of fund share holders.
（4） Suspension of valuation
1. The securities, futures trading market or foreign exchange market involved in the Fund's investment meets statutory requirements
When business is suspended on holidays or for other reasons;
2. The Fund Manager and the Fund Custodian are unable to accurately evaluate the Fund due to force majeure
The asset value;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After consultation and confirmation by the Fund Custodian, the Fund Manager shall suspend the valuation;
4. Other circumstances stipulated by laws and regulations, recognized by the CSRC and the fund contract.
（5） Fund accounting system
The accounting system stipulated by relevant national departments shall be followed.
（6） Establishment of fund account book
The Fund Manager shall conduct fund accounting and prepare fund financial accounting reports. Fund management
The Manager shall independently set up, record and keep a complete set of account books of the Fund. If the Fund Manager and the Fund Manager
If the fund custodian disagrees with the accounting treatment method, the fund manager's treatment method should be
Accurate. If the check on the current day is inconsistent, the reason for the wrong account cannot be found temporarily, which affects the net value of the fund
The account book of the fund manager shall prevail in case of calculation and announcement of.
（7） Preparation and review of fund financial statements and reports
1. Preparation of financial statements
The Fund Manager shall timely prepare and provide true and complete financial accounting of the Fund
presentation. The Fund Manager shall complete the preparation of monthly statements within 5 working days after the end of each month.
The quarterly report shall be prepared and published within 15 working days from the end of each quarter
Notice; The interim report shall be prepared and announced within 2 months from the end of the first half of the year; year
The report shall be prepared and announced within 3 months from the end of each year. Fund contract student
If the effectiveness is less than 2 months, the fund manager may not prepare the current quarterly report, interim report or
Annual report.
2. Statement review
The Fund Manager shall seal the monthly statement and provide it to the Fund Custodian on the day when the monthly statement is completed
Person review; The Fund Custodian shall, within 3 days after receipt, review and submit the review result
Inform the Fund Manager in person. The Fund Manager shall submit the relevant report on the day when the quarterly report is completed
Provide the Fund Custodian with a review, and the Fund Custodian shall complete the review within 7 working days after receipt
And notify the Fund Manager of the review results in writing. The Fund Manager completes the interim report
On the same day, the relevant report shall be submitted to the Fund Custodian for review, and the Fund Custodian shall
Complete the review within 30 days, and notify the fund manager of the review results in writing. Fund manager
On the day when the annual report is completed, the relevant report shall be submitted to the Fund Custodian for review
The Fund Manager shall complete the review within 45 days after receipt and notify the Fund Manager of the review results in writing.
The above-mentioned documents between the Fund Manager and the Fund Custodian shall be sent by fax or both
Other methods agreed by the two parties.
When the Fund Custodian finds that the statements of both parties are inconsistent in the review process, the Fund Custodian
The Manager and the Fund Custodian shall jointly find out the reasons, make adjustments and adjust the accounts recognized by both parties
The mode of transaction shall prevail; If both parties cannot reach an agreement, the fund manager's accounting treatment shall be
Accurate. After verification, the Fund Custodian shall cover the custodian industry on the report provided by the Fund Manager
Special seal for business or review opinion with special seal for custody business or electronic confirmation
Both parties shall keep one copy respectively. If the Fund Manager and the Fund Custodian are unable to issue
The Fund Manager has the right to reach an agreement on the relevant statements before the date of announcement
The statement shall be announced to the public, and the fund custodian shall have the right to report relevant information to the CSRC for filing.
（8） The Fund Manager shall provide the Fund Custodian with the benchmark of fund performance quarterly
Basic data and preparation results.
9、 Fund income distribution
The distribution of fund income refers to that the distributable profits of the fund are paid according to the fund shares
Line proportional allocation.
（1） Principle of fund income distribution
The distribution of fund income shall follow the following principles:
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment, investment
You can choose cash dividends or automatically convert cash dividends into corresponding types of fund shares
Reinvestment, and fund share holders can choose different types of fund shares
Dividend method; If the investor does not choose, the default income distribution method of the Fund is cash dividends;
2. After the distribution of fund income, the net value of various fund units cannot be lower than the par value, that is, the fund income
Net value of various fund units on the base date of profit distribution minus the profit points of each unit of such fund units
The allocated amount cannot be lower than the face value;
3. As Class A fund units of the Fund do not charge sales service fees, while Class C fund units
A sales service fee will be charged, and the distributable profits corresponding to each fund share category will be different
Similarly, each fund unit of the same category of the Fund has the same right of distribution;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
In compliance with the laws and regulations and the fund contract, and the interests of fund share holders are unrealized
Under the premise of adverse quality impact, the Fund Manager and the Fund Custodian may, upon consensus
The principle of income distribution and the method of payment shall be adjusted without convening a general meeting of fund share holders.
（2） Determination, announcement and implementation of fund income distribution plan
1. The income distribution plan of the Fund shall be formulated by the Fund Manager and replied by the Fund Custodian
Check and publish on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
2. After the distribution plan is published (according to the provisions of the specific plan), the fund manager will pay
The fund custodian sends the transfer instruction to the fund custodian according to the fund manager
The dividend capital shall be transferred in a timely manner according to the instructions of.
3. If laws and regulations or regulatory authorities provide otherwise, their provisions shall prevail.
10、 Fund information disclosure
（1） Confidentiality obligations
The Fund Custodian and the Fund Manager shall comply with the relevant provisions of laws and regulations and the Fund Agreement
Information disclosure: the information to be publicly disclosed shall be kept confidential before public disclosure. Except according to the Basic
Information disclosure in accordance with the Golden Law, the Information Disclosure Measures, the Fund Contract and other relevant regulations
In addition, the Fund Manager and the Fund Custodian have received from each other information generated in the operation of the Fund
The obtained business information shall be kept confidential.
The Fund Manager and the Fund Custodian, in addition to legally performing laws and regulations, the Fund Agreement and
It shall not use or make use of its knowledge for other purposes except as necessary for its obligations under this Agreement
And shall limit the confidential information to those necessary for performing the above obligations
Within the scope of the staff who want to know the confidential information. However, the following situations should not be considered as fund management
The Manager or Fund Custodian violates the confidentiality obligation:
(1) The disclosure of confidential information is not caused by the Fund Manager or the Fund Custodian
Disclosure or disclosure;
(2) The Fund Manager and the Fund Custodian shall abide by and obey the judgment or ruling of the court
Information disclosure made by arbitration award or order or decision of CSRC and other regulatory agencies or
Publicity.
（2） Contents of information disclosure
The information disclosure of the fund mainly includes the fund prospectus, fund product information summary
Fund Contract, Custody Agreement, Fund Unit Offering Announcement, Fund Contract Effectiveness Announcement, Fund
Net value information, subscription and redemption price of fund units, and regular report of the fund (including the annual report of the fund
Reports, interim fund reports and quarterly fund reports (including quarterly asset portfolio reports), interim
Report, clarification announcement, resolution of the general meeting of fund share holders, liquidation report, investment stock index period
Information disclosure of goods, information disclosure of participating in stock index futures and treasury bond futures trading, investment assets
Support the information disclosure of securities, information disclosure of investment in Hong Kong stocks, and non-public investment
Information disclosure of stock issuance, participation in financing business, investment in credit derivatives
Information disclosure, information disclosure during the implementation of the side pocket mechanism and other letters specified by the CSRC
Interest. The financial accounting report in the annual report of the Fund shall be subject to
It can be disclosed only after being audited by an accounting firm as required by the Law of the People's Republic of China.
（3） Responsibilities and Information Disclosure of Fund Custodian and Fund Manager in Information Disclosure
program
1. Responsibilities
The Fund Custodian and the Fund Manager shall protect the Fund shares in the process of information disclosure
The interest of the holder is the purpose, honesty and credibility, and strict confidentiality. The fund manager is responsible for handling and
Information disclosure matters related to the fund shall be handled by the fund custodian
The matters reviewed shall be announced by the Fund Manager after being reviewed by the Fund Custodian and found to be correct.
The fund manager shall disclose the funds that should be disclosed within the time limit specified by the CSRC
The information is passed through the national newspapers and periodicals that meet the requirements of the CSRC and the Information Disclosure Measures
Internet website and other media disclosure as required. It shall be publicly disclosed by the Fund Custodian according to laws and regulations
The Fund Custodian will publicly disclose the disclosed information through the specified media.
The Fund Manager and the Fund Custodian may suspend or delay the disclosure under the following circumstances
Fund information:
(1) Force majeure;
(2) The valuation is suspended as agreed in the fund contract;
(3) Other circumstances stipulated by laws and regulations, recognized by the CSRC or the fund contract.
2. Procedure
Information disclosure documents subject to review by the Fund Custodian according to relevant regulations shall be submitted by the Fund Manager
It shall be drafted and reviewed by the Fund Custodian and announced by the Fund Manager. Provisions in fund contract
Matters that need to be disclosed shall be announced in accordance with the provisions of the fund contract.
3. Storage of information text
After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall
Relevant laws and regulations require that information be kept in their respective residences for public reference and reproduction.
Investors can consult the above documents for free. Can be obtained in a reasonable time after paying the cost of production
A copy or photocopy of the document. The Fund Manager and the Fund Custodian shall guarantee that
The content is completely consistent with the announced content.
11、 Fund expenses
（1） Accrual proportion and method of fund management fee
The fund management fee is accrued at an annual fee rate of 1.20% of the net asset value of the fund.
Under normal circumstances, the fund management fee is 1.20% of the net asset value of the fund on the previous day
Accrual. The calculation method is as follows:
H ＝ E × 1.20% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
（2） Accrual proportion and method of fund custody fee
The fund custody fee is accrued at an annual fee rate of 0.20% of the net asset value of the fund.
Under normal circumstances, the fund custody fee is 0.20% of the net asset value of the fund on the previous day
Rate accrual. The calculation method is as follows:
H ＝ E × 0.20% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
（3） Sales service fees for Class C fund units
There is no sales service fee for Class A fund units of the Fund, and sales service for Class C fund units
The annual service fee rate is 0.60%.
The fund sales service fee is 0.60% of the net asset value of Class C fund unit fund on the previous day
Accrual of annual fee rate. The calculation method is as follows:
H ＝ E × 0.60% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
（4） Bank transfer fees, fund securities, futures, stock options trading fees
Account opening fees and account maintenance fees, and information disclosure related to the fund after the fund contract takes effect
Fees (unless otherwise stipulated by laws and regulations and the CSRC), fund share holders
Membership fees, accounting fees, attorney fees, legal fees and
Arbitration fees and various reasonable fees arising from investment in Hong Kong stocks are subject to relevant laws
The provisions of laws and regulations, fund contracts and corresponding agreements may be included in the current fund fees.
（5） Items not included in fund expenses
Fees incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations
Expenses or losses of fund assets, and expenses incurred in handling matters unrelated to fund operation
Expenditures are not included in fund expenses. Relevant expenses before the fund contract takes effect, including but not limited to inspection
Fees, accountants' and lawyers' fees, information disclosure fees and other fees are not included in the fund fees.
（6） The relevant expenses that can be paid by the fund property incurred before the operation of the fund shall be paid by the fund
The Manager shall make advance payment, and after operation, the Fund Manager shall send the transfer instruction to the Fund Custodian
The fund custodian shall make a one-time payment from the fund assets to
Fund Manager.
（7） Review procedures and payment of fund management fee, fund custody fee and sales service fee
How and when
1. Review procedure
Fund management fee, fund custody fee and sales accrued by the fund custodian to the fund manager
The service fees shall be reviewed in accordance with the relevant provisions of this Custodian Agreement and the Fund Agreement.
2. Payment method and time
Fund management fee, fund custody fee and sales service fee are accrued daily and accumulated to
At the end of each month, the fund shall be paid monthly. After the fund manager and the fund custodian check the consistency
The custodian shall, in accordance with the way agreed with the fund manager, withdraw from the fund management within the first three working days of the next month
The gold property shall be paid or withdrawn to the fund manager in a lump sum. Of which, sales of Class C fund shares
The selling service fee shall be paid by the fund manager to the fund sales agency in accordance with the relevant contract after receipt.
In case of legal holidays, public holidays or force majeure, the payment date shall be postponed.
（8） Violation handling method
The Fund Custodian finds that the Fund Manager violates the Fund Law, the Fund Contract and the Operation Office
When expenses are disbursed from the fund assets in accordance with the Law of the People's Republic of China and other relevant provisions, the fund custodian may request
The Fund Manager shall give an explanation, and the Fund Custodian may refuse if the Fund Manager has no justified reason
No payment.
12、 Registration and Custody of the Register of Fund Unitholders
Fund shares that the Fund Manager and the Fund Custodian of the Fund must keep properly respectively
Register of holders, including the effective date of the fund contract, the termination date of the fund contract, and the registration of fund equity
June 30 and December 31 of each year
Register of fund unit holders. The contents of the register of fund share holders shall at least include
The name of the person and the fund units held by the person.
The register of fund unit holders shall be prepared by the registration authority, reviewed and submitted by the fund manager
Custody of the Fund Custodian. The Fund Custodian has the right to require the Fund Manager to provide any transaction
The Fund Manager shall provide the list of Fund Unitholders on the day or all trading days in a timely manner
You may delay or refuse to provide.
The Fund Manager shall submit the register of Fund Unitholders to the Fund Custodian in a timely manner. annually
The register of fund unit holders on June 30 and December 31 shall be in the first ten days of the next month
Submit within days; The effective date of the fund contract, the termination date of the fund contract and other important matters involving the fund
The register of fund unit holders on the date of the transaction shall be submitted within ten working days after the date of the transaction.
The Fund Manager and the Fund Custodian shall properly keep the register of Fund Unitholders and keep it
The deadline shall not be less than the minimum deadline stipulated by laws and regulations. The Fund Custodian shall not transfer the funds
The register of gold share holders shall be used for purposes other than fund custody business and shall be kept confidential
Obligations. If the Fund Manager or Fund Custodian is unable to properly keep the Fund due to its own reasons
The register of amount holders shall bear their respective responsibilities in accordance with relevant laws and regulations.
13、 Preservation of Fund related documents and archives
（1） Archive keeping
The Fund Manager shall keep records, account books, statements and
Other relevant information. The Fund Custodian shall keep records, account books
Statements and other relevant information. Both the Fund Manager and the Fund Custodian shall comply with the prescribed time limit
safekeeping. The Fund Custodian's retention period shall not be less than the minimum period required by laws and regulations.
（2） Establishment of contract archives
The Fund Manager shall sign the major contract related to the Fund on behalf of the Fund in a timely manner
Fax the major contract to the Fund Custodian in encrypted form, and send the contract within ten working days
The original copy shall be delivered to the Fund Custodian.
（3） Change and assistance
If the Fund Manager/Fund Custodian changes, the party not changed is obliged to assist
The changed successor receives the corresponding documents.
（4） The Fund Manager and the Fund Custodian shall keep the original vouchers completely according to their respective responsibilities
Certificates, accounting vouchers, fund books, transaction records and important contracts, etc
Keep it for the specified period. The Fund Custodian shall keep it for no less than the minimum period required by laws and regulations.
14、 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) The fund manager is disqualified from fund management according to law;
(2) The Fund Manager is dissolved, revoked or declared bankrupt according to law;
(3) The Fund Manager is dismissed by the General Meeting of Fund Unitholders;
(4) Other circumstances stipulated by laws and regulations, the CSRC and the Fund Contract.
2. Replacement procedure of fund manager
The replacement of the Fund Manager must be carried out in accordance with the following procedures:
(1) Nomination: The new Fund Manager is held by the Fund Custodian or separately or jointly
Nomination of fund share holders with more than 10% (including 10%) of fund shares;
(2) Resolution: 6 fund share holders' meetings after the termination of the duties of the fund manager
Make a resolution on the nominated fund manager within a month, and the resolution shall be approved by the funds participating in the meeting
The resolution is passed by more than 2/3 (including 2/3) of the voting rights held by the holders of
Take effect after the date of expiration;
(3) Temporary fund manager: before the new fund manager is appointed, the CSRC
Will appoint a temporary fund manager;
(4) Filing: the resolution of the general meeting of fund share holders to change the fund manager must be reported
CSRC filing;
(5) Announcement: After the replacement of the Fund Manager, the Fund Custodian shall manage the replacement of the Fund
After the resolution of the general meeting of the Fund Unitholders takes effect, it shall be announced in the prescribed media as required;
(6) Handover: If the duties of the fund manager are terminated, the fund manager shall keep it properly
Fund management business information, and timely handle fund management with the temporary fund manager or the new fund manager
The temporary fund manager or the new fund manager shall timely handle the transfer procedures of the fund management business
receive. The temporary fund manager or the new fund manager shall check the fund assets with the fund custodian
GDP and net worth;
(7) Audit: If the duties of the fund manager are terminated, the fund manager shall be employed in accordance with laws and regulations
The accounting firm complying with the provisions of the Securities Law of the People's Republic of China is requested to make an investment in the fund property
Audit, announce the audit results, and report to the CSRC for record; Audit fees
Disbursed from the fund assets;
(8) Change of fund name: after the change of fund manager, if the original or new fund
At the request of the manager, the original fund manager shall be replaced or deleted from the fund name
The name of the switch.
（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 Custodian is deprived of its fund custody qualification according to law;
(2) The Fund Custodian is dissolved, revoked or declared bankrupt according to law;
(3) The Fund Custodian is dismissed by the General Meeting of Fund Unitholders;
(4) Others stipulated by laws and regulations, CSRC and the Fund Contract
situation.
2. Procedures for replacing the Fund Custodian
(1) Nomination: The new Fund Custodian shall be held by the Fund Manager or separately or jointly
Nomination of fund share holders with more than 10% (including 10%) of fund shares;
(2) Resolution: The general meeting of fund share holders shall be held six times after the termination of the duties of the fund custodian
Make a resolution on the nominated fund custodian within a month, and the resolution shall be approved by the funds participating in the general meeting
The resolution is passed by more than 2/3 (including 2/3) of the voting rights held by the holders of
Take effect after the date of expiration;
(3) Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC
Will 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 in the
CSRC filing;
(5) Announcement: After the replacement of the Fund Custodian, the Fund Manager shall replace the Fund Custodian
After the resolution of the general meeting of the Fund Unitholders takes effect, it shall be announced in the prescribed media as required;
(6) Handover: The Fund Custodian shall properly keep the Fund assets and
Information on fund custody business, timely handling the transfer procedures of fund assets and fund custody business,
The new Fund Custodian or the temporary Fund Custodian shall take over in a timely manner. New Fund Custodian
Or the temporary fund custodian shall check the total value and net value of the fund assets with the fund manager;
(7) Audit: If the duties of the Fund Custodian are terminated, the Fund Custodian shall be employed in accordance with laws and regulations
The accounting firm complying with the provisions of the Securities Law of the People's Republic of China is requested to make an investment in the fund property
Audit, announce the audit results, and report to the CSRC for record; Audit fees
It shall be disbursed from the fund assets.
3. The Fund Manager and the Fund Custodian are replaced at the same time
(1) Nomination: if the Fund Manager and the Fund Custodian are replaced at the same time
Fund share holders holding more than 10% (including 10%) of the total fund shares nominate new
The Fund Manager and the Fund Custodian;
(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 fund management
After the resolution of the general meeting of the Fund Unitholders of the Manager and the Fund Custodian takes effect
Joint announcement on the media.
（3） New fund manager or temporary fund manager receives fund management business, or new
Before the Fund Custodian or Temporary Fund Custodian receives the Fund property and the Fund custody business
The Fund Manager or the original Fund Custodian shall continue to perform relevant duties and guarantee not to make any contribution to the Fund
The act of harming the interests of unit holders. The original fund manager or the original fund custodian
During the period of continuing to perform relevant duties, he is still entitled to collect fund management fees in accordance with the provisions of the fund contract
Or fund custody fee.
（4） Conditions and Procedures for Replacement of Fund Manager and Fund Custodian in this Part
Yes, for those parts that directly refer to laws and regulations, such as those related to
In case of cancellation or change, the Fund Manager and the Fund Custodian shall
After reaching consensus and performing appropriate procedures, the corresponding contents can be directly modified and adjusted
A general meeting of fund share holders shall be convened for deliberation.
15、 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 confuse their own property or the property of others
Engaging in securities investment in fund assets.
（2） The fund manager unfairly treats the different fund assets under its management. Gikinto
The custodian treats the different fund assets under its custody unfairly.
（3） The Fund Manager and the Fund Custodian make use of the Fund's property or position to serve as the Fund
A third person other than the unit holder seeks benefits.
（4） The Fund Manager and the Fund Custodian promise the Fund Unitholders the income in violation of regulations
Or bear the loss.
（5） The Fund Manager and the Fund Custodian misappropriate the Fund assets.
（6） The Fund Manager and the Fund Custodian have not disclosed the disclosure of information obtained for the convenience of their positions
Information, using the information to engage in or express or imply that others engage in relevant trading activities.
（7） The Fund Manager and the Fund Custodian neglect their duties and fail to perform their duties in accordance with regulations.
（8） The Fund Manager issues investment to the Fund Custodian without sufficient funds
Capital instructions and payment instructions, or issuing instructions to the Fund Custodian in violation of regulations.
（9） The Fund Manager and the Fund Custodian are not independent in administration and finance
Level management personnel and other employees hold part-time jobs with each other.
（10） The Fund Custodian privately uses or disposes of the Fund assets
Except for the disposal according to legal instructions, fund contracts or custody agreements.
（11） The fund assets shall be used for the following investments or activities:
1. Underwriting securities;
2. Lending or providing guarantee to others in violation of regulations;
3. Investment with unlimited liability;
4. Buying and selling other fund units, except as otherwise stipulated by the CSRC;
5. Make capital contributions to its fund manager and fund custodian;
6. Engaging in insider trading, manipulating securities trading prices and other improper securities trading
Activities;
7. Other activities prohibited by laws, administrative regulations and the CSRC.
Laws, administrative regulations or regulatory authorities cancel or change the above restrictions, if applicable
After the Fund and the Fund Manager have performed appropriate procedures, the investment of the Fund will no longer be subject to relevant restrictions
Or subject to the changed regulations.
（12） Other acts prohibited by laws and regulations and the Fund Agreement, and
The relevant provisions of administrative regulations shall be prohibited by the CSRC from fund managers and fund custodians
Other behaviors.
16、 Change and Termination of Custody Agreement and Liquidation of Fund Assets
（1） Change procedure of custody agreement
The parties to this agreement may amend the agreement upon consensus. Modified
The contents of the new agreement shall not conflict with the provisions of the fund contract. Of the Fund Custody Agreement
The change shall be reported to the CSRC for filing.
（2） Termination of Fund Custody Agreement
1. Termination of the Fund Contract;
2. The Fund Custodian is dissolved, legally revoked, bankrupt or accepted by other Fund Custodians
Manage fund assets;
3. The Fund Manager is dissolved, revoked, bankrupt or accepted by other Fund Managers
Fund management right;
4. The termination event specified by laws and regulations, the CSRC or the fund contract occurs.
（3） Liquidation of fund assets
1. Fund asset liquidation team
(1) The Fund Agreement shall be established within 30 working days from the date of termination
Fund asset liquidation group, the fund manager organizes the fund asset liquidation group and
Fund liquidation shall be carried out under the supervision of the Association.
(2) Before the fund assets liquidation team takes over the fund assets, the fund manager and the fund
The Custodian shall continue to protect the Fund assets in accordance with the provisions of the Fund Contract and the Custodian Agreement
Safety responsibilities.
(3) The members of the Fund assets liquidation team are composed of the Fund Manager, the Fund Custodian
Certified public accountants, lawyers with securities related business qualifications and personnel designated by the CSRC
form. The Fund assets liquidation team may employ necessary staff.
(4) During the liquidation of the Fund assets, the Fund Manager and the Fund Custodian shall respectively
Perform duties and continue to faithfully, diligently and responsibly perform
Obligations to safeguard the legitimate rights and interests of fund share holders.
(5) The Fund Assets Liquidation Team shall be 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.
2. Fund asset liquidation procedures
(1) In case of termination of the Fund Contract, the Fund Assets Liquidation Team shall take over the Fund
Gold property;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report and engage lawyers
Legal opinions on the liquidation report;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
3. The time limit for the liquidation of the Fund's assets is six months, but due to the flow of securities held by the Fund
If the property is restricted and cannot be realized in time, the liquidation period may be extended accordingly.
4. Liquidation expenses
Liquidation expenses refer to those incurred by the fund assets liquidation team in the process of fund liquidation
All reasonable expenses and liquidation expenses shall be preferentially withdrawn from the remaining assets of the Fund by the Fund Assets Liquidation Team
Payment.
5. The 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 according to the proportion of various fund units held by fund unit holders.
Fund assets shall not be distributed to fund units until they have been liquidated in accordance with the provisions of Items (1) - (3) of the preceding paragraph
Someone.
6. Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The fund assets liquidation report is approved
Audited by an accounting firm in accordance with the Securities Law of the People's Republic of China and handled by lawyers
The legal opinion issued shall be reported to the CSRC for filing and announcement. The fund assets liquidation is announced on
The fund assets shall be cleared within 5 working days after the liquidation report of the fund assets is submitted to the CSRC for filing
The accounting group shall make an announcement, and the fund assets liquidation group shall publish the liquidation report on the specified website
And publish the suggestive announcement of the liquidation report on the prescribed newspapers and periodicals.
7. Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for a long time
At the minimum period specified by laws and regulations.
17、 Liability for breach of contract
（1） The Fund Manager and the Fund Custodian fail to perform this Agreement or perform this Agreement inconsistently
If a contract is concluded, it shall be liable for breach of contract.
（2） The Fund Manager and the Fund Custodian violate
The Fund Law and other laws and regulations or the Fund Agreement and this Custodian Agreement provide the Fund with
If property or fund share holders cause damage, they shall be liable for their respective acts according to law
Be liable for compensation; Damage to fund assets or fund share holders due to joint actions
Shall bear joint and several liability for compensation. Compensation for losses shall be limited to direct losses.
（3） If a party breaches the contract and causes losses to the other party, it shall
Compensation; If losses are caused to fund assets, the other party shall compensate for the direct losses
The parties have the right and obligation to claim compensation from the defaulting party on behalf of the Fund. In case of the following circumstances
Person exemption:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall comply with the then effective laws and regulations or China
Caused by the act or omission of the CSRC, banking regulatory authority and other regulatory bodies
Losses, etc;
3. The Fund Manager exercises or fails to exercise in accordance with the investment principles specified in the Fund Agreement
Losses caused by its investment right, etc.
（4） If one party breaches the contract, the other party is obliged to timely
Take necessary measures to try to prevent the expansion of losses. Loss due to failure to take appropriate measures
In case of further expansion, no claim shall be made for compensation for the expanded losses. The non defaulting party prevents losses from expanding
Large and reasonable expenses shall be borne by the defaulting party.
（5） Although the breach of contract has occurred, this Custodian Agreement can continue to be performed
Under the premise of protecting the interests of fund share holders to a large extent, the fund manager and the fund custody
People shall continue to perform this Agreement. If the Fund Manager or Fund Custodian
In case of being sued, the other party shall provide reasonable and necessary support.
（6） Due to factors beyond the control of the Fund Manager and the Fund Custodian
The Fund Manager and the Fund Custodian have adopted necessary, appropriate and reasonable
Measures are taken to check, but no error is found, resulting in fund property or fund investment
The Fund Manager and the Fund Custodian shall be exempted from compensation liability for losses incurred by the Fund Manager and the Fund Custodian. But the fund manager and
The Fund Custodian shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
18、 Dispute resolution
In case of any dispute arising from or related to this Agreement, both parties shall negotiate and mediate
If the dispute cannot be settled through consultation or mediation, either party has the right to submit the dispute to China International
The Economic and Trade Arbitration Commission, in accordance with the then effective
Arbitration rules. The place of arbitration shall be Beijing. The arbitral award is final and binding upon both parties
All parties are binding. Unless otherwise specified in the arbitration award, the arbitration fee shall be borne by the losing party.
During the dispute settlement period, both parties shall strictly abide by the duties of the Fund Manager and the Fund Custodian
And continue to faithfully, diligently and dutifully perform the
Obligations to safeguard the legitimate rights and interests of fund share holders.
This agreement is governed by the laws of the People's Republic of China (for the purpose of this agreement, it does not include
Laws of Hong Kong, Macao Special Administrative Region and Taiwan).
19、 Effect of Custody Agreement
Both parties agree on the effectiveness of the custody agreement as follows:
（1） The trust submitted by the fund manager when applying to the CSRC for the sale of fund units
The draft management agreement shall be sealed by both parties to the custody agreement and the legal representatives of both parties
Or the authorized representative signs (or seals), and both parties to the agreement according to the opinions of the CSRC
Revise the draft custody agreement. The custody agreement shall take the text registered with the CSRC as the official text.
（2） The Custody Agreement shall be established as of the date of establishment of the Fund Agreement, and shall come into force as of the date of entry into force of the Fund Agreement
Effective from. The term of validity of the custody agreement is from the effective date to the liquidation report of the fund assets
It shall be submitted to the CSRC for record and announced.
（3） The custody agreement has the same legal agreement with the parties to the custody agreement since the effective date
Beam force.
（4） This agreement is in triplicate, with each party holding one copy and reporting to the relevant regulatory authorities
One copy with the same legal effect.
20、 Other matters
Unless explicitly defined in this Agreement, the definitions of terms in this Agreement shall apply to the provisions of the Fund Contract
Definitely. For matters not covered in this agreement, the parties shall cooperate in accordance with the fund contract, relevant laws and regulations, etc
It shall be handled by the commercial department.
21、 Signing of Escrow Agreement
Signature, seal, signing place and signing date of legal representatives or authorized representatives of both parties