Ping An Yuanli 90 day holding period bond securities investment
Fund contract
Fund Manager: Ping An Fund Management Co., Ltd
Fund Custodian: Ping An Bank Co., Ltd
May, 2014
Ping An Yuanli 90 day holding period bond securities investment fund fund contract
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catalog
Part I Foreword one
Part II Definitions three
Part III Basic Information of the Fund nine
Part IV Sale of Fund Units eleven
Part V Fund Filing thirteen
Part VI Subscription and Redemption of Fund Units fourteen
Part VII Parties to the Fund Contract and Their Rights and Obligations twenty-four
Part VIII General Meeting of Fund Unitholders thirty-two
Part IX Replacement Conditions and Procedures of Fund Manager and Fund Custodian forty-one
Part X Custody of the Fund forty-four
Part XI Registration of Fund Units forty-five
Part XII Investment of the Fund forty-seven
Part XIII Assets of the Fund fifty-five
Part XIV Valuation of Fund Assets fifty-six
Part XV Fund Fees and Taxes sixty-two
Part XVI Income and Distribution of the Fund sixty-five
Part XVII Accounting and Audit of the Fund sixty-seven
Part XVIII Information Disclosure of the Fund sixty-eight
Part XIX Change and Termination of the Fund Contract and Liquidation of the Fund Assets seventy-six
Part XX Liability for Breach of Contract seventy-eight
Part XXI Dispute Settlement and Applicable Law seventy-nine
Part XXII Effectiveness of Fund Contract eighty
Part XXIII Other Matters eighty-one
Part XXIV Summary of Fund Contract eighty-two
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Part I Preface
1、 Purpose, Basis and Principle of the Fund Contract
1. The purpose of entering into this Fund Contract is to protect the legitimate rights and interests of investors and clarify the
Rights and obligations, standardize fund operation.
2. The Fund Contract is concluded on the basis of the Civil Code of the People's Republic of China
Securities Investment Fund Law of the People's Republic of China (hereinafter referred to as "the Fund Law"), Management of Public Offering of Securities Investment Funds
Administrative Measures (hereinafter referred to as "Operation Measures"), Supervision and Administration of Publicly Offered Securities Investment Fund Sales Institutions
Administrative Measures for Public Offering of Securities Investment Funds (hereinafter referred to as "Sales Measures"), Information Disclosure Management Office for Public Offering of Securities Investment Funds
Law of the People's Republic of China (hereinafter referred to as "the Information Disclosure Measures"), the Liquidity Risk of Publicly Offering Open ended Securities Investment Funds
Insurance Management Regulations (hereinafter referred to as "Liquidity Risk Management Regulations") and other relevant laws and regulations.
3. The principle of entering into this Fund Contract is equality, voluntariness, honesty and credibility, and full protection of the legal rights of investors
Benefits.
2、 The fund contract is the basic legal document that stipulates the rights and obligations between the parties to the fund contract,
Any other documents or statements related to the Fund involving the rights and obligations between the parties to the Fund Contract,
In case of any conflict with the fund contract, the fund contract shall prevail. The parties to the fund contract shall, in accordance with the Fund Law
The Fund Contract and other relevant provisions provide for rights and obligations.
The parties to a fund contract include the fund manager, the fund custodian and the fund unit holders. fund
The investor becomes the fund share holder and the fund contract when he obtains the fund shares in accordance with the fund contract
The behavior of the parties holding fund shares itself indicates their recognition and acceptance of the fund contract.
3、 Ping An Yuanli 90 day holding period bond securities investment fund is invested by the fund manager in accordance with
Law of the People's Republic of China, the Fund Agreement and other relevant regulations, and the China Securities Regulatory Commission (hereinafter referred to as the CSRC)
Referred to as "China Securities Regulatory Commission").
The registration of the Fund raised by the CSRC does not indicate the investment value and market of the Fund
Substantive judgment or assurance on the prospect does not mean that there is no risk in investing in the Fund.
The Fund Manager shall manage and use the Fund Assets in accordance with the principles of due diligence, honesty, prudence and diligence
However, it is not guaranteed that the investment in the Fund will be profitable, nor will it guarantee the minimum return.
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Investors should carefully read the fund prospectus, fund contract, fund product information summary and other letters
Information disclosure documents, independently judge the investment value of the fund, independently make investment decisions, and independently bear the investment risk
Insurance.
4、 The Fund Manager and the Fund Custodian disclose information related to the Fund outside the Fund Contract,
Its content involves defining the rights and obligations between the parties to the fund contract. If there is a conflict with the fund contract,
The fund contract shall prevail.
5、 The Fund is established and operated in accordance with Chinese laws and regulations
If the mandatory provisions of the laws and regulations are inconsistent, the provisions of the then effective laws and regulations shall prevail.
6、 The minimum holding period is set for all types of fund units of the Fund. In principle, the minimum holding period for each fund unit is
The short holding period is 90 days. Fund units will not be redeemed or transferred out during the shortest holding period. minimum
After the holding period expires, it will enter the open holding period, and each fund unit can be handled from the first day of its open holding period
Redemption and transfer out business. Therefore, fund share holders are faced with the possibility of not redeeming the fund within the shortest holding period
Share risk.
7、 To hedge credit risk, the Fund may invest in credit derivatives. Investment in credit derivatives
It may face liquidity risk, repayment risk and price fluctuation risk. For details, please refer to the Fund's recruitment
Relevant contents of the instruction on "risk disclosure".
8、 The investor's confirmation of knowing and agreeing to subscribe/subscribe for the Fund units shall be deemed as agreement to perform
Fully cooperate with the fund manager to penetrate and identify the final investors (penetrate and identify the standards in accordance with laws, regulations and self-discipline regulations
And the requirements of the relevant account opening institution, the same below), if the investor refuses to cooperate with the fund manager
If the final investor is identified through penetration, the fund manager has the right to reject the investor's application for subscription/purchase
If the purchase application has been confirmed, the fund manager has the right to compulsorily redeem the corresponding fund units
The corresponding fund units of the system redemption investors are not subject to the minimum holding period.
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Part II Interpretation
In this Fund Contract, unless the context otherwise requires, the following words or abbreviations have the following meanings:
1. Fund or the Fund: refers to Ping An Yuanli 90 day holding period bond securities investment fund
2. Fund Manager: refers to Ping An Fund Management Co., Ltd
3. Fund Custodian: Ping An Bank Co., Ltd
4. Fund contract or the Fund contract: refers to Ping An Yuanli 90 day holding period bond securities investment base
Golden Fund Contract and any effective amendments and supplements to this Fund Contract
5. Custody Agreement: refers to the "Ping An Yuan Li 90" signed between the Fund Manager and the Fund Custodian for the Fund
Custody Agreement for Bond Securities Investment Fund with a holding period of days and any effective amendments and supplements to the custody agreement
charge
6. Prospectus: refers to the Prospectus of Ping An Yuanli 90 day Holding Period Bond Securities Investment Fund
Book and its update
7. Summary of fund product information: refers to Ping An Yuanli 90 day holding period bond securities investment fund base
Gold Product Data Summary and its updates
8. Announcement on the sale of fund units: refers to Ping An Yuanli 90 day holding period bond securities investment fund base
Announcement on Sale of Gold Units
9. Laws and regulations: refer to the laws, administrative regulations and normative documents currently in force and promulgated for implementation in China
Documents, judicial interpretations, administrative rules and other decisions, resolutions
Notice, etc
10. "Fund Law": refers to the report issued by the Standing Committee of the Tenth National People's Congress on October 28, 2003
Adopted at the fifth session of the National People's Congress and approved by the Standing Committee of the Eleventh National People's Congress on December 28, 2012
Revised at the 30th meeting of the membership committee, implemented since June 1, 2013, and approved by the
The Standing Committee of the National People's Congress
Decision of the Commission on Amending Seven Laws Including the Port Law of the People's Republic of China
Securities Investment Fund Law of the Republic of China and amendments made by the promulgating authority from time to time
11. Sales Measures: promulgated by the China Securities Regulatory Commission on August 28, 2020 and October 1 of the same year
The Measures for the Supervision and Administration of Publicly Offered Securities Investment Fund Sales Agencies implemented and the promulgating authority issued to them from time to time
Amendments made
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12. Information Disclosure Measures: promulgated by the CSRC on July 26, 2019 and in September of the same year
Implemented on March 1, 2020, and approved by the CSRC on March 20, 2020
The Administrative Measures for Information Disclosure of Publicly Offered Securities Investment Funds as amended by the Decision of
Amendments from time to time
13. Operation Measures: promulgated by the CSRC on July 7, 2014 and implemented on August 8 of the same year
Administrative Measures for the Operation of Publicly Offered Securities Investment Funds and amendments made by the promulgating authority from time to time
14. Liquidity Risk Management Regulations: promulgated by the CSRC on August 31, 2017
Provisions on Liquidity Risk Management of Publicly Offered Open ended Securities Investment Funds implemented on October 1, 2006
As amended from time to time by the promulgating authority
15. China Securities Regulatory Commission: China Securities Regulatory Commission
16. Banking regulatory authority: refers to the People's Bank of China and/or the State Administration of Financial Supervision and Administration
17. Parties to the Fund Contract: refer to those who are bound by the Fund Contract and enjoy rights and assume responsibilities under the Fund Contract
Legal subjects of obligations, including fund managers, fund custodians and fund share holders
18. Individual investor: refers to the natural investors who can invest in securities investment funds according to relevant laws and regulations
people
19. Institutional investors: refer to those who can invest in securities investment funds according to law and are located in the People's Republic of China
Enterprise legal persons, public institutions legal persons
Social groups or other organizations
20. QFII: refers to qualified foreign institutional investors and RMB QFII
Administrative Measures for Domestic Securities and Futures Investment of Investors (and amendments made by the issuing authority from time to time) and
According to relevant laws and regulations, with the approval of the CSRC, funds from overseas are used for domestic securities period
Foreign institutional investors, including qualified foreign institutional investors and RMB qualified foreign institutional investors
Investor
21. Investors, investors: individual investors, institutional investors, qualified foreign investors and
Other investors allowed by laws and regulations or the CSRC to purchase securities investment funds
22. Fund share holder: refers to the investment that legally obtains fund shares in accordance with the fund contract and prospectus
Funders
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23. Fund sales business: it refers to opening fund trading accounts for investors, promoting funds, and handling
Sale, subscription, redemption, conversion, transfer to custody, regular and quota investment of fund units and provision of fund transaction account
Activities such as user information query
24. Sales agency: refers to Ping An Fund Management Co., Ltd. and conforms to the Sales Measures and the Chinese Securities
Other conditions stipulated by the CSRC, obtaining the qualification for fund sales business and signing a fund sales contract with the fund manager
Service agreement, the institution handling fund sales business
25. Registration business: refers to fund registration, depository, transfer, clearing and settlement business. The specific content includes
Including establishment and management of investor's fund account, registration of fund shares, confirmation and liquidation of fund sales business
And clearing, distributing dividends on behalf, establishing and keeping the register of fund share holders and handling non trading transfer, etc
26. Registration agency: refers to the agency that handles registration business. The registration authority of the fund is Ping An Fund Management
Limited company or institution entrusted by Ping An Fund Management Co., Ltd. to handle registration business
27. Fund account: refers to the fund manager opened by the registration institution for the investor, who records his/her holdings
Account for the balance and changes of fund units under management
28. Fund transaction account: refers to the account opened by the sales agency for the investor and recorded by the investor through the sale
Basis arising from the agency's handling of subscription, subscription, redemption, conversion, custody transfer, fixed investment and other businesses
Accounts for changes in gold shares and balances
29. The effective date of the fund contract: the fund raising meets the provisions of laws and regulations and the provisions of the fund contract
The fund manager has completed the fund filing procedures with the CSRC and obtained the written form from the CSRC
Confirmed date
30. The termination date of the fund contract: refers to the date when the fund contract terminates as specified in the fund contract
The date on which the liquidation results are reported to the CSRC for filing and announcement after the completion of property liquidation
31. Fund raising period: refers to the period from the date of offering of fund units to the date of closing the offering
No longer than 3 months
32. Duration: refers to the indefinite period between the effectiveness and termination of the fund contract
33. Working day: refers to the normal trading day of Shanghai Stock Exchange and Shenzhen Stock Exchange
34. T day: means that the sales agency accepts the investor's application for subscription, redemption or other business within the specified time
's Open Day
35. T+n day: refers to the nth working day from T day (excluding T day), and n is a natural number
36. Open day: refers to the working day for investors to handle the subscription, redemption or other business of fund units
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37. Opening Hours: refers to the time period during which the fund accepts subscription, redemption or other transactions on the open day
38. Business Rules: refers to the Open ended Fund Business Rules of Ping An Fund Management Co., Ltd,
It is a business rule regulating the registration of open-ended securities investment funds managed by the fund manager
The Manager and the Investor jointly comply with
39. Subscription: during the fund raising period, investors shall, in accordance with the provisions of the fund contract and prospectus
Application for purchase of fund units
40. Subscription: refers to that after the fund contract comes into effect, the investor shall, in accordance with the provisions of the fund contract and the prospectus
Application for purchase of fund units
41. Redemption: refers to that after the Fund Contract comes into effect, the Fund Unitholders shall, in accordance with the Fund Contract and the Prospectus
The act of converting fund units into cash as required by the specified conditions
42. Minimum holding period: For all types of fund units of the Fund, the minimum holding period of each fund unit
Term refers to the effective date of the fund contract (for subscription units, the same below), the confirmation date of subscription of fund units (for subscription units, the same below)
For units purchased, the same below) or the confirmation date of fund unit conversion transfer (for units transferred from conversion, the same below
Same as) from (i.e. the start date of the shortest holding period) to the day before the corresponding day 90 days after that date (i.e. the shortest holding period
The interval between maturity dates), if the corresponding day 90 days after the date is a non working day, it will be postponed to the next
One working day. Fund units shall not be redeemed or transferred out during the shortest holding period
43. Open holding period: for each fund unit, it will enter the open holding period after the end of the shortest holding period
The first day of the open holding period is the next working day after the expiration date of the shortest holding period. Each fund share is
Redemption and transfer out business can be handled on the open day during the open holding period
44. Fund conversion: means that the Fund Unitholders shall be valid at that time in accordance with the Fund Agreement and the Fund Manager
The conditions specified in the announcement apply for the conversion of the fund units of a fund managed by the fund manager
Behavior of other fund units managed for the fund manager
45. Transfer of custody: refers to the change implemented by the Fund Unitholders between different sales agencies of the Fund
Operation of fund unit sales agency
46. Regular and quota investment plan: refers to the application made by the investor through the relevant sales agency and the agreement on each period
On the subscription date, the amount of deduction and the method of deduction, the sales agency shall, on the agreed deduction date of each period, pay the amount of deduction at the bank designated by the investor
An investment method for automatically completing deduction and accepting fund purchase application in bank account
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47. Massive redemption: refers to the net redemption application of the Fund on a single open day (total redemption application units
After adding the total number of transferred out application units in fund conversion, deduct the total number of subscription application units and fund conversion transfer
The balance after entering the total number of applied shares) exceeds 10% of the total fund shares on the previous opening day
48. RMB: refers to RMB
49. Fund income: refers to the bond interest obtained from fund investment, the price difference between buying and selling securities, and bank deposit interest
Interest, other legal income realized and savings in costs and expenses arising from the use of fund assets
50. Total value of fund assets: refers to all kinds of securities owned by the fund, principal and interest of bank deposits
Total value of receivables and other assets
51. Net Asset Value of the Fund: the value of the total asset value of the Fund minus the liabilities of the Fund
52. Net value of fund units: refers to the net value of fund assets on the calculation date divided by the total number of fund units on the calculation date
53. Fund asset valuation: It refers to calculating and evaluating the value of fund assets and liabilities to determine fund assets
The process of net value and fund unit net value
54. Regulated media: It refers to the nationwide information disclosure that meets the conditions specified by the CSRC
Newspapers and periodicals and Internet websites specified in the Information Disclosure Measures (including fund manager websites and fund custody
People's website, CSRC fund electronic disclosure website) and other media
55. Sales service fee: It refers to the amount withdrawn from the fund property and used for the marketing, sales and
And service fees for fund share holders
56. Type of Fund Units: The Fund shall not be charged according to the subscription/purchase fees and sales service fees
Similarly, fund shares are divided into different categories. Among them, Class A fund units are subscribed/applied by investors
Funds that charge subscription/subscription fees at the time of purchase and do not withdraw sales service fees from the net asset value of the funds of this category
Share; Class C fund units are the sales service fees withdrawn from the net asset value of this type of fund, and no recognition is charged
Fund shares of purchase/subscription fees
57. Liquidity restricted assets: none due to laws and regulations, supervision, contracts or operational barriers
Assets that can be realized at a reasonable price, including but not limited to reversals with maturity of more than 10 trading days
Purchase of fixed deposits with banks (including bank deposits that are conditionally withdrawn in advance as agreed in the agreement), suspended shares
Restricted new shares, non-public issuance of shares, asset-backed securities, and failure to proceed due to the issuer's debt default
Transferred or traded bonds, etc
58. Swing pricing mechanism: when the Fund is subject to large purchase and redemption, it will adjust the fund shares
The net value method allocates the market shock cost of the fund's adjusted portfolio to the investment actually subscribed and redeemed
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Investors, so as to reduce the adverse impact on the interests of stock fund share holders and ensure the legal rights of investors
Benefits are not harmed and treated fairly
59. Credit derivatives: refer to those that comply with the relevant business rules of the stock exchange or the inter-bank market and are specifically used for
Credit derivatives for managing credit risk
60. Credit protection buyer: also called credit protection buyer, refers to the party receiving credit risk protection
61. Credit protection seller: also called credit protection provider, refers to the party providing credit risk protection
62. The nominal principal of credit derivatives: also called the nominal principal of transactions, which refers to the provision for credit derivatives transactions
Amount for credit risk protection, which is the basis for all payments and settlements
63. Force majeure: refers to the unforeseeable, unavoidable and insurmountable clients of the Fund contract
Observe events
64. Side pocket mechanism: refers to the separation of specific assets in the fund portfolio from the original account to a special
The purpose of settlement of accounts is to effectively isolate and defuse risks and ensure that investors receive fair treatment
It is a liquidity risk management tool. During the implementation of the side pocket mechanism, the original account is called the main pocket account,
Special account is called side pocket account
65. Specific assets: including: (I) There is no active market price for reference and the valuation technology is still adopted
Assets that cause significant uncertainty in fair value; （2） Assets measured at amortized cost and withdrawn less
Assets whose value reserves still lead to significant uncertainty of asset value; （3） The value of other assets is heavy
Assets with great uncertainty
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Part III Basic Information of the Fund
1、 Fund name
Ping An Yuanli 90 day holding period bond securities investment fund
2、 Category of fund
Bond securities investment fund
3、 Operation mode of the fund
Contractual and open
For all types of fund units of the Fund, each fund unit is set with the shortest holding period, namely the fund contract
Effective date (for subscription units, the same below), confirmation date of subscription of fund units (for subscription units,
The same below) or from the confirmation date of the transfer of fund units (for the transferred units, the same below) (i.e. the shortest
Start date of holding period) to the day before the corresponding day 90 days after that date (i.e. the expiration date of the shortest holding period)
If the corresponding day 90 days later is a non working day, it will be postponed to the next working day. base
The gold units shall not be redeemed or transferred out during the shortest holding period.
Each fund unit will enter the open holding period upon the end of the shortest holding period, during which it can be redeemed
And transfer out business, the first day of the open holding period of each fund unit is the next day of the expiration date of the shortest holding period
Working days.
4、 Investment objectives of the Fund
On the basis of strict risk control and high liquidity, through proactive investment management,
Strive to achieve long-term steady appreciation of fund assets.
5、 Total minimum raised shares of the Fund
The minimum total number of units raised by the Fund is 200 million.
6、 Selling face value and subscription fees of fund units
The selling face value of the Fund units is RMB 1.00.
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The subscription rate of Class A fund units of the Fund shall be subject to the provisions of the Prospectus and the summary of fund product information
Execution. There is no subscription fee for Class C fund units of the Fund.
7、 Duration of the Fund
Irregular
8、 Type of Fund Units
1. Fund share classification
The Fund divides the Fund units into
Different categories. The category of Class A fund units is to collect subscription/subscription fees when investors subscribe/subscribe
Fund shares that are used and do not accrue sales service fees from the net asset value of the fund of this category; Class C fund shares
Fund shares for which the sales service fee is withdrawn from the net asset value of the fund of this category and no subscription/subscription fee is charged
Eh.
Fund codes are set for Class A and Class C fund units of the Fund. Due to the charge of two types of fund shares
Different methods, the net value of each fund unit of the Fund will be calculated separately, and the calculation formula is the calculation date
The net asset value of each category of fund divided by the total number of fund units of that category on the calculation date. Relevant fund share categories
The fund manager shall determine the entity setting and rate level and list them in the prospectus.
Investors can choose the types of fund units to subscribe and subscribe for at their own discretion.
2. Without violating the laws and regulations, the provisions of the Fund Agreement and the interests of the Fund Unitholders
In case of adverse effects, the Fund Manager may increase, decrease or
Adjust the setting of fund unit categories, the classification methods and rules of fund units, and implement the adjustment
A few days ago, according to the relevant provisions of the Information Disclosure Measures, it was announced on the specified media, and there was no need to hold fund shares
General meeting of holders.
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Part IV Sale of Fund Units
1、 The time, method and target of offering fund units
1. Sale time
The maximum period of time from the date of sale of fund units shall not exceed 3 months. See the specific time of sale of fund units
Sales announcement.
2. Way of sale
Public offering through the fund sales outlets of each sales agency. See the fund for the specific list of each sales agency
Unit offering announcement and relevant announcement on adjustment of sales institutions or fund management issued by the fund manager at that time
Publicity information of people's websites.
3. Target
Individual investors, institutional investors
Qualified foreign investors and other investments permitted by laws and regulations or the CSRC to purchase securities investment funds
People.
The fund manager has the right to further limit the scope of the offering objects. See the recruitment for the specific offering objects
The prospectus, the fund unit offering announcement and the relevant announcement issued by the fund manager at that time.
2、 Subscription of Fund Units
1. Subscription fee
The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and
Listed in the gold product data summary. The fund subscription fee shall not be included in the fund property. Class C fund units are not charged
Subscription Fee.
2. Treatment of interest during the raising period
The interest generated from the effective subscription funds during the raising period will be converted into fund units and returned to the fund unit holders
All, of which the specific amount of interest transferred to shares shall be subject to the records of the registration authority.
3. Calculation of Fund Subscription Units
The specific calculation method of fund subscription units is listed in the prospectus.
4. Handling method of subscribed share balance
The handling method of the balance of subscription units is listed in the prospectus.
5. Confirmation of subscription application
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The acceptance of the subscription application by the fund sales agency does not necessarily mean that the application is successful, but only represents the sales
The institution did receive the subscription application. The confirmation of the subscription application shall be subject to the confirmation result of the registration authority. about
The investors shall timely inquire about the subscription application and the confirmation of the subscription shares and properly exercise their legal rights
Any losses arising therefrom shall be borne by the investors themselves.
3、 Limitation on the amount of fund share subscription
1. When subscribing, investors shall pay in full in the way specified by the sales agency.
2. The Fund Manager may limit the minimum single subscription amount of each fund transaction account
Please refer to the prospectus or relevant announcements for body restrictions.
3. The Fund Manager may limit the cumulative subscription amount of a single investor during the offering period
Please refer to the prospectus or relevant announcements for body restrictions and handling methods.
4. If the cumulative number of fund units subscribed by a single investor of the Fund reaches or exceeds the total number of fund units
50%, the fund manager may limit the subscription application of the investor by means of proportion confirmation.
The Fund Manager's acceptance of a certain subscription application or some subscription applications may lead investors to avoid the aforementioned 50% ratio in disguised form
The Fund Manager shall have the right to reject all or part of such subscription applications as required by the regulations. Basis subscribed by investors
The amount of funds shall be subject to the confirmation of the registration authority after the fund contract takes effect.
5. Investors can subscribe for fund units for many times during the raising period, and the subscription fee is separate for each subscription application
Calculated, the accepted subscription application cannot be revoked.
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Part V Fund Filing
1、 Conditions for Fund Filing
The total amount of units raised in the Fund shall not be less than 200 million within three months from the date of sale of the Fund units
The fund raised amount shall not be less than RMB 200 million and the number of fund subscribers shall not be less than 200
The fund raising period expires or the fund manager may decide to suspend the fund in accordance with laws, regulations and the prospectus
The fund will be sold, and a legal capital verification agency will be hired to verify the capital within 10 days, and 10 days from the date of receiving the capital verification report
And go through the fund filing procedures with the CSRC.
If the fund raising meets the conditions for fund filing, the fund manager shall take
The Fund Contract shall come into force from the date of written confirmation by the CSRC; Otherwise, the Fund Contract will not be born
Effectiveness. The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC
To be announced. The fund manager shall deposit the funds raised during the fund raising period into a special account and raise funds in the fund
No one can use it before the end of the act.
2、 Handling method of raised funds when the fund contract fails to take effect
If the raising period expires and the fund filing conditions are not met, the fund manager shall bear the following responsibilities
Ren:
1. Bear the debts and expenses arising from the raising with its inherent property;
2. Return the funds paid by investors within 30 days after the expiration of the fund raising period, plus the bank
Current deposit interest in the same period;
3. If the fund raising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration.
All fees paid by the Fund Manager, the Fund Custodian and the Sales Agency for the Fund raising shall be borne by each party
Undertake.
3、 Number of fund share holders and asset size within the duration of the fund
After the Fund Contract comes into force, the number of Fund Unitholders is less than 200 for 20 consecutive working days
Or where the net asset value of the fund is less than 50 million yuan, the fund manager shall disclose the information in the regular report
Dew; In case of any of the above circumstances for 60 consecutive working days, the Fund Manager shall, within 10 working days
China Securities Regulatory Commission reports and proposes solutions, such as continuous operation, transformation of operation mode, and merger with other funds
Or terminate the fund contract, and convene a general meeting of fund unit holders to vote within six months.
Where laws and regulations or the CSRC provide otherwise, such provisions shall prevail.
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Part VI Subscription and Redemption of Fund Units
1、 Place for subscription and redemption
The subscription and redemption of the Fund will be conducted through the sales agency. The specific sales agency will be managed by the fund
People are listed in the prospectus or other relevant announcements. The Fund Manager may change, increase or decrease as the case may be
The selling institution shall be publicized on the website of the fund manager. Fund investors shall handle fund sales at the sales institution
Purchase and redemption of fund units shall be handled at the business premises or in other ways provided by the sales agency.
2、 Opening day and time of subscription and redemption
1. Open Day and Opening Hours
The investor shall handle the subscription of fund units on the open day, but for each fund unit, it can only be opened
Redemption of fund units shall begin from the first day of the holding period. The specific handling time is Shanghai Stock Exchange, Shenzhen
The trading time on the normal trading day of Shenzhen Stock Exchange, but the Fund Manager shall, in accordance with laws and regulations
Except for the suspension of subscription and redemption as required by the Regulatory Commission or the provisions of this Fund Contract.
After the fund contract comes into effect, if there is a new securities/futures trading market
In case of occasional changes or other special circumstances, the Fund Manager will, as the case may be, compare the aforesaid opening days and opening hours
Should be adjusted, but should be carried out in the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the implementation date
Notice.
2. Start date of subscription and redemption and business handling time
The Fund Manager may, in accordance with the actual situation, determine the specific date on which the Fund will begin to apply for subscriptions
The time for handling sports business shall be specified in the announcement of the beginning of subscription.
The fund manager shall handle the redemption of each fund unit from the first day of the open holding period. Specific business
The processing time shall be specified in the announcement of the beginning of redemption (the maximum number of fund units generated by the reinvestment of the Fund's dividends
The short holding period shall be calculated separately according to the provisions in Part XVI of this Contract). For each fund share, only
From the first day of the open holding period, the holders of fund units may apply for redemption of such fund units. If you invest
If a person subscribes to the Fund for many times, the first day of the open holding period of each fund unit held by him may be different.
After determining the start time of subscription and redemption, the Fund Manager shall, in accordance with the Information Disclosure Measures
The start time of subscription and redemption shall be announced on the specified media in accordance with the relevant provisions of.
The Fund Manager may not apply for Fund units on a date or time other than that specified in the Fund Contract
Purchase, redemption or conversion. The investor puts forward the subscription and redemption on a date and time other than that specified in the fund contract
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Or if the application for conversion is confirmed and accepted by the registration authority, the subscription and redemption prices of the fund units shall be the next open day
The purchase and redemption price of such fund units.
3、 Principles of subscription and redemption
1. The principle of "unknown price", that is, the subscription and redemption prices of various funds calculated after the closing of the application day
Calculate on the basis of net amount;
2. The principle of "amount subscription and share redemption", that is, subscription is applied for by amount, and redemption is applied for by share;
3. The application for subscription and redemption on that day may be withdrawn within the time specified by the Fund Manager;
4. Redemption follows the principle of "first in, first out", that is, it is carried out in the order of investors' subscription and purchase
Ordinal redemption;
5. When handling subscription and redemption business, the principle of giving priority to the interests of fund unit holders shall be followed to ensure that
The legitimate rights and interests of investors shall not be damaged and shall be treated fairly.
The Fund Manager may adjust the above principles without violating the provisions of laws and regulations. base
The fund manager must make an announcement on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
4、 Procedures for subscription and redemption
1. Application method for subscription and redemption
The investor must, in accordance with the procedures stipulated by the sales agency, withdraw within the specific business handling time on the opening day
Apply for subscription or redemption.
2. Payment of subscription and redemption funds
When subscribing for fund units, the investor must pay the subscription amount in full before the specified time, otherwise
The subscription application submitted is invalid. The investor shall pay the subscription amount in full before the specified time, and the subscription application shall be
stand; The subscription takes effect when the registration authority confirms the fund units.
When submitting the redemption application, the fund unit holder must have sufficient fund unit balance, otherwise
The redemption application submitted is invalid. The redemption is established when the fund unit holder submits the redemption application; Registration Authority
The redemption takes effect when the redemption is confirmed. After the redemption application of the fund share holder takes effect, the fund manager will
+7 days (including that day). In case of major redemption or other matters agreed in the Fund contract
In case of suspension of redemption or postponement of payment of redemption money, the payment method shall refer to this Fund Contract
Clause handling.
In case of data transmission delay, communication system failure, number of banks in securities, futures exchanges or trading markets
Data exchange system failure or other factors beyond the control of the fund manager and fund custodian affect the business department
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The payment time of redemption funds shall be postponed accordingly until the latest work to eliminate this factor
Day.
3. Confirmation of application for subscription and redemption
The Fund Manager shall take the day when valid subscription and redemption applications are accepted before the end of trading hours as the day of subscription
Or the redemption application date (T day), under normal circumstances, the Fund's registration authority will
Validation. For the valid application submitted on T date, the investor can sell it after T+2 date (including that date)
The sales outlets shall inquire about the confirmation of the application over the counter or in other ways specified by the sales agency. If the subscription is unsuccessful
Or invalid, the principal of the subscription amount shall be returned to the investor.
The acceptance of the application for subscription and redemption by the fund sales agency does not mean that the application is necessarily successful, but only represents that
The sales organization did receive the application. The confirmation result of the application for subscription and redemption shall be
Accurate. For the confirmation of the application, the investor shall timely inquire and properly exercise its legal rights, otherwise
Any loss arising from this shall be borne by the investor.
The Fund Manager may, without violating the provisions of laws and regulations and the Fund Contract
The business handling rules shall be adjusted, and the fund manager shall, in accordance with the relevant provisions of the Information Disclosure Measures
Announcement on specified media.
5、 Quantity limit of subscription and redemption
1. The fund manager may specify the minimum amount of the initial subscription and each subscription of the investor and each redemption
The minimum share returned can also limit the total size of the fund. Please refer to the prospectus for specific provisions
Or relevant announcements.
2. The fund manager may specify the minimum fund unit balance of each fund transaction account of the investor, with
Please refer to the Prospectus or relevant announcements for specific regulations.
3. The fund manager may stipulate the upper limit of the fund units held by a single investor accumulatively, a single day or a single transaction
For the upper limit of subscription amount, please refer to the prospectus or relevant announcements for specific provisions.
4. When accepting the application for subscription has a potentially significant adverse impact on the interests of the holders of stock fund units,
The Fund Manager shall set the upper limit of the subscription amount of a single investor or the net subscription ratio of a single day of the Fund
Measures such as restricting or rejecting large amount subscription, suspending fund subscription, etc. to effectively protect the joint venture of stock fund unit holders
Legal interests. The fund manager can take the above measures for the fund based on the needs of investment operation and risk control
The scale shall be controlled. See the relevant announcement of the Fund Manager for details.
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5. The Fund Manager may adjust
Specify the limit on the amount of subscription and the number of units to be redeemed. The fund manager must comply with the Information Disclosure Office
The relevant provisions of the Law shall be announced on the specified media.
6、 Purchase and redemption prices, fees and their uses
1. The calculation of the net value of various fund units of the Fund shall be kept to 4 decimal places, and the first decimal place
The five digits shall be rounded off, and the resulting gains or losses shall be borne by the fund property. Various fund shares on T day
The net value shall be calculated after the close of the day and announced in accordance with the fund contract. In case of special circumstances
The calculation or disclosure may be appropriately delayed due to proper procedures.
2. The calculation of subscription units and the handling method of the balance: For the calculation of the subscription units of the Fund, see Recruitment
Instructions. The subscription rate of Class A fund units of the Fund shall be determined by the Fund Manager, and shall be listed in the prospectus
As listed in the prospectus and the summary of fund product information, there is no subscription fee for Class C fund units. Effective share of subscription
Is the net subscription amount divided by the net value of such fund units on the current day, and the effective unit is shares. The above calculation is concluded
The results shall be rounded to 2 decimal places, and the resulting gains or losses shall be accounted by the fund
Production commitment.
3. Calculation and handling method of redemption amount: For the calculation of redemption amount of the Fund, see the Prospectus
Books. The redemption rate of the Fund shall be determined by the Fund Manager, and shall be recorded in the Prospectus and the Fund product information
Listed in the summary. The redemption amount is the effective redemption unit actually confirmed multiplied by the net amount of such fund unit on the day
The unit of redemption amount is yuan. The above calculation results are all rounded,
It shall be retained to 2 decimal places, and the resulting gains or losses shall be borne by the fund property.
4. The subscription fees for Class A fund units of the Fund shall be borne by the investors of Class A fund units, not listed
Fund assets; There is no subscription fee for Class C fund units.
5. Redemption expenses shall be borne by the fund unit holders who redeem the fund units
It is collected when the fund units are returned. The proportion of redemption fees to fund assets shall be set in accordance with relevant laws and regulations
In accordance with the provisions of the prospectus, the part not included in the fund property is used to pay the registration fee and other necessary
Service Charge.
6. The specific calculation method, redemption rate and redemption amount of the Fund's subscription rate and subscription units are as follows:
The calculation method and charging method of the fund shall be determined by the fund manager in accordance with the provisions of the fund contract
Listed in the book. The fund manager may adjust the rate or charging method within the scope agreed in the fund contract,
It shall be announced on the specified media in accordance with the relevant provisions of the Information Disclosure Measures.
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7. In case of large amount purchase or redemption of the Fund, the Fund Manager may use the swing pricing machine
To ensure the fairness of fund valuation. Specific handling principles and operation specifications shall comply with relevant laws and regulations
And regulations of regulatory authorities and self regulatory rules.
8. The Fund Manager may, without violating the provisions of laws and regulations and the Fund Contract
Under the premise that the Fund Unitholders have no material adverse effects, they shall formulate the fund promotion plan according to the market conditions
Plan, regularly or irregularly carry out fund promotion activities. During the fund promotion activities, according to the relevant supervision department
The Fund Manager may appropriately reduce the fund subscription rate and fund redemption fee after the Fund Manager has required to perform the necessary procedures
Rate.
7、 Refusal or suspension of subscription
In case of the following circumstances, the Fund Manager may refuse or suspend accepting the subscription application of investors:
1. The fund cannot operate normally due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Investor's application for subscription.
3. The trading time of the securities and futures exchanges is abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
4. Accepting one or some subscription applications may affect or damage the interests of existing fund share holders
When.
5. The scale of fund assets is too large, which makes the fund manager unable to find suitable investment varieties, or other
It can have a negative impact on the performance of the fund, or other situations that damage the interests of existing fund share holders occur
Shape.
6. The abnormal conditions of the fund manager, fund custodian, fund sales agency or registration agency lead to
The gold sales system, fund registration system or fund accounting system cannot operate normally.
7. The Fund Manager's acceptance of certain or certain subscription applications may lead to a single investor holding the Fund
The proportion of shares reaches or exceeds 50%, or the situation of avoiding 50% concentration in disguised form.
8. One or some subscription applications exceed the total fund size and net subscription ratio per day set by the fund manager
For example, the upper limit of a single investor's daily or single subscription amount.
9. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the adoption of valuation techniques still leads to significant uncertainty in the fair value, after consultation with the Fund Custodian
After confirmation, the fund manager shall suspend accepting the application for fund subscription.
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10. Other circumstances specified by laws and regulations or recognized by the CSRC.
The Fund Manager decides to suspend the subscription in any of the above items 1, 2, 3, 5, 6, 9 and 10
When suspending the acceptance of an investor's application for subscription, the fund manager shall publish it on the prescribed media in accordance with the relevant provisions
Suspension of subscription announcement. In case of any of the situations mentioned in Items 7 and 8 above, the Fund Manager may adopt proportional confirmation, etc
The fund manager has the right to refuse all or part of the application for subscription of the investor
Sub subscription application. If the investor's application for subscription is rejected in whole or in part, the rejected subscription amount
The principal will be returned to the investor. When the suspension of subscription is eliminated, the Fund Manager shall resume the subscription in a timely manner
Business handling.
8、 Circumstances of suspending redemption or delaying payment of redemption money
Under the following circumstances, the Fund Manager may suspend accepting the redemption application of investors or postpone the payment of redemption
Repayment:
1. The Fund Manager is unable to pay the redemption amount due to force majeure.
2. The Fund Manager may suspend the acceptance of the suspension of fund asset valuation as stipulated in the Fund Contract
Redemption application of investors or deferred payment of redemption money.
3. The trading time of the securities and futures exchanges is abnormally closed, which causes the fund manager to be unable to calculate the current day
net value of the fund asset.
4. Huge redemption occurs for two or more consecutive open days.
5. In the event that continuing to accept the redemption application will damage the interests of existing fund unit holders
The manager may suspend accepting the redemption application of the fund unit holder.
6. There is no active market price for the assets with more than 50% of the net asset value of the fund on the current valuation date
If the adoption of valuation techniques still leads to significant uncertainty in the fair value, after consultation with the Fund Custodian
After confirmation, the Fund Manager shall suspend the payment of the redemption amount or the acceptance of the Fund redemption application.
7. Other circumstances specified by laws and regulations or recognized by the CSRC.
In case of any of the above circumstances and the Fund Manager decides to suspend the redemption or postpone the payment of redemption money
The fund manager shall report to the CSRC for filing as required, and the fund manager shall pay full amount for the confirmed redemption application
Payment; If the payment cannot be made in full for the time being, the payable part shall be calculated according to the proportion of the application amount of a single account in the total application amount
The proportion is allocated to the redemption applicant, and the unpaid part can be postponed. In case of the situation described in item 4 above
And shall be handled according to the relevant provisions of the fund contract. When applying for redemption, fund share holders may choose in advance to
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The part that may not be accepted on that day shall be withdrawn. When the suspension of redemption is eliminated, the Fund Manager shall
The redemption business shall be resumed and announced.
9、 Large amount redemption situation and handling method
1. Recognition of huge redemption
If the application for net redemption of fund units within a single open day of the Fund (the total number of redemption application units plus
After deducting the total number of subscription application units and transfer in application units in fund conversion from the total number of transfer out application units in fund conversion
The balance after the total amount) exceeds 10% of the total fund shares on the previous opening day, which means that a huge redemption has occurred
Back.
2. Treatment method of huge redemption
In case of a huge redemption of the Fund, the Fund Manager can make a decision based on the current asset portfolio of the Fund
Full redemption, partial deferred redemption or suspension of redemption.
(1) Full redemption: when the Fund Manager believes that it is able to pay all redemption applications of investors,
Follow normal redemption procedures.
(2) Partial deferred redemption: when the fund manager thinks that it is difficult to pay the investor's redemption application or
The realization of property for the purpose of paying the redemption application of investors may cause a large impact on the net asset value of the fund
In case of fluctuation, the redemption proportion accepted by the fund manager on the same day is not less than 10% of the total fund shares on the previous open day
Under the premise, other redemption applications can be postponed. For the redemption application on that day, it should be based on a single account
The proportion of redemption application amount in the total redemption application amount, and the redemption unit accepted on the current day shall be determined; For non redemption
Some investors can choose to postpone redemption or cancel redemption when submitting redemption application. Option to postpone redemption
Will automatically transfer to the next business day to continue redemption until all redemption; Select to cancel redemption
Some redemption applications that were not accepted on that day will be revoked. Deferred redemption application and redemption on the next open day
The redemption application shall be processed at the same time, and the redemption shall be calculated based on the net value of such fund units on the following opening day without priority
The amount to be refunded, and so on, until all redemption. If the investor fails to make clear when submitting the redemption application
If it is selected, the part that the investor fails to redeem will be automatically postponed. Partial deferred redemption is not subject to single redemption
Limitation on minimum shares.
(3) If the Fund is redeemed in a large amount and the redemption application of a single fund unit holder within a single open day
Please exceed 20% of the total fund shares on the previous open day, and the fund manager has the right to take the lead on this single fund share
The redemption application of the holder exceeding 20% will be postponed, and 20% of the single fund unit holder will be
For the redemption application within (including 20%), the fund manager shall redeem in full according to the preceding paragraph "(1)" or "(2)"
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The agreed method of "deferred redemption" shall be handled together with the redemption application of other fund unit holders. For failure to redeem
For the return part, the investor can choose to postpone or cancel the redemption when submitting the redemption application. Choose deferred redemption
If returned, the deferred redemption application will be automatically transferred to the next open day and other redemption applications on the next open day
The redemption amount shall be calculated based on the net value of such fund units on the following business day without priority
Such push, until full redemption; Partial redemption applications that have not been accepted on the current day and have chosen to cancel redemption
Will be revoked. If the investor fails to make a clear choice when submitting the redemption application
Automatic deferred redemption processing. Some deferred redemptions are not limited by the minimum amount of single redemption.
(4) Suspension of redemption: massive redemption occurs for more than two consecutive business days (including the number), such as fund management
People can suspend accepting the redemption application of the fund if they think it is necessary; The accepted redemption application can be postponed
The redemption money shall be paid within 20 working days, and shall be announced on the specified media.
3. Announcement of massive redemption
In the event of the above-mentioned huge redemption and the postponement of the transaction, the Fund Manager shall send the funds by mail, fax or
Other methods specified in the Prospectus (including but not limited to SMS, email or
Notice, etc.) notify the fund share holders within 3 trading days, explain the relevant handling methods, and
Announcement shall be made within two days according to relevant regulations.
10、 Announcement of suspension of subscription or redemption and announcement of reopening subscription or redemption
1. In case of the above suspension of subscription or redemption, the Fund Manager shall specify the media within the specified period
The suspension notice is published on the website.
2. When the suspension of subscription or redemption is over, or the fund is reopened for subscription or redemption, the fund manager shall
The relevant provisions of the Information Disclosure Measures shall be published on the specified media for the reopening of funds for subscription or redemption
Notice; The time for reopening subscription or redemption can also be specified in the suspension announcement according to the actual situation
No further announcement of re opening will be issued.
11、 Fund conversion
The Fund Manager may decide to open the Fund in accordance with relevant laws and regulations and the provisions of the Fund Agreement
For conversion business with other funds managed by the fund manager, a certain amount of conversion can be charged for fund conversion
The relevant rules shall be formulated by the Fund Manager in accordance with the relevant laws and regulations and the provisions of this Fund Agreement
And notify the fund custodian and relevant institutions in advance.
12、 Transfer of Fund Units
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Provided that laws and regulations permit and conditions are met, and there is no material adverse effect on fund share holders
Under the premise of influence, after performing relevant procedures, the Fund Manager can accept that the Fund Unitholders pass through China
The application for share transfer by the trading place or other means recognized by the CSRC shall be handled by the registration authority
Registration of transfer of gold shares.
13、 Non trading transfer of funds
Non transaction transfer of funds refers to the acceptance of inheritance, donation and judicial enforcement by the fund registration authority
Non transaction transfer and other non transaction transfer recognized by the registration authority and in compliance with laws and regulations or
It is the behavior of handling in accordance with the relevant laws and regulations or the way required by the competent authorities of the state. Whether in the above
Under what circumstances, the subject receiving the transfer must be an investor who can hold the fund shares of the Fund according to law.
Inheritance refers to the death of the fund unit holder, whose fund units shall be succeeded by his legal successor
Undertaking; Donation means that fund share holders donate their legally held fund shares to welfare foundations
Or social groups; Judicial enforcement means that the judicial authority will transfer the fund share holders
The fund units held are forcibly transferred to other natural persons, legal persons or other organizations. Necessary for non transaction transfer
Relevant materials required by the fund registration authority must be provided. For qualified non transaction transfer applications
It shall be handled in accordance with the provisions of the fund registration authority and charged in accordance with the standards prescribed by the fund registration authority.
14、 Custody transfer of funds
Fund share holders may handle the transfer of custody of their held fund shares between different sales institutions
A gold sales agency may collect the transfer custody fee according to the prescribed standards.
15、 Fixed investment plan
The Fund Manager may handle regular and quota investment plans for investors, and the specific rules shall be determined by the Fund Manager
As otherwise specified. When handling the regular and quota investment plan, the investor can agree on the amount of deduction for each period
The amount of deduction must not be less than the fixed amount specified by the fund manager in the relevant announcement or updated prospectus
Minimum subscription amount of periodic fixed investment plan.
16、 Freeze, unfreeze and pledge of fund shares
The fund registration authority only accepts the freezing and unfreezing of fund units required by the competent authorities of the state according to law
And freezing and unfreezing under other circumstances recognized by the registration authority and in compliance with laws and regulations. Fund shares are frozen
The rights and interests generated by the frozen part will be frozen at the same time, and the shares of the frozen part will still participate in income distribution. method
Unless otherwise specified in laws and regulations or the Fund Agreement.
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On the premise that there is no material adverse effect on fund share holders, after performing relevant procedures
Relevant laws and regulations allow the fund manager to handle the pledge business of fund units or other fund businesses
The manager will formulate and implement corresponding business rules.
17、 Subscription and redemption of the Fund during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the subscription and redemption arrangements of the Fund are detailed in the Prospectus or relevant
Notice.
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Part VII Parties to the Fund Contract and Their Rights and Obligations
1、 Fund manager
（1） Profile of the Fund Manager
Name: Ping An Fund Management Co., Ltd
Address: Floor 34, Ping An Financial Center, No. 5033, Yitian Road, Futian Street, Futian District, Shenzhen
Legal representative: Luo Chunfeng
Date of establishment: January 7, 2011
Approval authority and approval document number: CSRC ZJXK [2010] No. 1917
Organizational form: limited liability company (Sino foreign joint venture)
Registered capital: RMB1300 million
Duration: continuous operation
Tel: 0755-22623179
（2） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions
Including but not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If the person violates the Fund Contract and relevant national laws and regulations, it shall be reported to the CSRC and other regulatory departments
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
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(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Refuse or suspend acceptance of subscription, redemption and conversion within the scope agreed in the Fund Contract
apply;
(12) Exercise relevant rights against the invested company for the benefit of the Fund in accordance with laws and regulations
Interests Exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager or
To commit other legal acts;
(15) Select and replace law firms, accounting firms, securities/futures brokers or others
External institutions providing services by the Fund;
(16) Formulate and adjust relevant fund subscription and application on the premise of compliance with relevant laws and regulations
Business rules such as purchase, redemption, conversion, fixed investment, custody transfer and non transaction transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
Including but not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are mutually independent
Separate management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property shall seek benefits for itself and any third party, and shall not entrust any third party to operate the fund property;
(7) Accept the supervision of the Fund Custodian according to law;
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(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and disclosed in accordance with the relevant provisions
Interest, determining the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant regulations
Disclosure and reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. Except Fund
Unless otherwise specified in the Law, the Fund Contract and other relevant provisions, the fund information shall be
Confidentiality, not divulging to others, but at the request of regulatory authorities, judicial authorities and other competent authorities, or due to trial
Except for the circumstances that external professional consultants such as legal consultants need to provide services;
(13) Determine the fund income distribution plan as agreed in the Fund Contract, and timely hold
Someone distributes the fund income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the holding of fund units in accordance with the Fund Law, the Fund Contract and other relevant provisions
The National People's Congress or the Fund Custodian and the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Keep accounting books, statements, records and others of fund property management business activities as required
Relevant data shall be kept for no less than the statutory minimum period;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
And ensure that investors can check the information about the fund at any time according to the time and method specified in the Fund Contract
Relevant public materials, and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, clearing and evaluation of fund assets
Price, realization and distribution;
(19) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
In the case of legal rights and interests, it shall bear the liability for compensation, and its liability for compensation shall not be exempted by its retirement;
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(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract,
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall
The interests of the holders shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the third party
Responsibility for the conduct of fund affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise litigation rights or implement
Other legal acts;
(24) If the Fund Manager fails to meet the filing conditions of the Fund during the raising period, the Fund Contract shall not
It can take effect. The fund manager shall bear all the raising costs and add the raised funds to the current deposit of the bank for the same period
The interest shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Fund Custodian
（1） Profile of Fund Custodian
Name: Ping An Bank Co., Ltd
Address: 5047 Shennan East Road, Luohu District, Shenzhen, Guangdong Province
Office address: 5023 Yitian Road, Futian District, Shenzhen, Guangdong
Legal representative: Xie Yonglin
Date of establishment: December 22, 1987
Organizational form: limited liability company
Registered capital: RMB 19405918198
Duration: continuous operation
Approval document and document number of fund custody qualification: CSRC ZJXK [2008] No. 1037
（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Custodian include
Including but not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
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(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
And national laws and regulations, causing significant losses to the fund property and the interests of other parties
Shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) According to relevant market rules, open capital account, securities account and other investment accounts for the fund
Account, clearing securities and futures trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Custodian include
Including but not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
Ensure the safety of the fund property, and ensure that the fund property under its custody is different from the fund custodian's own property
The fund assets of are mutually independent; Set up separate accounts for different funds under custody, conduct independent accounting and separate accounts
Management to ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property seeks benefits for itself and any third party, and may not entrust a third party to trust the fund property;
(5) Custody of major contracts and certificates related to the Fund signed by the Fund Manager on behalf of the Fund
Syndrome;
(6) The fund account, securities account and other accounts required for investment of the fund property shall be opened in accordance with the provisions
As agreed in the Fund Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager
Should;
(7) In addition to the Fund Law, the Fund Contract and other relevant provisions
Unless otherwise specified, the fund information shall be kept confidential before public disclosure and shall not be disclosed to others
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As required by competent authorities such as the organization and the judiciary, or as required by services provided by external professional consultants such as audit and law consultants
Except in cases to be provided;
(8) Review and review the net asset value of the fund calculated by the fund manager and the fund shares of various fund units
Net amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To give opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund,
Explain whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract;
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state that the Fund Custodian is
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities
The deadline shall not be less than the statutory minimum deadline;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) Pay fund income to fund share holders in accordance with the instructions of the fund manager or relevant regulations
And redemption payments;
(15) In accordance with the Fund Law, the Fund Contract and other relevant provisions, call for the holding of fund units
The general meeting is held or the general meeting of fund unit holders is convened in accordance with the law in cooperation with the fund manager and fund unit holders;
(16) Supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and realization of fund assets
And distribution;
(18) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And the banking regulatory authority, and notify the fund manager;
(19) In case of any loss of fund property due to violation of the Fund Contract, it shall be liable for compensation
The liability for compensation shall not be exempted due to his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws and regulations and the Fund Contract,
If the Fund Manager causes losses to the Fund property due to violation of the Fund Contract, it shall be the interest of the Fund Unitholders
Claim compensation from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
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(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
3、 Fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract
Yes, the fund investor will become the holder of the fund unit when he/she obtains the fund unit in accordance with the Fund Contract
And the parties to the Fund Contract until they no longer hold the Fund units of the Fund. Fund share holding
As a party to the Fund Contract, it is not necessary to sign or seal the Fund Contract in writing
Pieces.
Unless otherwise stipulated in laws and regulations or in the fund contract, each fund unit of the same category has
They have equal legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Benefits include but are not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) Convene a general meeting of fund unit holders or a general meeting of fund unit holders as required
meeting;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. In accordance with the Fund Law, the Operation Measures and other relevant provisions
Services include but are not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus, Fund product information summary and other letters
Information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
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(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
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Part VIII General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized by the fund unit holders
Representatives have the right to attend and vote on behalf of fund share holders. Unless otherwise specified by laws and regulations or the Fund
Unless otherwise agreed, each fund unit held by the fund unit holder shall have equal voting rights. If the
If there are other provisions on the general meeting of fund share holders in the relevant laws and regulations, the then effective laws and regulations shall prevail.
The National People's Congress of the holders of Fund units does not have a daily institution. During the duration of the Fund
For operational needs, the general meeting of fund share holders can add daily institutions, and the establishment and operation of daily institutions should
It shall be conducted in accordance with relevant laws and regulations and the provisions of the CSRC.
1、 Reason for convening
1. Unless otherwise specified by laws and regulations and the CSRC, when one of the following events occurs or needs to be decided
A general meeting of fund share holders shall be held:
(1) Terminate the Fund Contract, unless otherwise agreed in the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian or raise the sales service rate;
(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated based on the fund units on the day when the Fund Manager receives the proposal, the same below) on the same matter
Request in writing to convene a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other funds shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters relating to the general meeting of holders.
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2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
Provided that there is no material adverse effect, the following circumstances may be amended after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate, lower the redemption rate, sales service rate or change the charging party of the Fund
Type or adjust the setting of fund share categories, and adjust the classification methods and rules of fund shares;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules for conversion, fund transaction, non transaction transfer, custody transfer, etc;
(6) After the Fund Manager performs the appropriate procedures, the Fund launches new businesses or services;
(7) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
2、 Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall write on the same matter
To request the convening of a general meeting of fund share holders, a written proposal shall be submitted to the fund manager. Fund manager
It shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the proposed fund in writing
Unit holders' representatives and fund custodians. If the fund manager decides to convene the meeting, it shall issue a written decision by itself
Held within 60 days from the date of; The Fund Manager decides not to convene, representing more than 10% of the Fund shares (including
10%) of the Fund Unitholders who still think it necessary to hold the meeting shall submit a written request to the Fund Custodian
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Discussion. The Fund Custodian shall decide whether to convene the meeting or not within 10 days from the date of receipt of the written proposal and notify it in writing
Representatives of the Fund Unitholders and the Fund Manager who put forward the proposal; If the Fund Custodian decides to convene the meeting, it shall
The Fund Manager shall, within 60 days from the date of issuing the written decision, convene and notify the Fund Manager, who shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of fund shares require the same matter
If a general meeting of fund unit holders is held but neither the fund manager nor the fund custodian convenes it, either alone or jointly
Fund share holders representing more than 10% (including 10%) of the Fund shares have the right to convene on their own, and at least
Report to the CSRC for filing 30 days in advance. Fund unit holders convene fund unit holders by themselves according to law
If yes, the Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
3、 Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and
Contact information and contact person, deadline for sending voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund management in writing separately
People go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall
The Fund Manager and the Fund Custodian shall be notified in writing to go to the designated place to supervise the counting of votes
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Du. If the Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes
The counting effect of the voice vote.
4、 Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations, supervision
The meeting shall be held in other ways permitted by the governing body, and the convening method shall be determined by the convener of the meeting.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
Representatives shall attend the on-site meeting. The authorized representatives of the Fund Manager and the Fund Custodian shall attend the fund units as nonvoting delegates
The voting effect shall not be affected if the Fund Manager or the Fund Custodian does not send representatives to attend the shareholders' meeting. present
The agenda of the general meeting of Fund Unitholders can be held when the following conditions are met at the same time:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
The provisions of the Contract and the notice of the meeting, and the vouchers for holding fund shares and the registration held by the fund manager
Data consistency;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than those of the Fund on the equity registration date
One half of the total fund units, the convener may hold the meeting of fund unit holders at the time originally announced
The general meeting of fund unit holders shall be reconvened three months later and six months later on the matters originally scheduled for consideration.
The valid fund units represented by the attendees of the reconvened fund unit holders' meeting on the equity registration date shall
Not less than one-third (including one-third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other means specified in the announcement of the meeting shall be delivered to the address designated by the convener before the deadline for voting.
The communication meeting shall vote in writing or in other ways specified in the announcement of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in the fund
Under the supervision of the custodian (or the fund manager if the fund custodian is the convener) and the notary office
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Collect the voting opinions of fund share holders in the manner specified in the notice of the meeting; Fund Custodian or Fund Custodian
If the manager fails to participate in the collection of voting opinions upon notification, the voting effect shall not be affected;
(3) Fund units that directly issue voting opinions or authorize others to issue voting opinions
The fund units held by the holder shall not be less than half (including half) of the total fund units on the equity registration date
One); If I directly give a vote or authorize others to give a vote on behalf of the fund unit holding
If the fund units held by the convener are less than half of the total fund units on the equity registration date, the convener may
The original decision shall be made within 3 months and 6 months after the time of the fund unit holders' meeting originally announced
The general meeting of fund unit holders shall be reconvened on the agenda. The reconvened general meeting of fund unit holders shall include
Directly issue voting opinions or authorization on behalf of the holders of more than one-third (including one-third) of the fund shares
Voting opinions issued by other representatives;
(4) Fund share holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinions, the certificate of holding the fund units submitted at the same time, and the resolution of the trustee to issue the statement
See the certificate of fund shares held by the principal and the proxy voting authorization certificate of the principal issued by the agent
It clearly complies with the provisions of laws and regulations, the Fund Contract and the notice of the meeting, and is consistent with the records of the fund registration authority
Symbol.
3. The Fund Unitholders of the Fund shall not violate the laws, regulations and provisions of the regulatory authority
The agent may also be authorized to attend the general meeting of fund share holders by other means
Written, network, telephone, SMS or other means, the specific way shall be determined by the convener of the meeting and communicated at the meeting
Listed in the knowledge; The Fund may also adopt other off-site methods or on-site parties
The general meeting of fund share holders shall be held in a combination of on-site and off-site methods, and the meeting procedures shall be compared with on-site meetings
The procedures of the meeting and communication are carried out. Fund share holders may use written, online, telephone
The specific method of voting by SMS or other means shall be determined by the convener of the meeting and listed in the meeting notice.
5、 Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings are major matters that affect the interests of fund share holders, such as the major issues of the Fund Contract
Modify, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and
Financial merger, other matters specified in laws and regulations and the Fund Contract, and matters deemed necessary by the convener of the meeting
Other matters discussed at the general meeting of fund share holders.
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Modification of the original proposal after the convener of the general meeting of fund unit holders sends the notice of convening the meeting
It shall be announced in time before the general meeting of fund unit holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine and
Announce the scrutineers, and then the presider of the conference will read out the proposal. After discussion, the proposal will be voted and the resolution of the conference will be formed
Discussion. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
If it is able to preside over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the fund management
If neither the authorized representative of the manager nor the authorized representative of the fund custodian can preside over the meeting
More than 50% (including 50%) of the voting rights held by the fund holders and agents shall be elected to one fund share holder
Someone is the chairperson of the general meeting of fund unit holders. The Fund Manager and the Fund Custodian refuse
Attending or presiding over the general meeting of fund unit holders shall not affect the effectiveness of the resolutions made at the general meeting of fund unit holders
power.
The convener of the meeting shall prepare the signature book of the attendees. The signature book indicates the surname of the participants
Name (or unit name), ID document number, fund shares held or represented with voting rights
Name (or unit name) and contact information of the trustor.
(2) Communication meeting
In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the certification authority.
6、 Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except for the requirements specified in item 2 below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Unless otherwise specified by laws and regulations or
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Unless otherwise agreed in the fund contract, change the operation mode of the fund, change the fund manager or fund custodian
The termination of the Fund Contract and the merger of the Fund with other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary in the counting of votes
Investors who submit the voting documents confirming the identity of investors as specified in the notice of the meeting shall be deemed to be effectively present,
The voting opinions that apparently meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions are ambiguous or conflicting
Dun shall be deemed as abstention from voting, but shall be included in the fund represented by the fund share holder who issues the voting opinion
Total number of shares.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
7、 Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the meeting is held by
Although the Fund Unitholders themselves or the general meeting is convened by the Fund Manager or the Fund Custodian
If the Fund Manager or Fund Custodian fails to attend the meeting, the chairperson of the Fund Unitholders' meeting shall be present
At the beginning of the meeting, it was announced that three representatives of fund share holders would be elected from among the fund share holders present at the meeting
Serve as scrutinizer. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has different opinions on the voting results submitted
The number of votes demanded may be counted again immediately after the announcement of the voting results. The scrutineer shall enter
The line shall be re counted only once. After the re counting, the presider of the conference shall announce the re counting on the spot
New counting results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
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In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the meeting are based
Supervision of the authorized representative of the Fund Custodian (or the authorized representative of the Fund Manager if convened by the Fund Custodian)
And the notary office shall notarize the counting process. Fund Manager or Fund Custodian
Refusal to send representatives to supervise the counting of votes shall not affect the counting and voting results.
8、 Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
It will be filed.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the specified media within 2 days from the effective date. If mining
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the notarial certificate must be completed
The text, the name of the notary office and the notary public will be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective holding of fund units
Resolution of the General Meeting of the People. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders and funds
The Manager and the Fund Custodian are both binding.
9、 Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund shares or voting rights refers to the holding of main pocket shares
The fund shares or voting rights held or represented by the person and the side pocket unit holder respectively meet these proportions, but if
If the matters to be convened and deliberated at the relevant fund unit holders' meeting do not involve the side pocket account, it only refers to the main pocket units
The fund shares or voting rights held or represented by the holder conform to such proportion:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund units held by the holder shall not be less than half (including two) of the relevant fund units on the equity registration date
1/1);
4. When the Fund Unitholders who participate in the voting of the General Meeting of Fund Unitholders hold small Fund Units
On the equity registration date, one-half of the relevant fund units, the fund unit holders originally announced by the convener
Fund units reconvened within 6 months and 3 months after the date of the meeting on the matters originally scheduled for consideration
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The general meeting of shareholders shall have participants representing more than one-third (including one-third) of the relevant fund units
And or authorize others to participate in the voting of the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to half of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
During the implementation of the side pocket mechanism, the matters considered by the general meeting of fund share holders involve the main pocket account and the side pocket account
The fund share holders of the main pocket account and side pocket account shall vote respectively
Each fund unit in the account has equal voting rights. If the voting matter does not involve the side pocket account, the side pocket
The account shares have no voting rights.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section
The content shall prevail, and the provisions not specified in this section shall apply to the relevant provisions above.
10、 This part deals with the causes, conditions, procedures and tables of the general meeting of fund unit holders
Preconditions and other provisions, which directly refer to laws and regulations or regulatory rules, such as future laws and regulations or
The modification of regulatory rules results in the cancellation or change of relevant contents or the addition of new laws and regulations or regulatory rules
If there is a conference mechanism, the fund manager can directly modify and adjust the content of this part after making an announcement in advance
It is not necessary to hold a general meeting of fund share holders for review.
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Part IX Conditions and Procedures for Replacement of Fund Manager and Fund Custodian
1、 Termination of duties of the Fund Manager and the Fund Custodian
（1） Circumstances of termination of the Fund Manager's duties
Under any of the following circumstances, the duties of the fund manager shall be terminated:
1. Having been disqualified from fund management according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
（2） Circumstances of the termination of the duties of the Fund Custodian
Under any of the following circumstances, the duties of the Fund Custodian shall be terminated:
1. The fund custody qualification is canceled according to law;
2. Dismissed by the general meeting of fund unit holders;
3. It is dissolved, canceled or declared bankrupt according to law;
4. Other circumstances stipulated by laws and regulations, CSRC and the Fund Contract.
2、 Procedures for replacement of the Fund Manager and the Fund Custodian
（1） Replacement procedure of fund manager
1. Nomination: The new Fund Manager is held by the Fund Custodian or by more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Manager
A resolution is formed by the fund manager of
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of the date of voting;
3. Temporary Fund Manager: The CSRC shall designate a temporary fund manager
Financial administrator;
4. Filing: the resolution of the general meeting of fund share holders to change the fund manager must be reported to the CSRC for filing
Case;
5. Announcement: After the replacement of the Fund Manager, the Fund Custodian shall change the Fund shares of the Fund Manager
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
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6. Handover: If the responsibilities of the fund manager are terminated, the fund manager shall properly keep the fund management business assets
To handle the transfer procedures of fund management business to the temporary fund manager or the new fund manager in a timely manner,
The temporary fund manager or the new fund manager shall take over in a timely manner. New fund manager or temporary fund manager
The Manager shall check the total value and net value of the Fund's assets with the Fund Custodian;
7. Audit: If the duties of the fund manager are terminated, the fund manager shall be employed in accordance with the provisions of laws and regulations, and the fund manager shall meet the requirements of
The accounting firm specified in the Securities Law of the People's Republic of China shall audit the fund assets and report the audit results
It shall be announced and reported to the CSRC for filing, and the audit fees shall be disbursed from the fund assets;
8. Change of fund name: after the change of fund manager, if the original or new fund manager requires,
The name words related to the original fund manager in the fund name shall be replaced or deleted as required.
（2） Procedures for replacing the Fund Custodian
1. Nomination: The new Fund Custodian is held by the Fund Manager or more than 10% (including
10%) Nomination of fund unit holders of fund units;
2. Resolution: The General Meeting of Fund Unitholders shall, within 6 months after the termination of the duties of the Fund Custodian
The Fund Custodian of
More than two thirds (including two thirds) of the votes are passed, and the resolution shall come into force as of the date of voting;
3. Temporary Fund Custodian: Before the new Fund Custodian is appointed, the CSRC shall appoint a temporary fund custodian
Gold custodian;
4. Filing: the resolution of the general meeting of fund share holders to change the fund custodian must be reported to the CSRC for filing
Case;
5. Announcement: After the replacement of the Fund Custodian, the Fund Manager shall change the Fund units of the Fund Custodian
The resolution of the general meeting of shareholders shall be announced in the specified media within 2 days after it takes effect;
6. Handover: If the duties of the Fund Custodian are terminated, the Fund Custodian shall properly keep the Fund assets and the Fund
Information on fund custody business, and timely handle fund assets and funds with the temporary fund custodian or the new fund custodian
The new Fund Custodian or the temporary Fund Custodian shall take over the handover procedures of the fund custody business in a timely manner.
The new fund custodian or 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, in accordance with the provisions of laws and regulations, engage a person who meets the requirements of
The accounting firm specified in the Securities Law of the People's Republic of China shall audit the fund assets and report the audit results
It shall be announced and reported to the CSRC for filing. The audit fees shall be disbursed from the fund assets.
（3） Conditions and procedures for simultaneous replacement of the Fund Manager and the Fund Custodian
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1. Nomination: if the Fund Manager and the Fund Custodian change at the same time, the Fund will be held separately or jointly
Fund share holders with more than 10% (including 10%) of total shares nominate new fund managers and fund custody
People;
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 Fund Custodian shall change the Fund Manager and Fund Custodian
A joint announcement shall be made on the specified media within 2 days after the resolution of the general meeting of fund unit holders of the custodian takes effect.
3、 The new fund manager or temporary fund manager receives fund management business, or the new fund trust
Before the custodian or temporary fund custodian receives the fund property and fund custody business, the original fund manager or the original fund
The Fund Custodian shall continue to perform the relevant duties and ensure that it will not cause any loss to the interests of the Fund Unitholders
Harmful behavior. The original fund manager or the original fund custodian still has the right to
Collect fund management fees or fund custody fees in accordance with the provisions of this Fund Agreement.
4、 The provisions of this part on the conditions and procedures for the replacement of the Fund Manager and the Fund Custodian
The reference to laws, regulations or regulatory rules is followed, such as the revision of laws, regulations or regulatory rules in the future
If the content is cancelled or changed, the Fund Manager and the Fund Custodian can directly
The corresponding contents shall be modified and adjusted without convening a general meeting of fund share holders for deliberation.
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Part X Custody of the Fund
The Fund Custodian and the Fund Manager shall comply with the Fund Law, the Fund Contract and other relevant provisions
Enter into a custody agreement.
The purpose of entering into the custody agreement is to clarify the protection of fund assets between the fund custodian and the fund manager
Rights in management, investment operation, net value calculation, income distribution, information disclosure, mutual supervision and other related matters
To ensure the safety of fund assets and protect the legitimate rights and interests of fund share holders.
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Part XI Registration of Fund Units
1、 Registration business of fund units
The registration business of the Fund refers to the registration, custody, transfer, clearing and settlement business of the Fund
Including establishment and management of investor's fund account, registration of fund shares, confirmation of fund sales business
Clearing and settlement, distributing dividends on behalf, establishing and keeping the register of fund share holders and handling non trading
Households, etc.
2、 Fund registration business handling agency
The registration business of the Fund is conducted by the Fund Manager or other qualified institutions entrusted by the Fund Manager
Handling. If the fund manager entrusts other institutions to handle the fund registration business, it shall sign a entrustment with the agent
Agency agreement to specify the fund manager and agency's management of the investor's fund account and registration of fund shares
Recording, clearing, fund transaction confirmation, dividend distribution, establishment and custody of the register of fund share holders and other matters
To protect the legitimate rights and interests of fund share holders.
3、 Rights of the Fund Registrar
The fund registration authority has the following rights:
1. Registration fee;
2. Establish and manage investor fund accounts;
3. To keep account opening information, transaction information and register of fund unit holders;
4. Within the scope permitted by laws and regulations, the time for handling registration business shall be adjusted, and
The relevant regulations shall be announced on the specified media before implementation;
5. Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
4、 Obligations of the Fund Registrar
The fund registration authority shall undertake the following obligations:
1. Allocate enough professionals to handle the registration business of the Fund units;
2. Carry out the registration of the Fund units in strict accordance with the laws and regulations and the conditions specified in the Fund Contract
Service;
3. Properly keep the registration data, and specify the name, identity information and fund units of fund unit holders
The detailed data shall be backed up to the institutions recognized by the CSRC. Its retention period shall not start from the date of cancellation of the fund account
Less than 20 years;
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4. Having the obligation to keep confidential the fund account information of the fund share holder
The investors or funds shall bear the corresponding compensation liability for the losses caused by them, but the situation and law of judicial compulsory inspection
Except for other circumstances stipulated by the law, the CSRC and the Fund Contract;
5. Handle non trading transfer business for investors and provide
Other necessary services;
6. Accept the supervision of the fund manager;
7. Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
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Part XII Investment of the Fund
1、 Investment objectives
On the basis of strict risk control and high liquidity, through proactive investment management,
Strive to achieve long-term steady appreciation of fund assets.
2、 Investment scope
The Fund invests in financial instruments with good liquidity, including bonds (including treasury bonds and central bank notes
The pure debt department of bonds, financial bonds, enterprise bonds, corporate bonds, subordinated bonds, separable trading convertible bonds
Divided into medium-term notes, short-term financing bonds, ultra short-term financing bonds, local government bonds, government supported institutional bonds
Bonds, government backed bonds and other bonds that the CSRC allows funds to invest in), asset-backed securities, bonds
Repos, interbank deposit receipts, bank deposits (including negotiated deposits, time deposits and other bank deposits)
Money market instruments, cash, treasury bond futures, credit derivatives, laws and regulations or the CSRC allows
Other financial instruments of gold investment (subject to the relevant provisions of the CSRC).
The Fund does not invest in assets such as stocks, nor in convertible bonds (convertible bonds that can be separately traded
Except for pure bonds), exchangeable bonds.
The Fund's participation in treasury bond futures trading shall comply with the investment limits stipulated in laws and regulations and the fund contract
To formulate and abide by the business rules of relevant futures exchanges.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform the following duties:
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment in bonds shall not be less than 80% of the Fund's assets. Deduct at the end of each trading day
After the trading margin required to be paid for treasury bond futures contracts, the amount of cash or
Government bonds with a maturity of less than one year. Cash does not include settlement provisions, deposits and receivables
Subscription amount, etc.
If there is any change in the future laws and regulations or the regulatory authority's requirements on the investment proportion, the Fund Manager shall
After proper procedures, corresponding adjustments can be made.
3、 Investment strategy
1. Asset allocation strategy
On the basis of fully studying the macro market situation and the micro market players, the fund manager has taken
Very active investment management strategy, through qualitative and quantitative analysis
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Evaluate the factors that affect the bond price, such as the moving direction of the curve and the credit spread
Use different investment strategies and make full use of the ineffectiveness of the market to seize various investment opportunities. On credit
Under the premise of controllable risk, seek the best ratio of portfolio liquidity and income, and strive to achieve or
Earnings that exceed performance benchmarks.
2. Bond investment strategy
The Fund implements proactive portfolio management based on comprehensive research and adopts macro environment analysis
And micro market pricing analysis. In terms of macro environment analysis
Based on the comprehensive analysis of macroeconomic, market interest rate, bond supply and demand and other factors
The risk return characteristics of generic assets in the inter-bank market, and the optimal allocation and
Adjust to determine the optimal weight of assets of different categories.
In terms of micro market pricing analysis, the Fund is based on long-term interest rate trend analysis, combined with
Economic trends, monetary policies, yield levels, liquidity and credit risks of different bond varieties,
Focus on those with good liquidity, reasonable risk level, relatively high yield to maturity and credit quality
Bond varieties. Specific investment strategies include yield curve strategy, riding strategy, interest margin strategy and other active investments
Strategic construction of bond portfolio.
(1) Combined duration configuration strategy
By predicting the shape and change trend of the yield curve, the duration of various types of bonds is allocated; root
According to the operation, it specifically includes the riding strategy of tracking the yield curve and bullet strategy based on the change of the yield curve
Slightly, barbell strategy and ladder strategy.
During the implementation of the target duration, special attention will be paid to credit risk, liquidity risk and assets
Management of asset allocation to keep various risks of the portfolio under control.
(2) Generic asset allocation strategy
According to the estimation and judgment of the returns and risks of different bond asset types, by analyzing various types of assets
To determine the allocation proportion of different types of bonds. The main decision-making basis includes
Research and forecast of future macroeconomic and interest rate environment, changes in interest margin, market capacity and credit rating
Information and liquidity, etc. Determine the expected holding period of each bond category through scenario analysis
Return is allocated among different bond varieties.
At the level of asset allocation, the Fund makes a judgment on the
On the basis of the reasonable interest margin level required for the term structure of interest rates and the term structure of national debt interest rates
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The market is subdivided into sub markets such as exchange government bonds, exchange corporate bonds, inter-bank government bonds, inter-bank financial bonds, etc
Field. In combination with the market capacity, credit rating and liquidity characteristics of various assets
On the basis of the above, the modified mean variance model is used to regularly optimize the allocation of portfolio assets
Set and adjust to determine the optimal weight of generic assets.
At the same time, the Fund focuses on different industries involved in the bond market under the same macro cycle background
Prosperity degree is determined through decentralized investment and industry prediction, which is specifically shown as: 1) decentralized investment
Capital: The issuer is involved in many industries, and the portfolio will maintain a decentralized structure in the allocation proportion of each industry,
Avoid excessive centralized allocation in the upstream, midstream and downstream industries with highly correlated industrial chains. 2) Industry investment: this portfolio will
Determine the allocation ratio of each industry in the next stage according to the research and judgment on the prosperity characteristics of each industry in the next stage
For example, sell the bonds of industries with reduced prosperity and distribute the bonds of industries with increased prosperity in advance.
(3) Margin strategy
The Fund will purchase bonds whose yield is higher than the repo cost through positive repo, and properly use leverage
To obtain active management returns by means of pole interest margin, select bonds with good liquidity as leveraged purchases
It can flexibly control the position of leverage portfolio and reduce portfolio volatility.
(4) Individual coupon selection strategy
In the process of selecting individual bonds, the Fund will, according to the positioning of the market yield curve and the market of individual bonds
Market yield, comprehensively judge the investment value of individual bonds, and select the type with the most matching risk return characteristics,
Build a specific combination of individual coupons.
(5) Credit bond investment strategy
The Fund will be based on the issuer's corporate background, industry characteristics, profitability, solvency, liquidity, etc
Factors, conduct credit risk assessment on credit bonds, and actively explore individual bonds with relative investment opportunities in credit spreads
Bank investment, and adopt decentralized investment strategy to strictly control the overall default risk level of the portfolio. The credit rating of the credit bonds (including asset-backed securities, the same below) invested by the Fund is AA+and
Investment in credit bonds with AA+credit rating accounts for no more than 50% of credit bond assets, and investment in
Credit bonds with AAA credit rating account for no less than 50% of credit bond assets, including financial bonds
(excluding policy financial bonds), corporate bonds, corporate bonds, subordinated bonds, medium-term notes, government expenditures
The credit rating of institutional bonds, government backed bonds, etc. shall be based on the bond credit rating issued by rating agencies; short
The credit rating of short-term credit bonds, such as long-term financing bonds and ultra short-term financing bonds, shall be subject to the main body letter issued by the rating agency
If there is no debt rating for the credit bonds invested by the Fund, refer to the main credit rating. Above rating
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The institution shall be subject to the institution approved by the fund manager (excluding China Bond Credit Rating Co., Ltd.). If
During the period when the fund holds credit assets, if the rating of the fund declines, the fund size changes, and the credit assets are realized
The fund manager shall release the rating report when the redemption payment makes the investment proportion no longer meet the above agreement
It shall be adjusted to meet the agreement within 3 months from the date of or the date of no longer meeting the above agreement.
3. Cash position management
Due to the restrictions of laws and regulations and the need for the normal operation of open-end funds, the amount deducted at the end of each trading day
After the trading margin required to be paid for treasury bond futures contracts, the cash retained by the fund or the maturity date is within one year
The total proportion of government bonds of the Fund shall not be less than 5% of the net asset value of the Fund. Its main purposes include: payment potential
Demand for redemption amount, accrued management fees, custody fees and other fees, and payment of transaction fees. by
To effectively control the impact of cash retention, the Fund Manager will adopt active cash position management means.
4. Investment strategy of treasury bond futures
When investing in treasury bond futures, the Fund will aim at hedging in accordance with risk management principles
By adopting futures contracts with good liquidity and active trading
The study of potential, combined with the pricing model of treasury bond futures, seeks its reasonable valuation level, and carries out
Matching, hedging operations are carried out through strategies such as long or short hedging. The Fund Manager will fully
Considering the profitability, liquidity and risk characteristics of treasury bond futures, use treasury bond futures to hedge the systematic wind
Insurance and hedging of liquidity risk under special circumstances, such as large amount purchase and redemption; Leverage financial derivatives
To reduce the overall risk of the portfolio.
5. Credit derivatives investment strategy
When investing in credit derivatives, the Fund will aim at risk hedging in accordance with risk management principles
Through research on macroeconomic cycle, industry prosperity, issuer qualification and credit derivatives market
Finally, the derivatives pricing model is used to reasonably price them. The Fund Manager will give full consideration to credit derivatives
The profitability, liquidity and risk characteristics of the products, and the risk and return of appropriate investment using credit derivatives are relatively high
To spread credit risk, improve asset liquidity and enhance portfolio returns.
In the future, with the development and enrichment of investment instruments in the securities market, the Fund will
Relevant investment strategies can be adjusted and updated accordingly and published in the prospectus update.
4、 Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
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(1) The proportion of the Fund's investment in bonds shall not be less than 80% of the Fund's assets;
(2) At the end of each trading day, the Fund shall hold
The proportion of government bond investment with cash or maturity within one year is not less than the net asset value of the fund
5%, and the aforesaid cash does not include settlement provisions, deposits, subscription receivables, etc;
(3) The Fund holds securities issued by a company whose market value does not exceed the net asset value of the Fund
10%；
(4) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the bonds, the fund varieties that invest in securities in full accordance with the composition ratio of the relevant index may not be subject to this
The proportion limit specified in the clause;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20%；
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
Over 10% of the size of the asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment target
Yes, all of them shall be sold within 3 months after the rating report is issued;
(10) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
(11) The Fund deals with private securities asset management products and other entities recognized by the CSRC
If the counterparty carries out reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment agreed in the fund contract
Consistent scope;
(12) If the Fund participates in treasury bond futures trading, it shall comply with the following investment proportion restrictions:
1) At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed
15% of net asset value;
2) At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund shall not exceed that of the Fund
30% of the total market value of bonds held;
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3) Transaction amount of treasury bond futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 30% of the net asset value of the Fund on the previous trading day;
4) Market value and purchase of bonds held by the Fund (excluding government bonds with maturity within one year)
The total value of treasury bond futures contracts received and sold (calculated by netting) should comply with the fund contract on bond investment
Relevant agreements on capital ratio;
(13) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the Fund's assets
15% of net worth. Due to factors other than fund managers such as fluctuations in the securities market and changes in fund size
If the fund does not meet the proportion limit specified in the preceding paragraph, the fund manager shall not actively increase the liquidity restricted assets
investment;
(14) The Fund does not hold credit derivatives with the attribute of credit protection seller; Do not hold contracts
Credit derivatives; The nominal principal of credit derivatives invested by the Fund shall not exceed the corresponding protected principal of the Fund
100% of the face value of the bonds; Total principal of various credit derivatives invested in the same credit protection seller is not
May exceed 10% of the net asset value of the Fund; Due to fluctuations in the securities market, futures market and securities issuers
In addition, the fund investment proportion does not comply with the above provisions due to factors other than the fund manager, such as fund size changes
The Fund Manager shall adjust the investment proportion within three months;
(15) Other investment limits stipulated by laws and regulations, CSRC and the Fund Contract
System.
Except for the circumstances in (2), (9), (11), (13) and (14) above
Market fluctuations, mergers of securities issuers, changes in fund size and other factors outside the fund manager cause the
If the fund investment proportion does not meet the above stipulated investment proportion, the fund manager shall carry out the fund investment within 10 trading days
Adjustment, except for special circumstances stipulated by laws and regulations or the CSRC.
The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall conform to
Agreement of the mutual fund contract. The Fund Custodian's supervision and inspection of the Fund's investment has taken effect since the Fund Agreement came into force
Starting from.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
2. Prohibited acts
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In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities
Active:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, unless otherwise stipulated by laws and regulations or the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by international controllers or companies with significant interests with them or certificates underwritten during the underwriting period
Securities, or other major related party transactions, shall comply with the investment objectives and investment strategies of the Fund
Follow the principle of giving priority to the interests of fund share holders, prevent conflicts of interest, establish and improve the internal approval mechanism and evaluation
The appraisal mechanism shall be implemented according to the fair and reasonable price in the market. Relevant transactions must be approved by the Fund Custodian in advance
And shall be disclosed in accordance with laws and regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and
It has been approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall pay at least half a year
Easy to review.
Laws, administrative regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Base
After the Fund Manager performs the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or after the change
Implementation of the provisions of.
5、 Performance Benchmark
The performance benchmark of the Fund is: China Bond Comprehensive Full Price Index Yield * 90%+one-year fixed deposit
Benchmark interest rate (after tax) * 10%.
The comprehensive full price index of China Bond is prepared and released by the Central Government Securities Depository and Clearing Co., Ltd
The sample covers government bonds, policy bank bonds, commercial bank bonds, local corporate bonds, medium-term notes and securities
All kinds of securities such as short-term financing bonds of the company comprehensively reflect the overall price and return of the bond market
One of the more authoritative benchmark indexes reflecting the overall trend of the bond market in the former market. The index is reasonable and transparent
It is clear and open, has good market acceptance, and is more suitable as a benchmark for measuring some of the Fund's bonds
Yes.
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If the laws and regulations change in the future, or there are more authoritative and generally accepted performance in the market
The benchmark is launched, or the market changes so that this performance benchmark is no longer applicable or this performance comparison
The benchmark will not be released, and the Fund Manager may, in accordance with the principle of safeguarding the legitimate rights and interests of investors
After the custodian has reached consensus and performed appropriate procedures as required by the regulatory authority, the performance comparison base should be properly adjusted
The announcement shall be made on the specified media in a timely manner without the need to convene a general meeting of fund share holders.
6、 Risk return characteristics
The Fund is a bond fund, with expected returns and expected risks higher than those of money market funds, but lower than those of mixed funds
Mutual funds and stock funds.
7、 Principles and methods for the Fund Manager to exercise relevant rights on behalf of the Fund
1. The Fund Manager shall independently exercise relevant rights on behalf of the Fund in accordance with relevant national regulations and protect the Fund
The interests of the holder;
2. It is conducive to the safety and appreciation of fund assets;
3. Not for itself, employees, authorized agents or any interested third party through connected transactions
People seek any improper benefits.
8、 Implementation and investment operation arrangement of side pocket mechanism
When the fund holds specific assets and there are or potential large redemption applications, according to the maximum protection basis
The Fund Manager and the Fund Custodian have reached an agreement on the principle of the interests of the gold share holders and consulted the accountant
After the opinion of the accounting firm, the side pocket mechanism can be used in accordance with laws and regulations and the fund contract, without calling
Hold a general meeting of fund unit holders for deliberation.
During the implementation of the side pocket mechanism, the agreed portfolio proportion, investment strategy, portfolio restrictions
The performance benchmark, risk return characteristics and other agreements are only applicable to the main bag account.
Implementation conditions, implementation procedures, operation arrangements, investment arrangements and disposal of specific assets of side pocket accounts
See the provisions of the Prospectus for details of matters such as realization and payment that have a significant impact on investors' rights and interests.
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Part XIII Assets of the Fund
1、 Total Fund Assets
The total value of fund assets refers to all kinds of securities owned by the fund, principal and interest of bank deposits, and fund receivables
The total value of items and other assets.
2、 Net Asset Value of the Fund
The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
3、 Account of fund property
The Fund Custodian shall open capital accounts and securities for the Fund in accordance with relevant laws, regulations and normative documents
Account and other special accounts required for investment. Special fund account opened with fund manager and fund
Property accounts owned by the custodian, fund sales agency and fund registration agency and other fund property accounts
Independent of each other.
4、 Custody and disposal of fund assets
The assets of the Fund are independent of the assets of the Fund Manager, the Fund Custodian and the Fund Sales Agency, and
Custody of the Fund Custodian. The Fund Manager, the Fund Custodian, the Fund Registration Agency and the Fund Sales Agency shall
Its own property shall bear its own legal liability, and its creditors shall not apply for freezing of the Fund's property
To settle, detain or other rights. In addition to being disposed of in accordance with laws and regulations and the Fund Contract, the Fund assets
No punishment is allowed.
The Fund Manager and the Fund Custodian are dissolved, canceled or declared bankrupt according to law
In case of liquidation for reasons, the fund assets shall not belong to its liquidation assets. Fund manager manages and operates fund assets
The creditor's rights generated shall not offset the debts generated from its inherent assets; Fund manager management and operation
The creditor's rights and debts arising from the fund assets of different funds shall not offset each other. Not due to the fund property itself
Shall not be enforced against the fund assets.
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Part XIV Valuation of Fund Assets
1、 Valuation date
The valuation date of the Fund is the trading date of the relevant securities and futures trading places of the Fund and national laws
The non trading day on which the laws and regulations require the disclosure of the net value of the fund.
2、 Valuation object
Bonds, principal and interest of bank deposits, accounts receivable, treasury bond futures and asset-backed certificates owned by the Fund
Assets and liabilities such as bonds, credit derivatives and other investments.
3、 Valuation principles
When determining the fair value of relevant financial assets and financial liabilities, the Fund Manager shall comply with the requirements of the Enterprise
Accounting Standards and relevant regulations of regulatory authorities.
（1） For the investment varieties with active market and the same quoted price of assets or liabilities, they are under evaluation
If there is a quotation on the duty day, the quotation shall be applied to
The fair value measurement of the asset or liability. There is no quotation on the valuation date and there is no impact on fairness after the latest transaction date
For major events measured by value, the quoted price on the latest trading day shall be used to determine the fair value. Sufficient evidence
If it indicates that the quotation on the valuation date or the latest trading day cannot truly reflect the fair value, the quotation shall be adjusted
The fair value shall be determined.
The fair value of the same assets or liabilities shall be used if they are the same as the above investment varieties but have different characteristics
Value, and consider the influence of different characteristic factors in the valuation technology. Characteristic refers to the sale of assets or
Restrictions on use, etc. If the restrictions are for asset holders, then the
Limitations are considered as characteristics. In addition, the fund manager should not consider that due to its large holding of relevant assets or liabilities
The resulting premium or discount.
（2） For investment varieties that do not have an active market, they should be suitable for the current situation and have enough
The fair value can be determined by using valuation techniques supported by data and other information. Use valuation techniques to determine fair value
In case of value, the observable input value shall be used preferentially, and only when the observable input value of relevant assets or liabilities cannot be obtained
The unobservable input value can be used only when the input value or acquisition is impractical.
（3） In case of major changes in the economic environment or major events affecting the securities price of the securities issuer
If the impact of the potential valuation adjustment on the net asset value of the fund on the previous valuation date is more than 0.25%
Adjust the valuation and determine the fair value.
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4、 Valuation method
1. Valuation of securities listed on stock exchanges
(1) For the securities listed on the stock exchange, the market price (closing price
Valuation; There is no transaction on the valuation date, and there is no significant change in the economic environment or securities after the latest trading day
If there is no major event that affects the securities price, the market price (closing price) of the latest trading day shall be used
Valuation; If the economic environment has changed significantly after the recent trading day or the securities issuer has affected the securities
In case of major price events, the current market price and major change factors of similar investment varieties can be referred to for adjustment
The fair price is determined near the market price.
(2) For the non equity fixed income varieties listed or transferred by the Exchange, select the third one on the valuation date
The valuation is conducted at the full valuation price of the corresponding varieties on the current day provided by the valuation benchmark service agency.
(3) The third party on the valuation date shall be selected for the types of fixed income with rights listed or transferred by the Exchange
The only or recommended full valuation price of the corresponding varieties provided by the valuation benchmark service agency on the current day
Value;
For the fixed income varieties including the investor's right to sell back, if the right to sell back is exercised, the right to sell back will be realized on the registration date
Select the unique full valuation price of the corresponding variety provided by the third-party valuation benchmark service agency during the international collection date or
The full valuation price shall be recommended, and the impact of the issuer's credit risk changes on the fair value shall be fully considered. return
If the right to sell back is not exercised after the deadline of the registration period (inclusive), the price corresponding to the long waiting period shall be applied
Valuation.
(4) The full valuation price of convertible bonds listed on the Exchange shall be the daily closing price.
(5) For the securities listed on the exchange that do not have an active market, the fair price is determined by valuation techniques
Value.
(6) For fixed income varieties that are not listed on the exchange or transferred without listing, and there is no active market,
It shall be determined by adopting the valuation technology that is applicable in the current situation and has sufficient available data and other information support
Its fair value.
2. For the initial public offering of unlisted bonds, valuation techniques shall be used to determine the fair value;
3. For the fixed income varieties without rights in the national inter-bank market, the third-party valuation benchmark shall be used
The full price valuation of the corresponding varieties provided by the institution on the current day. For fixed income products with rights in the inter-bank market
Type, according to the unique full valuation price or recommendation of the corresponding type on the day provided by the third-party valuation benchmark service agency
Valuation Full price valuation; For the fixed income varieties in the inter-bank market including the investor's right to sell back, exercise the right to sell back
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In the period from the registration date of the resale to the actual collection date
Full price of the unique valuation or recommended valuation of the varieties, taking full account of the issuer's credit risk
Impact of changes on fair value. Basis for failure to exercise the right of resale after the deadline of the resale registration period (inclusive)
The price corresponding to the long outstanding period is estimated.
4. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
5. The interest income of time deposits or call deposits held by banks shall be recognized day by day according to the effective interest rate method.
6. The Fund's investment in treasury bond futures contracts is generally valued at the settlement price on the valuation day
If there is no settlement price and there is no significant change in the economic environment after the latest trading day, the latest trading day settlement shall be adopted
Valuation.
7. Credit derivatives are valued at the valuation price of the day provided by the third-party valuation benchmark service agency
However, the valuation responsibility that the Fund Manager should bear according to law will not be exempted due to entrustment; Selected third-party estimates
If the value benchmark service agency fails to provide the valuation price, it shall comply with relevant laws and regulations and the Accounting Standards for Business Enterprises
It is required to adopt reasonable valuation techniques to determine the fair value.
8. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
Value.
9. In case of large purchase or redemption, the Fund Manager may adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
10. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there is anything new
The valuation is based on the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method specified in the fund contract
If the procedures and relevant laws and regulations fail to fully protect the interests of fund share holders
Inform the other party, find out the reason together, and the two parties will solve it through consultation.
According to relevant laws and regulations, the obligation of calculating the net asset value of the fund and accounting of the fund is managed by the fund
People bear. The fund manager is the fund accounting responsible party of the Fund, so it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality
See, according to the calculation results of the fund manager on the net value of the fund, it shall be published to the public.
5、 Valuation procedures
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1. The net value of fund units is calculated by dividing the net value of various funds' assets by the current
Calculation of the balance quantity of Class A fund units. The calculation of the net value of various fund units of the Fund is accurate to 0.0001
Yuan, rounded to the fifth place after the decimal point. The fund manager can set up the net value fine in the case of large redemption
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 every working day, and
Final announcement.
2. The Fund Manager shall evaluate the assets of the Fund every working day. However, according to laws and regulations, the Fund Manager
Or the suspension of valuation under the Fund Agreement. The Fund Manager's valuation of the Fund's assets on each working day
After that, the net value results of various fund units will be sent to the Fund Custodian. After the Fund Custodian has verified that there is no error
The Fund Manager shall publish it to the public as agreed.
6、 Handling of valuation errors
The Fund Manager and the Fund Custodian will take necessary, appropriate and reasonable measures to ensure the valuation of the Fund assets
The accuracy and timeliness of the value. When the net value of any type of fund unit is within 4 decimal places (including the 4th decimal place)
In case of valuation error, it shall be deemed that the net value of such fund units is wrong.
The parties to this Fund Contract shall deal with it in accordance with the following provisions:
1. Type of valuation error
During the operation of the Fund, if the Fund Manager or the Fund Custodian, or the registration authority, or
Where the error in valuation is caused by the fault of the sales agency or the investor itself, causing losses to other parties,
The person responsible for the fault shall press
It states the "principle of handling valuation errors" to make compensation and bear the liability for compensation.
The main types of the above valuation errors include but are not limited to: data declaration errors, data transmission errors
Data calculation error, system failure error, order issuing error, etc.
2. Principles for handling valuation errors
(1) When the valuation error has occurred, but has not caused losses to the parties, the party responsible for the valuation error shall
Coordinate all parties to correct in a timely manner, and the costs arising from the correction of valuation errors shall be borne by the party responsible for the valuation errors
Dan; Loss caused to the parties due to the failure of the responsible party to timely correct the valuation errors that have occurred
The party responsible for the valuation error shall be liable for the direct loss; If the responsible party for the valuation error has been active
And the party who has the obligation to assist has enough time to make corrections but fails to make corrections, it shall
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And bear corresponding liability for compensation. The party responsible for the valuation error shall confirm the correction to the relevant parties
Insurance valuation errors have been corrected.
(2) The party responsible for the valuation error shall be responsible for the direct losses of the relevant parties, not for the indirect losses
And is only responsible for the direct parties involved in the valuation error, not the third party.
(3) The party who has obtained the unjust enrichment due to the valuation error has the obligation to return the unjust enrichment in a timely manner.
However, the party responsible for the valuation error shall still be responsible for the valuation error. If the party who has obtained improper benefits does not return
If the improper enrichment is returned or not returned in full, resulting in the loss of interests of other parties (the "injured party"), the valuation error liability
Either party shall compensate the loss of the injured party, and within the scope of the compensation amount paid by the party
The parties have the right to demand the delivery of unjust enrichment; If the party who has obtained unjust enrichment has
If the unjust enrichment is returned to the aggrieved party, the aggrieved party shall add the amount of compensation it has received to the amount of compensation it has received
The difference between the total of the return of improper profits and the actual loss shall be paid to the party responsible for the valuation error.
(4) Valuation error adjustment adopts the method of recovering to the correct situation assuming no valuation error
Formula.
3. Valuation error handling procedure
After the valuation error is found, the relevant parties shall deal with it in a timely manner, and the handling procedures are as follows:
(1) Find out the causes of valuation errors, list all parties involved, and
Determine the responsible party for the valuation error;
(2) Losses caused by valuation errors according to the principle of handling valuation errors or the method negotiated by the parties
Conduct evaluation;
(3) According to the principle of handling valuation errors or the method negotiated by the parties concerned, the party responsible for valuation errors shall
Correction and compensation of losses;
(4) If it is necessary to modify the transaction data of the fund registration agency according to the method of handling valuation errors
The gold registration authority shall make corrections and confirm the correction of valuation errors to the relevant parties.
4. The method for handling errors in the valuation of the net value of fund units is as follows:
(1) In case of any error in the calculation of the net value of fund units, the fund manager shall immediately correct it and notify
The Fund Custodian shall take reasonable measures to prevent further expansion of losses.
(2) When the calculation error deviation of the net value of various fund units reaches 0.25% of the net value of such fund units,
The Fund Manager shall notify the Fund Custodian and report to the CSRC for filing; Error deviation reaches this kind of fund
When the net value of a unit is 0.5%, the fund manager shall make an announcement and report it to the CSRC for filing.
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(3) If the above contents are otherwise stipulated by laws and regulations or the regulatory authority, they shall be handled in accordance with their provisions.
7、 Suspension of valuation
1. The securities and futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
2. The Fund Manager and the Fund Custodian are unable to accurately assess the value of the Fund assets due to force majeure
Hour;
3. When specific assets account for more than 50% of the net asset value of the fund on the previous valuation date
After confirmation, the Fund Manager shall suspend the valuation;
4. Other circumstances identified by laws and regulations, the CSRC and the fund contract.
8、 Recognition of net fund value
The net asset value of the Fund and the net value of various fund units shall be calculated by the Fund Manager, and the Fund Custodian shall bear
Responsible for review. The Fund Manager shall calculate the net asset value of the Fund on each working day after the end of trading
And the net value of various fund units and send them to the fund custodian. The Fund Custodian rechecks and confirms the net value calculation result
After confirmation, it will be sent to the fund manager, who will publish the net value of the fund as required.
9、 Fund asset valuation during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, it shall evaluate the assets of the main pocket account in accordance with the provisions of this Part and
Disclose the net fund value of the main pocket account, and suspend the disclosure of the net share value of the side pocket account.
10、 Handling methods for special cases
1. Errors caused by the Fund Manager or the Fund Custodian when conducting valuation according to Item 8 of the valuation method
The difference is not treated as an error in the valuation of fund assets.
2. Due to force majeure, or due to securities, futures exchanges, registration and clearing companies, third-party valuation
Although the Fund Manager and Fund Custodian have taken the necessary measures to
Take appropriate and reasonable measures to check, but fail to find the error or find the error but
The Fund Manager and the Fund Custodian will be exempted from the fund asset valuation errors caused by the above reasons that cannot be corrected
Liability. However, the Fund Manager and the Fund Custodian shall actively take necessary measures to eliminate or mitigate this
Impact.
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Part XV Fund Fees and Taxes
1、 Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Sales service fees accrued for Class C fund units of the Fund;
4. Information disclosure fees related to the Fund after the Fund Contract takes effect;
5. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect
Fees;
6. Expenses for the general meeting of fund share holders (including but not limited to venue fees, accountant fees, attorney fees and
Notarization fee);
7. Transaction costs of securities, futures, credit derivatives, etc. of the Fund;
8. Bank transfer fees of the Fund;
9. Fund account opening fees and account maintenance fees;
10. In accordance with the relevant provisions of the State and the Fund Contract
His expenses.
2、 Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 0.30% of the net asset value of the Fund on the previous day. Calculation of management fee
The calculation method is as follows:
H ＝ E × 0.30% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian has checked the consistency, the Fund Custodian shall negotiate with the Fund Manager on the first day of the following month
A lump sum payment shall be made from the fund assets to the fund manager within 5 working days from the date of. In case of legal holidays
In case of public holidays or force majeure, the payment date shall be postponed.
2. Custody fees of the Fund Custodian
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The custody fee of the Fund is accrued at an annual fee rate of 0.05% of the net asset value of the Fund on the previous day. Custody fee
The calculation method is as follows:
H ＝ E × 0.05% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian has checked the consistency, the Fund Custodian shall negotiate with the Fund Manager on the first day of the following month
Withdrawal from the fund assets in a lump sum within 5 working days from. In case of legal holidays, public holidays or
For force majeure, the payment date shall be postponed.
3. Fund sales service fee
There is no sales service fee for Class A fund units of the Fund, and the sales service fee for Class C fund units is based on the previous
The annual fee rate of 0.20% of the net asset value of the one-day Class C fund unit fund is accrued. The calculation method is as follows:
H ＝ E × 0.20% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
The sales service fee is accrued daily, accumulated day by day to the end of each month, and paid monthly. After the Fund Manager and
After the Fund Custodian has checked the consistency, the Fund Custodian shall, within 2-5 working days from the first day of the next month
In the process of production, it shall be paid to the fund manager in a lump sum, and the fund manager shall pay it to the sales agency on behalf. In case of legal holidays
Day, public holiday or force majeure, the payment date shall be postponed.
Items 4-10 of the above "I. Types of fund expenses" shall be paid according to relevant regulations and corresponding agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, which shall be paid by the Fund Custodian from the Fund assets.
3、 Items not included in fund expenses
The following expenses are not included in the fund expenses:
1. Expenses incurred by the Fund Manager and the Fund Custodian due to failure to perform or fail to fully perform their obligations or
Loss of fund property;
2. Expenses incurred by the Fund Manager and the Fund Custodian in handling matters unrelated to the operation of the Fund;
3. Relevant expenses before the Fund Contract comes into effect;
4. Other items that may not be included in the fund fees according to relevant laws and regulations and the relevant provisions of the CSRC
Objective.
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4、 Fund expenses during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the expenses related to the side pocket account can be disbursed from the side pocket account,
However, it can be disbursed only after the assets of the side pocket account are realized, and the relevant fees can be charged or reduced as appropriate, but not
For the management fee, please refer to the provisions of the prospectus or relevant announcements.
5、 Fund tax
All taxpayers involved in the operation of the Fund shall pay taxes in accordance with national tax laws and regulations
Execution. The relevant taxes on the investment of fund assets shall be borne by the fund share holders, and the fund manager or its
His withholding agent shall withhold and remit the tax in accordance with the relevant provisions of the state on tax collection.
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Part XVI Income and Distribution of the Fund
1、 Composition of fund profits
Fund profit refers to fund interest income, investment income, income from changes in fair value and other income deduction
The balance after relevant expenses. The realized income of the fund refers to the balance after the fund profit minus the gains and losses from changes in fair value
Eh.
2、 Profit available for distribution of the fund
The distributable profit of the fund refers to the undistributed profit and undistributed profit of the fund as of the base date of income distribution
The lower of the realized income.
3、 Principle of fund income distribution
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose
Cash dividends or reinvestment of cash dividends automatically into fund units of corresponding categories; If the investor does not
Yes, the default income distribution method of the Fund is cash dividends; Fund share holders can hold
Different income distribution methods shall be selected for Class A and Class C fund units; Choose dividend reinvestment
The share of dividend reinvestment is free of subscription fees; Minimum holding period of fund units formed by dividend reinvestment
Lock according to the original fund shares;
2. After the distribution of fund income, the net value of various fund units cannot be lower than the par value, that is, the distribution of fund income
The net value of any type of fund unit on the base date shall not be lower after deducting the income distribution amount of such type of fund unit per unit
At par;
3. Since Class A fund units of the Fund do not charge sales service fees, Class C fund units charge sales
Service fees, and the distributable profits corresponding to each fund share category will be different. The same category of the Fund
Each fund unit has the same right of distribution;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Without violating the provisions of laws and regulations and the fund contract, and without material benefit to the fund unit holders
Under the premise of adverse effects, the Fund Manager may adjust the distribution principle and payment method of the Fund's income
It is not necessary to hold a general meeting of fund share holders, but the change shall be announced in the specified media before the implementation date of the change.
4、 Income distribution scheme
The fund income distribution plan shall specify the distributable profits and fund receipts as of the base date of income distribution
The distribution object, distribution time, distribution amount and proportion, distribution method, etc.
5、 Determination, announcement and implementation of income distribution plan
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The income distribution plan of the Fund shall be formulated by the Fund Manager and reviewed by the Fund Custodian according to relevant
The regulations shall be announced in the specified media.
6、 Expenses incurred in fund income distribution
The bank transfer or other handling fees incurred in the distribution of fund income shall be borne by the investors themselves. When
When the investor's cash dividend is less than a certain amount, which is insufficient to pay the bank transfer or other handling fees
The fund registration institution may automatically convert the cash dividends of fund share holders into corresponding fund shares. red
The calculation method of reinvestment shall be in accordance with the Business Rules.
7、 Income distribution during the implementation of side pocket mechanism
If the Fund implements the side pocket mechanism, the side pocket account will not be used for income distribution. See the prospectus for details
Definitely.
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Part XVII Accounting and Audit of the Fund
1、 Fund accounting policy
1. The Fund Manager is the fund accounting responsible party of the Fund;
2. The accounting year of the Fund is from January 1 to December 31 of the Gregorian calendar year; Fund raised for the first time
The accounting year shall follow the following principles: if the Fund Contract takes effect less than 2 months, it can be incorporated into the next meeting
Annual disclosure;
3. The bookkeeping base currency for fund accounting is RMB yuan, and the bookkeeping unit is RMB yuan;
4. The accounting system shall implement the relevant national accounting system;
5. The Fund establishes accounts and accounts independently;
6. The Fund Manager and the Fund Custodian shall respectively keep complete accounting accounts and vouchers and conduct daily
Accounting and preparation of fund accounting statements in accordance with relevant regulations;
7. The Fund Custodian shall check with the Fund Manager on the accounting and statement preparation of the Fund every month
And confirmed in writing.
2、 Annual audit of the Fund
1. The Fund Manager's engagement of mutual independence with the Fund Manager and the Fund Custodian is consistent with the requirements of the People's Republic of China
The annual financial statements of the Fund issued by the accounting firm and its certified public accountants as prescribed by the Securities Law of the Republic of China
Conduct audit.
2. An accounting firm shall obtain the prior consent of the fund manager to change its certified public accountant.
3. The Fund Manager shall notify the Fund Custodian if it believes that there is sufficient reason to change the accounting firm. more
The change of accounting firm shall be announced in the specified media within 2 days.
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Part XVIII Fund Information Disclosure
1、 The information disclosure of the Fund shall comply with the Fund Law, the Operating Measures and the Information Disclosure Office
Law of the People's Republic of China, Liquidity Risk Management Regulations, Fund Contract and other relevant regulations. Relevant laws and regulations
In case of any change in the regulations on information disclosure, the Fund shall comply with its latest regulations.
2、 Information disclosure obligor
The information disclosure obligors of the Fund include the Fund Manager, the Fund Custodian and the holding of call fund units
The Fund Unitholders and their daily institutions (if any) of the General Meeting and other laws and regulations as well as the provisions of the CSRC
Natural persons, legal persons and unincorporated organizations.
The information disclosure obligor of the Fund takes the protection of the interests of fund share holders as the fundamental starting point, and
Disclose fund information in accordance with laws and regulations and the provisions of the CSRC, and ensure the authenticity and accuracy of the information disclosed
Integrity, timeliness, conciseness and accessibility.
The information disclosure obligor of the Fund shall, within the time specified by the CSRC
The information is passed through national newspapers and periodicals (hereinafter referred to as "regulated newspapers and periodicals") that meet the requirements of the CSRC and
Internet websites (hereinafter referred to as "regulated websites") and other media specified in the Information Disclosure Measures, and
To ensure that the fund investors can check or copy the public information in accordance with the time and method agreed in the Fund Contract
Information disclosed.
3、 The Fund information disclosed by the Fund Information Disclosure Obligor shall not commit the following acts:
1. False records, misleading statements or major omissions;
2. To predict the performance of securities investment;
3. Committing gains or bearing losses in violation of regulations;
4. Slander other fund managers, fund custodians or fund sales agencies;
5. Publish congratulatory, complimentary or recommendatory articles of any natural person, legal person or unincorporated organization
Character;
6. Other acts prohibited by the CSRC.
4、 The information publicly disclosed by the Fund shall be in Chinese. If a foreign language text is used at the same time
The obligor of information disclosure shall ensure that the contents of different texts are consistent. In case of ambiguity between different texts
The Chinese text shall prevail.
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The information publicly disclosed by the Fund shall be in Arabic numerals; Unless otherwise specified, the monetary unit is the people
RMB.
5、 Publicly disclosed fund information
The publicly disclosed fund information includes:
（1） Fund Prospectus, Fund Contract, Fund Custody Agreement, Fund Product Profile
want
1. The Fund Contract defines the rights and obligations of the parties to the Fund Contract
The rules and specific procedures for the convening of the general meeting of fund share holders, specifying the characteristics of the fund products and other related funds
Legal documents on matters of major interests of investors.
2. The prospectus of the fund shall disclose to the maximum extent all matters affecting the decisions of the fund investors,
Explain fund subscription, purchase and redemption arrangements, fund investment, fund product characteristics, risk disclosure and information
Disclosure and services of fund share holders. After the Fund Contract comes into effect
In case of major changes in information, the Fund Manager shall update the Prospectus within three working days
And posted on the specified website; If other information in the prospectus changes, the fund manager shall at least
It is updated once a year. If the Fund terminates its operation, the Fund Manager will no longer update the Prospectus of the Fund.
3. The Fund Custody Agreement defines the fund custodian and the fund manager in the custody of the fund property and the operation of the fund
Legal documents on rights and obligations in supervision and other activities.
4. The fund product information summary is a summary document of the fund prospectus, which is used to provide investors with a brief summary
General information of the fund. After the Fund Contract comes into effect, the information in the fund product information summary is significant
In case of any change, the Fund Manager shall, within three working days, update the summary of fund product information and publish it on the
Stipulate websites and websites or business outlets of fund sales agencies; Other information in the fund product profile changes
Moreover, the fund manager shall be updated at least once a year. If the operation of the fund is terminated, the fund manager will not update it
Summary of fund product information.
After the application for fund raising is registered with the CSRC, the fund manager will sell the fund units within three days
The Fund Unit Offering Announcement, the indicative announcement of the Fund Prospectus and the indicative announcement of the Fund Contract
The announcement shall be published in the specified newspapers and periodicals, and the fund unit sale announcement, fund prospectus, fund product information
The summary, Fund Agreement and Fund Custody Agreement are posted on the specified website and the fund product information is posted
The summary is published on the website or business outlet of the fund sales agency; The Fund Custodian shall simultaneously
The same "and the Fund Custody Agreement are published on the specified website.
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（2） Fund Unit Offering Announcement
The Fund Manager shall prepare an announcement on the sale of fund units in respect of the specific matters concerning the sale of fund units, and shall publish the announcement on the
The fund units shall be published on the specified media three days before the sale.
（3） Announcement on the Effectiveness of the Fund Contract
The Fund Manager shall, on the next day after receiving the confirmation document from the CSRC, publish on the specified media
Announcement of the effectiveness of the Golden Contract.
（4） Net fund value information
After the Fund Contract comes into force and before the subscription or redemption of fund units, the Fund Manager
The net value of various fund units and the cumulative net value of fund units shall be disclosed at least once a week on the prescribed website.
After starting to handle the subscription or redemption of fund units, the fund manager shall
On the next day of the day, disclose all kinds of open day information through the specified website, fund sales agency website or business outlets
Net value of fund units and cumulative net value of fund units.
The Fund Manager shall disclose on the prescribed website no later than the next day after the last day of the half year and the year
Net value of various fund units and accumulated net value of fund units in the half year and the last day of the year.
（5） Subscription and redemption price of fund units
The Fund Manager shall specify the Fund in the Fund Contract, Prospectus and other information disclosure documents
Calculation method of share subscription and redemption price and relevant subscription and redemption rate, and ensure that investors can
The website or business outlet of the fund sales institution shall consult or copy the aforesaid information.
（6） Regular reports of the Fund, including annual reports, interim reports and quarterly reports of the Fund
The Fund Manager shall, within three months from the end of each year, complete the annual report of the Fund and
The annual report shall be published on the specified website, and the advisory announcement of the annual report shall be published on the specified newspaper. base
The financial and accounting report in the annual financial report shall be approved by the
Audit by accounting firm.
The Fund Manager shall prepare and complete the interim report of the Fund within two months from the end of the first half of the year,
Publish the interim report on the specified website, and publish the indicative announcement of the interim report on the specified newspaper.
The Fund Manager shall complete the quarterly report of the Fund within 15 working days from the end of the quarter
Report, publish the quarterly report on the specified website, and publish the suggestive announcement of the quarterly report on the specified newspaper
On.
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The Fund Manager may not prepare the current quarterly report
Interim report or annual report.
In the report period, if a single investor holds 20% or more of the total fund shares
In order to protect the rights and interests of other investors, the fund manager shall at least report regularly on "influencing investors' decisions"
The category, holding shares and proportion at the end of the reporting period, and report of the investor are disclosed under "Other important information of the policy"
Changes in shares held during the period and the unique risks of the Fund, except for special circumstances recognized by the CSRC
Outside.
The fund manager shall disclose the fund portfolio assets and their
Liquidity risk analysis, etc.
（7） Interim report
If a major event occurs to the Fund, the relevant information disclosure obligor shall prepare an interim report within 2 days
And published on the specified newspapers and websites.
The term "major event" as mentioned in the preceding paragraph refers to the possible impact on the rights and interests of fund unit holders or the price of fund units
The following events with significant impact:
1. The convening and decisions of the general meeting of fund share holders;
2. The Fund Contract is terminated and the Fund is liquidated;
3. Conversion of fund operation mode and fund merger;
4. Change of fund manager, fund custodian, fund share registration agency, and change of fund accounting firm
Office;
5. The fund manager entrusts the fund service agency to handle the registration, accounting and valuation of fund shares on its behalf
Matters: the Fund Custodian entrusts the Fund Service Agency to handle the accounting, valuation and review of the Fund on its behalf
Item;
6. The legal names and addresses of the Fund Manager and the Fund Custodian have changed;
7. The Fund Manager changes the actual control of shareholders holding more than 5% of the equity and the Fund Manager
Person change;
8. The fund raising period is extended or the fund raising is terminated in advance;
9. Senior management of the fund manager, fund manager and special fund custody department of the fund custodian
The person in charge changes;
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10. The directors of the fund manager have changed by more than 50% in the last 12 months
The main business personnel of the special fund custody department of the Fund Custodian and the Fund Custodian have changed by more than 100% in the last 12 months
Thirty percent;
11. Litigation or arbitration involving fund management business, fund property and fund custody business;
12. The fund manager or its senior managers and fund managers are subject to
In case of major administrative punishment or criminal punishment, the fund custodian or the head of its special fund custody department shall
Relevant behaviors of custody business are subject to major administrative and criminal penalties;
13. The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shares
Securities issued by the owner, the actual controller or a company with a significant stake in them or underwritten during the underwriting period
Unless otherwise stipulated by the CSRC;
14. Fund income distribution matters;
15. Accrual standard and calculation of management fee, custody fee, sales service fee, subscription fee, redemption fee, etc
The mode of presentation and rate have changed;
16. The valuation error of the net value of any type of fund unit reaches 0.5% of the net value of such type of fund unit;
17. The Fund begins to handle subscription and redemption;
18. The Fund is redeemed in large amount and postponed;
19. The Fund has successively made major redemptions and suspended the acceptance of redemption applications or deferred the payment of redemption funds;
20. The Fund suspends accepting subscription and redemption applications or re accepts subscription and redemption applications;
21. Adjust the setting of fund share categories;
22. After the Fund Manager has fulfilled the appropriate procedures, the Fund will launch new businesses or services;
23. Major events involving adjustment of fund subscription and redemption or potential impact on investor redemption
Hour;
24. The Fund Manager adopts the swing pricing mechanism for valuation;
25. When the fund manager uses the side pocket mechanism, liquidates specific assets, terminates the side pocket mechanism, etc
Hour;
26. The Fund Information Disclosure Obligor believes that it may affect the rights and interests of the Fund Unitholders or the Fund Units
Other matters that have a significant impact on prices or other matters specified by the CSRC.
（8） Clarification announcement
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During the duration of the Fund Contract, any information that appears in any public media or spreads in the market
The news may have a misleading impact on the price of fund units or cause large fluctuations, and may damage the
If the rights and interests of gold share holders are known, the relevant information disclosure obligor shall immediately disclose the information
Clarification.
（9） Resolution of the general meeting of fund share holders
The matters decided by the general meeting of fund share holders shall be reported to the CSRC for record and made public
Notice.
（10） Liquidation report
If the fund contract is terminated, the fund manager shall organize a fund assets liquidation team to review the fund assets in accordance with the law
Conduct liquidation and make liquidation report. 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.
（11） Investment in asset-backed securities
If the Fund invests in asset-backed securities, the Fund Manager shall include in the Fund's annual report and interim report
Disclose the total amount of asset-backed securities held by it, the proportion of the market value of asset-backed securities in the net assets of the fund and report
Details of all asset-backed securities during the reporting period. The Fund Manager shall disclose its holdings in the quarterly report of the Fund
The total amount of asset-backed securities, the proportion of the market value of asset-backed securities in the net assets of the fund and the market value at the end of the reporting period
Details of the top 10 asset-backed securities ranked by their value in the proportion of the fund's net assets.
（12） Investment in treasury bond futures
If the Fund invests in treasury bond futures contracts, the Fund Manager shall
The treasury bond futures transactions are disclosed in the regular reports such as the annual report and the prospectus (update), including
Including investment policies, positions, profits and losses, risk indicators, etc., and fully revealing the bond futures trading pairs
The impact of the overall risk of the Fund and whether it conforms to the established investment policies and investment objectives.
（13） Information disclosure of credit derivatives
If the Fund invests in credit derivatives, the Fund Manager shall make quarterly reports, interim reports and annual reports
The investment of credit derivatives is disclosed in such documents as regular reports and prospectus (update), including
Including investment strategies, positions, etc., and fully revealing the impact of investment in credit derivatives on the overall risk of the fund
And whether it conforms to the established investment objectives and strategies.
（14） Information disclosure during the implementation of the side pocket mechanism
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Where the Fund implements the side pocket mechanism, relevant information disclosure obligors shall, in accordance with laws and regulations
Information disclosure shall be conducted in accordance with the provisions of the Prospectus. See the provisions of the Prospectus for details.
（15） Other information specified by the CSRC.
6、 Information disclosure management
The Fund Manager and the Fund Custodian shall establish and improve the information disclosure management system and designate special departments
And senior managers are responsible for managing information disclosure.
The public disclosure of fund information by the fund information disclosure obligor shall comply with the relevant fund letter of the CSRC
Information disclosure content and format standards and other regulations.
The Fund Custodian shall, in accordance with the relevant laws and regulations, the provisions of the CSRC and the Fund Contract
Agree on the net value of fund assets, net value of various fund units and subscription of fund units prepared by the fund manager
Redemption price, regular fund report, updated prospectus, summary of fund product information, fund liquidation
The report and other publicly disclosed relevant fund information shall be reviewed and reviewed, and written or
Electronic confirmation.
The Fund Manager and the Fund Custodian shall choose one of the required newspapers to disclose this Fund Letter
Interest. The Fund Manager and the Fund Custodian shall submit the proposed disclosure to the electronic disclosure website of the CSRC
And ensure the authenticity, accuracy, integrity and timeliness of relevant information submitted.
The Fund Manager and the Fund Custodian may, in addition to disclosing information on the prescribed media according to law
Information shall be disclosed in other public media, but other public media shall not disclose information earlier than the specified media,
And the content of the same information disclosed on different media should be consistent.
Issuing audit reports and legal opinions for the fund information publicly disclosed by the fund information disclosure obligor
Professional institutions shall prepare working papers and keep relevant files at least after the termination of the Fund Contract
10 years.
In addition to disclosing information as required by laws and regulations, fund managers and fund custodians can also focus on investment
From the perspective of providing useful information for investors to make decisions, in order to ensure fair treatment of investors, not misleading investors
Improve the quality of information disclosure service independently on the premise of normal investment operation of the fund. Specific requirements shall
Comply with the relevant provisions of the CSRC and the self regulatory rules. If the above self disclosure causes information disclosure fees,
Such expenses shall not be disbursed from the fund assets.
7、 Storage and reference of information disclosure documents
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After the release of the information that must be disclosed according to law, the Fund Manager and the Fund Custodian shall comply with relevant laws
The laws and regulations stipulate that the information shall be kept in their respective residences for the public to consult and copy.
8、 The Fund Manager and the Fund Custodian may suspend or delay the disclosure of the Fund in the following circumstances
Related information:
1. Force majeure;
2. The securities and futures trading market involved in the fund investment is suspended on statutory holidays or for other reasons
Business hours;
3. Suspension of valuation as agreed in the fund contract;
4. Laws and regulations, fund contract or the situation stipulated by the CSRC.
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Part XIX Change and Termination of Fund Contract and Liquidation of Fund Assets
1、 Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian agree on the change and make an announcement.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
The resolution shall be announced in the specified media within two days after it takes effect.
2、 Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
3、 Liquidation of fund assets
1. Fund asset liquidation team: 30 working days from the date of termination of the Fund Contract
The Fund Manager shall organize the Fund Assets Liquidation Group and report to the CSRC
Fund liquidation shall be conducted under the supervision of.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants, lawyers in line with the Securities Law of the People's Republic of China, and China Securities Regulatory Commission
The personnel composition will be specified. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody and clearing of the Fund assets
Management, valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Property Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
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(4) Prepare liquidation report;
(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
4、 Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
5、 Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of the fund assets, all remaining assets after the liquidation of the fund assets shall be deducted from the
After the fund assets liquidation expenses, payment of taxes owed and settlement of fund debts
The proportion of fund units shall be distributed.
6、 Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The fund assets liquidation report has been approved in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the law firm shall issue a legal opinion
Later, it will be reported to the CSRC for filing and announcement. The fund assets liquidation announcement shall be submitted to the China Securities Regulatory Commission in the fund assets liquidation report
The Fund Assets Liquidation Group shall make an announcement within 5 working days after the Regulatory Commission records, and the Fund Assets Liquidation Group shall
When the liquidation report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper
On.
7、 Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for a period not less than the statutory minimum
Low deadlines.
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Part XX Liability for Breach of Contract
1、 The Fund Manager and the Fund Custodian violate the Fund Law in the process of performing their respective duties
And other laws and regulations or the Fund Contract
If damage is caused, they shall be liable for compensation for their respective acts according to law; Fund property due to joint action
Or fund share holders who cause damage shall bear joint and several liability for compensation, and only
Limited to direct losses. However, the party concerned shall be exempted from liability under the following circumstances:
1. Force majeure;
2. The Fund Manager and/or the Fund Custodian shall, in accordance with the then effective laws and regulations or the CSRC's
Losses caused by specified actions or omissions;
3. The Fund Manager exercises or does not exercise its investment right in accordance with the investment principles specified in the Fund Contract
Loss caused, etc.
2、 To protect fund share holders to the greatest extent in case of one or more parties' default
Under the premise of interests, if the Fund Contract can continue to be performed, it shall continue to be performed. Non defaulting party
It is obligated to take necessary measures in a timely manner within the scope of responsibilities to prevent the expansion of losses. Failure to take appropriate measures
If the losses are further expanded as a result of such actions, no claim may be made for compensation for the expanded losses. The non defaulting party prevents losses due to
The reasonable expenses incurred due to expansion shall be borne by the defaulting party.
3、 Business errors due to factors beyond the control of the Fund Manager and the Fund Custodian
Although the Fund Manager and the Fund Custodian have taken necessary, appropriate and reasonable measures for inspection
Failure to find errors or failure to correct errors due to the above reasons, resulting in fund assets
Or investors' losses, the Fund Manager and the Fund Custodian shall be exempted from liability for compensation. But the fund manager and the fund manager
The fund custodian shall actively take necessary measures to eliminate or mitigate the impact caused thereby.
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Part XXI Dispute Settlement and Applicable Law
The parties agree that all matters arising from or related to the Fund Contract
If the dispute is unwilling or cannot be settled through consultation or mediation, either party shall submit the dispute to
The Shenzhen International Arbitration Court shall conduct arbitration in accordance with the then effective arbitration rules of the Shenzhen International Arbitration Court. Place of arbitration
Shenzhen. The arbitral award is final and binding on all parties. Unless otherwise awarded by arbitration
The arbitration fee shall be borne by the losing party.
During the dispute settlement period, the Fund Manager and the Fund Custodian shall strictly abide by their respective responsibilities and continue to be faithful and diligent
Fulfill the obligations stipulated in the Fund Agreement and the Custody Agreement diligently and responsibly, and safeguard the legitimacy of the Fund Unitholders
Equity.
The Fund Contract is governed by the laws of China (for the purpose of this Fund Contract, Hong Kong and Macao are excluded here
The laws of the Special Administrative Region and Taiwan shall govern and be interpreted in accordance with them.
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Part XXII Effect of Fund Contract
The Fund Contract is a legal document that stipulates the rights and obligations between the parties to the Fund Contract.
1. The Fund Contract has been sealed by the Fund Manager and the Fund Custodian and legally represented by both parties
Signature (or seal) of the signer or authorized agent, and the fund manager shall submit to the CSRC after the completion of the offering
Go through the fund filing procedures and take effect after being confirmed in writing by the CSRC.
2. The term of validity of the Fund Contract shall be from the date of its entry into force to the time when the liquidation results of the Fund assets are reported to the CSRC
Until the date of filing and announcement.
3. From the effective date of the Fund Contract, the Fund Manager, Fund Custodian and Fund Units
All parties to the Fund Contract including the holder shall have the same legal binding force.
4. The original of the Fund Contract is in triplicate. In addition to one copy submitted to the relevant regulatory authority
The Fund Custodian and the Fund Custodian each hold one copy, each of which has the same legal effect.
5. The Fund Contract can be printed in a volume for investors to sell in the Fund Manager, Fund Custodian
Check the office and business premises of the institution.
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Part XXIII Other Matters
If there are any matters not covered in the Fund Contract, the parties to the Fund Contract shall comply with relevant laws and regulations
Negotiate.
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Part XXIV Summary of the Fund Contract
1、 Rights and obligations of fund share holders, fund managers and fund custodians
（1） Rights and obligations of the Fund Manager
1. According to the Fund Law, the Operation Measures and other relevant provisions
Including but not limited to:
(1) Raising funds according to law;
(2) As of the effective date of the Fund Contract, it shall be used independently in accordance with laws and regulations and the Fund Contract
And manage the fund assets;
(3) Collect fund management fees in accordance with the Fund Contract and the provisions of laws and regulations or approved by the CSRC
Other approved expenses;
(4) Sale of fund shares;
(5) Convene the general meeting of fund unit holders in accordance with the provisions;
(6) Supervise the Fund Custodian in accordance with the Fund Contract and relevant laws and regulations
If the person violates the Fund Contract and relevant national laws and regulations, it shall be reported to the CSRC and other regulatory departments
And take necessary measures to protect the interests of fund investors;
(7) Nominate a new Fund Custodian when the Fund Custodian changes;
(8) Select and replace the fund sales agency, supervise and deal with the relevant acts of the fund sales agency
Reason;
(9) Act as or entrust other qualified institutions to act as fund registration agencies to handle fund registration business
And obtain the fees specified in the Fund Contract;
(10) Determine the distribution plan of fund income in accordance with the Fund Contract and relevant laws and regulations;
(11) Refuse or suspend acceptance of subscription, redemption and conversion within the scope agreed in the Fund Contract
apply;
(12) Exercise relevant rights against the invested company for the benefit of the Fund in accordance with laws and regulations
Interests Exercise the rights arising from the investment of fund assets in securities;
(13) Financing the Fund for the benefit of the Fund in accordance with the law, if permitted by laws and regulations;
(14) Exercising litigation rights on behalf of fund share holders in the name of the fund manager or
To commit other legal acts;
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(15) Select and replace law firms, accounting firms, securities/futures brokers or others
External institutions providing services by the Fund;
(16) Formulate and adjust relevant fund subscription and application on the premise of compliance with relevant laws and regulations
Business rules such as purchase, redemption, conversion, fixed investment, custody transfer and non transaction transfer;
(17) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Manager include
Including but not limited to:
(1) Raise funds according to law, handle or entrust other institutions recognized by the CSRC to handle
The sale, subscription, redemption and registration of fund units;
(2) Handling the fund filing procedures;
(3) From the effective date of the Fund Contract, manage and operate in the principle of good faith, prudence and diligence
Use of fund assets;
(4) Allocate sufficient personnel with professional qualifications to carry out fund investment analysis and decision-making, so as to be professional
Management and operation of fund assets;
(5) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
To ensure that the assets of the fund under management and the assets of the fund manager are mutually independent
Separate management, separate bookkeeping and securities investment;
(6) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property shall seek benefits for itself and any third party, and shall not entrust any third party to operate the fund property;
(7) Accept the supervision of the Fund Custodian according to law;
(8) Take appropriate and reasonable measures to calculate the subscription, purchase, redemption and cancellation prices of fund units
The method shall comply with the provisions of the Fund Contract and other legal documents, and the net value of the Fund shall be calculated and disclosed in accordance with the relevant provisions
Interest, determining the price of subscription and redemption of fund units;
(9) Conduct fund accounting and prepare fund financial accounting reports;
(10) Prepare quarterly report, interim report and annual report;
(11) Perform information disclosure in strict accordance with the Fund Law, the Fund Contract and other relevant regulations
Disclosure and reporting obligations;
(12) Keep the business secrets of the fund, and do not disclose the fund investment plan, investment intention, etc. Except Fund
Unless otherwise specified in the Law, the Fund Contract and other relevant provisions, the fund information shall be
Confidentiality, not divulging to others, but at the request of regulatory authorities, judicial authorities and other competent authorities, or due to trial
Except for the circumstances that external professional consultants such as legal consultants need to provide services;
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(13) Determine the fund income distribution plan as agreed in the Fund Contract, and timely hold
Someone distributes the fund income;
(14) Accept the application for subscription and redemption as required, and pay the redemption amount in time and in full;
(15) Convene the holding of fund units in accordance with the Fund Law, the Fund Contract and other relevant provisions
The National People's Congress or the Fund Custodian and the Fund Unitholders shall convene the Fund Unitholders' Meeting in accordance with the law;
(16) Keep accounting books, statements, records and others of fund property management business activities as required
Relevant data shall be kept for no less than the statutory minimum period;
(17) Ensure that all documents or materials required to be provided to fund investors are issued within the specified time, and
And ensure that investors can check the information about the fund at any time according to the time and method specified in the Fund Contract
Relevant public materials, and obtain copies of relevant materials at reasonable cost;
(18) Organize and participate in the fund assets liquidation team, and participate in the custody, clearing and evaluation of fund assets
Price, realization and distribution;
(19) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And notify the Fund Custodian;
(20) Loss or damage to fund assets due to violation of the Fund Contract
In the case of legal rights and interests, it shall bear the liability for compensation, and its liability for compensation shall not be exempted by its retirement;
(21) Supervise the Fund Custodian to perform its obligations in accordance with laws and regulations and the Fund Contract,
When the Fund Custodian violates the Fund Contract and causes losses to the Fund property, the Fund Manager shall
The interests of the holders shall be recovered from the Fund Custodian;
(22) When the fund manager entrusts its obligations to a third party, it shall deal with the third party
Responsibility for the conduct of fund affairs;
(23) In the name of the Fund Manager, on behalf of the Fund Unitholders, exercise litigation rights or implement
Other legal acts;
(24) If the Fund Manager fails to meet the filing conditions of the Fund during the raising period, the Fund Contract shall not
It can take effect. The fund manager shall bear all the raising costs and add the raised funds to the current deposit of the bank for the same period
The interest shall be returned to the fund subscriber within 30 days after the end of the fund raising period;
(25) Implement the effective resolutions of the general meeting of fund share holders;
(26) Establish and maintain the register of fund unit holders;
(27) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
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（2） Rights and obligations of the Fund Custodian
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of the Fund Custodian include
Including but not limited to:
(1) As of the effective date of the Fund Contract, it shall be safe in accordance with laws, regulations and the provisions of the Fund Contract
Custody of fund assets;
(2) Obtain fund custody fees, laws and regulations or regulatory approval in accordance with the Fund Contract
Other approved expenses;
(3) To supervise the investment operation of the Fund Manager in the Fund, and if it is found that the Fund Manager has violated the Basic Law of the People's Republic of China
And national laws and regulations, causing significant losses to the fund property and the interests of other parties
Shall be reported to the CSRC and necessary measures shall be taken to protect the interests of fund investors;
(4) According to relevant market rules, open capital account, securities account and other investment accounts for the fund
Account, clearing securities and futures trading funds for the Fund;
(5) Propose to convene or convene a general meeting of fund unit holders;
(6) Nominate a new fund manager when the fund manager changes;
(7) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
2. According to the Fund Law, the Operation Measures and other relevant provisions, the obligations of the Fund Custodian include
Including but not limited to:
(1) Holding and safekeeping fund assets in the principle of good faith and diligence;
(2) A special fund custody department shall be set up, with satisfactory business premises and sufficient
Qualified full-time personnel familiar with fund custody business, responsible for fund property custody matters;
(3) Establish and improve internal risk control, supervision and audit, financial management and personnel management systems,
Ensure the safety of the fund property, and ensure that the fund property under its custody is different from the fund custodian's own property
The fund assets of are mutually independent; Set up separate accounts for different funds under custody, conduct independent accounting and separate accounts
Management to ensure that different funds are independent from each other in terms of account setting, fund transfer, account book recording, etc;
(4) Except in accordance with the Fund Law, the Fund Contract and other relevant provisions, the Fund shall not be used
The property seeks benefits for itself and any third party, and may not entrust a third party to trust the fund property;
(5) Custody of major contracts and certificates related to the Fund signed by the Fund Manager on behalf of the Fund
Syndrome;
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(6) The fund account, securities account and other accounts required for investment of the fund property shall be opened in accordance with the provisions
As agreed in the Fund Contract, clearing and delivery shall be handled in a timely manner according to the investment instructions of the Fund Manager
Should;
(7) In addition to the Fund Law, the Fund Contract and other relevant provisions
Unless otherwise specified, the fund information shall be kept confidential before public disclosure and shall not be disclosed to others
As required by competent authorities such as the organization and the judiciary, or as required by services provided by external professional consultants such as audit and law consultants
Except in cases to be provided;
(8) Review and review the net asset value of the fund calculated by the fund manager and the fund shares of various fund units
Net amount, subscription and redemption price of fund units;
(9) To handle information disclosure related to fund custody business activities;
(10) To give opinions on the financial and accounting reports, quarterly reports, interim reports and annual reports of the Fund,
Explain whether the Fund Manager operates in all important aspects in strict accordance with the provisions of the Fund Contract;
If the Fund Manager fails to implement the provisions of the Fund Contract, it shall also state that the Fund Custodian is
Whether appropriate measures have been taken;
(11) Keep records, account books, statements and other relevant materials of fund custody business activities
The deadline shall not be less than the statutory minimum deadline;
(12) Receive and keep the names of fund unit holders from the fund manager or its entrusted registration institution
Volume;
(13) Prepare relevant account books as required and check with the fund manager;
(14) Pay fund income to fund share holders in accordance with the instructions of the fund manager or relevant regulations
And redemption payments;
(15) In accordance with the Fund Law, the Fund Contract and other relevant provisions, call for the holding of fund units
The general meeting is held or the general meeting of fund unit holders is convened in accordance with the law in cooperation with the fund manager and fund unit holders;
(16) Supervise the investment operation of the Fund Manager in accordance with laws and regulations and the provisions of the Fund Contract;
(17) Participate in the fund assets liquidation team, and participate in the custody, liquidation, valuation and realization of fund assets
And distribution;
(18) Timely report to China Securities Regulatory Commission when faced with dissolution, legal revocation or legal declaration of bankruptcy
And the banking regulatory authority, and notify the fund manager;
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(19) In case of any loss of fund property due to violation of the Fund Contract, it shall be liable for compensation
The liability for compensation shall not be exempted due to his retirement;
(20) Supervise the Fund Manager to perform its obligations in accordance with laws and regulations and the Fund Contract,
If the Fund Manager causes losses to the Fund property due to violation of the Fund Contract, it shall be the interest of the Fund Unitholders
Claim compensation from the fund manager;
(21) Implement the effective resolutions of the general meeting of fund share holders;
(22) Other obligations stipulated by laws and regulations, CSRC and the Fund Contract.
（3） Rights and obligations of fund share holders
The fund investor's holding of the fund shares of the Fund shall be deemed as the recognition and acceptance of the Fund Contract
Yes, the fund investor will become the holder of the fund unit when he/she obtains the fund unit in accordance with the Fund Contract
And the parties to the Fund Contract until they no longer hold the Fund units of the Fund. Fund share holding
As a party to the Fund Contract, it is not necessary to sign or seal the Fund Contract in writing
Pieces.
Unless otherwise stipulated in laws and regulations or in the fund contract, each fund unit of the same category has
They have equal legal rights and interests.
1. According to the Fund Law, the Operation Measures and other relevant provisions, the rights of fund share holders
Benefits include but are not limited to:
(1) Share the fund property income;
(2) Participate in the distribution of the remaining fund assets after liquidation;
(3) Transferring or applying for redemption of fund units held by them according to law;
(4) Convene a general meeting of fund unit holders or a general meeting of fund unit holders as required
meeting;
(5) Attend or appoint a representative to attend the general meeting of fund unit holders
Exercise the right to vote on matters under consideration;
(6) Consulting or copying publicly disclosed fund information;
(7) To supervise the investment operation of the Fund Manager;
(8) The legal rights and interests of the fund manager, fund custodian and fund service institution shall be harmed in accordance with
Legal action or arbitration;
(9) Other rights stipulated by laws and regulations, the CSRC and the Fund Contract.
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2. In accordance with the Fund Law, the Operation Measures and other relevant provisions
Services include but are not limited to:
(1) Carefully read and abide by the Fund Contract, Prospectus, Fund product information summary and other letters
Information disclosure documents;
(2) Understand the fund products invested, understand their own risk tolerance, and independently judge the fund investment
Value, make investment decisions independently and bear investment risks independently;
(3) Pay attention to fund information disclosure, exercise rights and perform obligations in a timely manner;
(4) Pay the fund subscription and subscription amount and the fees specified in laws and regulations and the Fund Contract;
(5) Undertaking fund losses or terminating the Fund Contract within the scope of fund units held by them
Limited liability;
(6) Do not engage in any activities that may damage the legitimate rights and interests of the Fund and other parties to the Fund Contract;
(7) Implement the effective resolutions of the general meeting of fund share holders;
(8) Return the improper gains obtained for any reason in the course of fund transactions;
(9) Other obligations stipulated by laws and regulations, the CSRC and the Fund Contract.
2、 Procedures and Rules for Convening, Deliberating and Voting of the General Meeting of Fund Unitholders
The general meeting of fund unit holders shall be composed of fund unit holders, who are legally authorized by the fund unit holders
Representatives have the right to attend and vote on behalf of fund share holders. Unless otherwise specified by laws and regulations or the Fund
Unless otherwise agreed, each fund unit held by the fund unit holder shall have equal voting rights. If the
If there are other provisions on the general meeting of fund share holders in the relevant laws and regulations, the then effective laws and regulations shall prevail.
The National People's Congress of the holders of Fund units does not have a daily institution. During the duration of the Fund
For operational needs, the general meeting of fund share holders can add daily institutions, and the establishment and operation of daily institutions should
It shall be conducted in accordance with relevant laws and regulations and the provisions of the CSRC.
（1） Reason for convening
1. Unless otherwise specified by laws and regulations and the CSRC, when one of the following events occurs or needs to be decided
A general meeting of fund share holders shall be held:
(1) Terminate the Fund Contract, unless otherwise agreed in the Fund Contract;
(2) Change the fund manager;
(3) Change the Fund Custodian;
(4) Change the operation mode of the fund;
(5) Adjust the remuneration standards of the Fund Manager and the Fund Custodian or raise the sales service rate;
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(6) Change of fund category;
(7) The merger of the Fund with other funds;
(8) Change the investment objective, scope or strategy of the Fund;
(9) Change the procedures of the general meeting of fund unit holders;
(10) The Fund Manager or the Fund Custodian requests to convene a general meeting of Fund Unitholders;
(11) Funds that individually or collectively hold more than 10% (including 10%) of the total fund shares
Unit holders (calculated based on the fund units on the day when the Fund Manager receives the proposal, the same below) on the same matter
Request in writing to convene a general meeting of fund share holders;
(12) Other matters that have a significant impact on the rights and obligations of the parties to the fund contract;
(13) Other funds shall be convened as required by laws and regulations, the Fund Contract or the CSRC
Matters relating to the general meeting of holders.
2. Within the scope stipulated by laws and regulations and the Fund Contract and for the interests of fund share holders
Provided that there is no material adverse effect, the following circumstances may be amended after consultation between the Fund Manager and the Fund Custodian
It is unnecessary to hold a general meeting of fund share holders:
(1) Collection of fund fees increased as required by laws and regulations;
(2) Adjust the subscription rate, lower the redemption rate, sales service rate or change the charging party of the Fund
Type or adjust the setting of fund share categories, and adjust the classification methods and rules of fund shares;
(3) The Fund Contract should be modified due to changes in corresponding laws and regulations;
(4) The amendment to the Fund Contract has no material adverse effect on the interests of the Fund Unitholders or the amendment
The change does not involve significant changes in the rights and obligations of the parties to the Fund Contract;
(5) The fund manager, registration institution and fund sales institution adjust relevant subscription, subscription, redemption
Business rules for conversion, fund transaction, non transaction transfer, custody transfer, etc;
(6) After the Fund Manager performs the appropriate procedures, the Fund launches new businesses or services;
(7) If it is not necessary to hold a general meeting of fund share holders in accordance with laws and regulations and the Fund Contract
His situation.
（2） Convener and convening method
1. Unless otherwise stipulated in laws and regulations or the Fund Agreement, the general meeting of fund share holders shall be held by
The fund manager shall convene the meeting.
2. If the Fund Manager fails to convene the meeting or cannot convene the meeting as required, the Fund Custodian shall convene the meeting.
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3. If the Fund Custodian deems it necessary to convene a general meeting of Fund Unitholders, it shall report to the Fund Manager
Make a written proposal. The Fund Manager shall decide whether to convene the meeting or not within 10 days after receiving the written proposal,
And notify the Fund Custodian in writing. If the fund manager decides to convene the meeting, it shall start from the date of issuing a written decision
Held within 60 days; If the Fund Manager decides not to convene the meeting and the Fund Custodian still considers it necessary, it shall
It shall be convened by the Fund Custodian on its own and notified to the Fund Management within 60 days from the date of issuing the written decision
The Fund Manager shall cooperate.
4. The fund share holders representing more than 10% (including 10%) of the fund shares shall write on the same matter
To request the convening of a general meeting of fund share holders, a written proposal shall be submitted to the fund manager. Fund manager
It shall decide whether to convene the meeting or not within 10 days from the date of receiving the written proposal, and inform the proposed fund in writing
Unit holders' representatives and fund custodians. If the fund manager decides to convene the meeting, it shall issue a written decision by itself
Held within 60 days from the date of; The Fund Manager decides not to convene, representing more than 10% of the Fund shares (including
10%) of the Fund Unitholders who still think it necessary to hold the meeting shall submit a written request to the Fund Custodian
Discussion. The Fund Custodian shall decide whether to convene the meeting or not within 10 days from the date of receipt of the written proposal and notify it in writing
Representatives of the Fund Unitholders and the Fund Manager who put forward the proposal; If the Fund Custodian decides to convene the meeting, it shall
The Fund Manager shall, within 60 days from the date of issuing the written decision, convene and notify the Fund Manager, who shall cooperate.
5. Fund share holders representing more than 10% (including 10%) of fund shares require the same matter
If a general meeting of fund unit holders is held but neither the fund manager nor the fund custodian convenes it, either alone or jointly
Fund share holders representing more than 10% (including 10%) of the Fund shares have the right to convene on their own, and at least
Report to the CSRC for filing 30 days in advance. Fund unit holders convene fund unit holders by themselves according to law
If yes, the Fund Manager and the Fund Custodian shall cooperate and shall not obstruct or interfere.
6. The convener of the Fund Unitholders' Meeting shall be responsible for selecting and determining the time, place, method and right of the meeting
Registration date.
（3） Time, content and method of notice for convening the general meeting of fund unit holders
1. To convene a general meeting of fund share holders, the convener shall, 30 days before the meeting
Notice. The notice of the general meeting of fund share holders shall at least contain the following contents:
(1) Time, place and form of the meeting;
(2) Matters to be considered, procedures and voting methods at the meeting;
(3) The registration date of the rights and interests of fund unit holders who are entitled to attend the general meeting of fund unit holders;
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(4) Requirements for the content of the authorization certificate (including but not limited to the identity, authority and proxy of the agent)
The time and place of delivery;
(5) Name and telephone number of the permanent contact person for conference affairs;
(6) Documents that must be prepared and procedures that must be performed by the attendees;
(7) Other matters to be notified by the convener.
2. In case of communication meeting and voting, the convener of the meeting shall decide to notify the meeting
The specific means of communication adopted by the National People's Congress of the Fund Unitholders, the entrusted notary authority and
Contact information and contact person, deadline for sending voting opinions and collection method.
3. If the convener is the fund manager, it shall also notify the fund custodian in writing to check the statement at the designated place
Supervise the vote counting of the decision; If the convener is the fund custodian, it shall notify the fund management in writing separately
People go to the designated place to supervise the counting of votes; If the convener is the fund share holder, it shall
The Fund Manager and the Fund Custodian shall be notified in writing to go to the designated place to supervise the counting of votes
Du. If the Fund Manager or the Fund Custodian refuses to send representatives to supervise the counting of votes
The counting effect of the voice vote.
（4） Ways of Fund Unitholders Attending the Meeting
The general meeting of fund share holders may be held by means of on-site meeting, communication meeting or laws, regulations, supervision
The meeting shall be held in other ways permitted by the governing body, and the convening method shall be determined by the convener of the meeting.
1. On site meeting. Appointed by the Fund Unitholders in person or by proxy
Representatives shall attend the on-site meeting. The authorized representatives of the Fund Manager and the Fund Custodian shall attend the fund units as nonvoting delegates
The voting effect shall not be affected if the Fund Manager or the Fund Custodian does not send representatives to attend the shareholders' meeting. present
The agenda of the general meeting of Fund Unitholders can be held when the following conditions are met at the same time:
(1) Certificates of fund units held by those who attend the meeting in person, and principals issued by those entrusted to attend the meeting
The certificate of holding fund shares and the certificate of proxy voting authorization of the trustor comply with laws and regulations
The provisions of the Contract and the notice of the meeting, and the vouchers for holding fund shares and the registration held by the fund manager
Data consistency;
(2) After verification, the voucher presented by the participants for holding fund units on the equity registration date shows that,
The effective fund units shall not be less than one-half (including one-half) of the total fund units of the Fund on the equity registration date
1） . If the effective fund units represented by the participants on the equity registration date are less than those of the Fund on the equity registration date
One half of the total fund units, the convener may hold the meeting of fund unit holders at the time originally announced
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The general meeting of fund unit holders shall be reconvened three months later and six months later on the matters originally scheduled for consideration.
The valid fund units represented by the attendees of the reconvened fund unit holders' meeting on the equity registration date shall
Not less than one-third (including one-third) of the total fund shares of the Fund on the equity registration date.
2. Correspondence meetings. Correspondence meeting means that the Fund Unitholders submit their votes on voting matters in writing
Form or other means specified in the announcement of the meeting shall be delivered to the address designated by the convener before the deadline for voting.
The communication meeting shall vote in writing or in other ways specified in the announcement of the meeting.
If the following conditions are met at the same time, the method of communication meeting shall be deemed as effective:
(1) After the convener of the meeting publishes the notice of the meeting as agreed in the Fund Contract, within 2 working days
Continue to publish relevant advisory announcements;
(2) The convener shall notify the fund custodian in accordance with the fund contract (if the fund custodian is the convener,
The fund manager) to the designated place to supervise the counting of votes. The convener of the meeting is in the fund
Under the supervision of the custodian (or the fund manager if the fund custodian is the convener) and the notary office
Collect the voting opinions of fund share holders in the manner specified in the notice of the meeting; Fund Custodian or Fund Custodian
If the manager fails to participate in the collection of voting opinions upon notification, the voting effect shall not be affected;
(3) Fund units that directly issue voting opinions or authorize others to issue voting opinions
The fund units held by the holder shall not be less than half (including half) of the total fund units on the equity registration date
One); If I directly give a vote or authorize others to give a vote on behalf of the fund unit holding
If the fund units held by the convener are less than half of the total fund units on the equity registration date, the convener may
The original decision shall be made within 3 months and 6 months after the time of the fund unit holders' meeting originally announced
The general meeting of fund unit holders shall be reconvened on the agenda. The reconvened general meeting of fund unit holders shall include
Directly issue voting opinions or authorization on behalf of the holders of more than one-third (including one-third) of the fund shares
Voting opinions issued by other representatives;
(4) Fund share holders or entrusted representatives who directly issue voting opinions in Item (3) above
The agent who issues the voting opinions, the certificate of holding the fund units submitted at the same time, and the resolution of the trustee to issue the statement
See the certificate of fund shares held by the principal and the proxy voting authorization certificate of the principal issued by the agent
It clearly complies with the provisions of laws and regulations, the Fund Contract and the notice of the meeting, and is consistent with the records of the fund registration authority
Symbol.
3. The Fund Unitholders of the Fund shall not violate the laws, regulations and provisions of the regulatory authority
The agent may also be authorized to attend the general meeting of fund share holders by other means
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Written, network, telephone, SMS or other means, the specific way shall be determined by the convener of the meeting and communicated at the meeting
Listed in the knowledge; The Fund may also adopt other off-site methods or on-site parties
The general meeting of fund share holders shall be held in a combination of on-site and off-site methods, and the meeting procedures shall be compared with on-site meetings
The procedures of the meeting and communication are carried out. Fund share holders may use written, online, telephone
The specific method of voting by SMS or other means shall be determined by the convener of the meeting and listed in the meeting notice.
（5） Discussion content and procedure
1. Discussion content and proposal right
The contents of the proceedings are major matters that affect the interests of fund share holders, such as the major issues of the Fund Contract
Modify, decide to terminate the Fund Contract, change the Fund Manager, change the Fund Custodian, and
Financial merger, other matters specified in laws and regulations and the Fund Contract, and matters deemed necessary by the convener of the meeting
Other matters discussed at the general meeting of fund share holders.
Modification of the original proposal after the convener of the general meeting of fund unit holders sends the notice of convening the meeting
It shall be announced in time before the general meeting of fund unit holders is held.
The meeting of the fund unit holders' congress may not vote on the contents of the proceedings that have not been announced in advance.
2. Proceedings
(1) On site meeting
In the form of on-site meeting, the presider of the meeting shall first determine the
The scrutineers shall be determined and announced, and then the presider of the meeting shall read out the proposal, vote after discussion, and form
Meeting resolution. The presider of the meeting is the representative authorized by the fund manager to attend the meeting
If the Fund Custodian fails to preside over the meeting, the representative authorized by the Fund Custodian to attend the meeting shall preside over the meeting; If the base
If neither the authorized representative of the Fund Manager nor the authorized representative of the Fund Custodian can preside over the meeting
One fund share shall be elected from more than 50% (including 50%) of the voting rights held by gold share holders and agents
The fund holder shall be the chairman of the general meeting of fund unit holders. Refusal of the Fund Manager and the Fund Custodian
Failure to attend or preside over the general meeting of fund unit holders does not affect the resolution made at the general meeting of fund unit holders
effect.
The convener of the meeting shall prepare the signature book of the attendees. The signature book indicates the surname of the participants
Name (or unit name), ID document number, fund shares held or represented with voting rights
Name (or unit name) and contact information of the trustor.
(2) Communication meeting
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In the case of a communication meeting, the convener shall first announce the proposal 30 days in advance, and then vote on it
Within 2 working days after the deadline, the convener shall count all valid votes under the supervision of the notary office
The resolution is formed under the supervision of the certification authority.
（6） Voting
Each fund unit held by the fund unit holder has one vote.
The resolutions of the general meeting of fund share holders can be divided into general resolutions and special resolutions:
1. The general resolution shall be subject to the form held by the fund share holders or their agents attending the meeting
More than half (including half) of the voting rights are valid only after passing; Except for the requirements specified in item 2 below
Matters other than those passed by special resolution shall be passed by general resolution.
2. Special resolution, which shall be held by fund share holders or their agents attending the meeting
It can be made only after being approved by more than two-thirds (including two-thirds) of the voting rights. Unless otherwise specified by laws and regulations or
Unless otherwise agreed in the fund contract, change the operation mode of the fund, change the fund manager or fund custodian
The termination of the Fund Contract and the merger of the Fund with other funds shall be effective only when a special resolution is passed.
The general meeting of fund share holders shall vote by open ballot.
When voting by means of communication, unless there is sufficient evidence to the contrary in the counting of votes
Investors who submit the voting documents confirming the identity of investors as specified in the notice of the meeting shall be deemed to be effectively present,
The voting opinions that apparently meet the requirements of the notice of meeting shall be deemed as valid voting, and the voting opinions are ambiguous or conflicting
Dun shall be deemed as abstention from voting, but shall be included in the fund represented by the fund share holder who issues the voting opinion
Total number of shares.
The proposals of the general meeting of fund share holders or the parallel topics in the same proposal shall be separated
Review and vote item by item.
（7） Vote counting
1. On site meeting
(1) If the general meeting is convened by the Fund Manager or the Fund Custodian, the general meeting of the Fund Unitholders shall be presided over
At the beginning of the meeting, it shall be announced that two fund share holders and agents present at the meeting shall elect
The representative of the gold share holder and a supervisor authorized by the convener of the meeting jointly act as the scrutineer; If the meeting is held by
Although the Fund Unitholders themselves or the general meeting is convened by the Fund Manager or the Fund Custodian
If the Fund Manager or Fund Custodian fails to attend the meeting, the chairperson of the Fund Unitholders' meeting shall be present
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At the beginning of the meeting, it was announced that three representatives of fund share holders would be elected from among the fund share holders present at the meeting
Serve as scrutinizer. The absence of the Fund Manager or the Fund Custodian from the meeting shall not affect the effectiveness of vote counting.
(2) The scrutineers shall count the votes immediately after the fund share holders vote and the chairman of the meeting shall act as
The results of the vote counting will be announced on the spot.
(3) If the chairman of the meeting or the fund share holder or agent has different opinions on the voting results submitted
The number of votes demanded may be counted again immediately after the announcement of the voting results. The scrutineer shall enter
The line shall be re counted only once. After the re counting, the presider of the conference shall announce the re counting on the spot
New counting results.
(4) The vote counting process shall be notarized by a notary office, and the fund manager or fund custodian refuses to attend
The validity of counting votes shall not be affected by the decision of the General Assembly.
2. Communication meeting
In the case of a communication meeting, the method of counting votes is: two supervisors authorized by the convener of the meeting are based
Supervision of the authorized representative of the Fund Custodian (or the authorized representative of the Fund Manager if convened by the Fund Custodian)
And the notary office shall notarize the counting process. Fund Manager or Fund Custodian
Refusal to send representatives to supervise the counting of votes shall not affect the counting and voting results.
（8） Effectiveness and announcement
The convener shall report the resolution of the general meeting of fund unit holders to the CSRC within 5 days from the date of adoption
It will be filed.
The resolution of the general meeting of fund share holders shall take effect from the date of voting.
The resolution of the general meeting of fund share holders shall be announced on the specified media within 2 days from the effective date. If mining
Vote by means of communication. When announcing the resolution of the general meeting of fund share holders, the notarial certificate must be completed
The text, the name of the notary office and the notary public will be announced together.
The Fund Manager, the Fund Custodian and the Fund Unitholders shall implement the effective holding of fund units
Resolution of the General Meeting of the People. The effective resolution of the general meeting of fund unit holders shall be applied to all fund unit holders and funds
The Manager and the Fund Custodian are both binding.
（9） Special agreement of the general meeting of fund share holders during the implementation of the side pocket mechanism
If the Fund implements the side pocket mechanism, the proportion of relevant fund shares or voting rights refers to the holding of main pocket shares
The fund shares or voting rights held or represented by the person and the side pocket unit holder respectively meet these proportions, but if
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If the matters to be convened and deliberated at the relevant fund unit holders' meeting do not involve the side pocket account, it only refers to the main pocket units
The fund shares or voting rights held or represented by the holder conform to such proportion:
1. The Fund Unitholders need to exercise the right to propose, convene and nominate on behalf of the relevant individual or aggregate representatives
More than 10% (including 10%) of fund shares;
2. The fund units represented by the participants in the on-site meeting on the equity registration date shall not be less than that of the Fund in Quanyideng
One half (including one half) of the relevant fund shares on the record date;
3. Fund units that directly issue voting opinions or authorize others to issue voting opinions in correspondence meetings
The fund units held by the holder shall not be less than half (including two) of the relevant fund units on the equity registration date
1/1);
4. When the Fund Unitholders who participate in the voting of the General Meeting of Fund Unitholders hold small Fund Units
On the equity registration date, one-half of the relevant fund units, the fund unit holders originally announced by the convener
Fund units reconvened within 6 months and 3 months after the date of the meeting on the matters originally scheduled for consideration
The general meeting of shareholders shall have participants representing more than one-third (including one-third) of the relevant fund units
And or authorize others to participate in the voting of the general meeting of fund share holders;
5. More than 50% of the voting rights of fund share holders and proxies attending the meeting
(50% included) elect a Fund Unitholder to preside over the general meeting of Fund Unitholders
People;
6. General resolutions shall be subject to half of the voting rights held by fund share holders or their proxies attending the meeting
More than one half (including one half) passed;
7. The special resolution shall be subject to three votes held by the fund share holders or their agents attending the meeting
More than two thirds (including two thirds) passed.
During the implementation of the side pocket mechanism, the matters considered by the general meeting of fund share holders involve the main pocket account and the side pocket account
The fund share holders of the main pocket account and side pocket account shall vote respectively
Each fund unit in the account has equal voting rights. If the voting matter does not involve the side pocket account, the side pocket
The account shares have no voting rights.
During the implementation of the side pocket mechanism, the relevant provisions on the general meeting of fund share holders shall be subject to the special provisions of this section
The content shall prevail, and the provisions not specified in this section shall apply to the relevant provisions above.
（10） This part deals with the reasons, conditions and procedures for convening the general meeting of fund share holders
Voting conditions and other provisions, which directly refer to laws and regulations or regulatory rules, such as future laws and regulations
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Or the modification of regulatory rules results in the cancellation or change of relevant contents or the addition of new laws, regulations or regulatory rules
In the case of the shareholders' meeting mechanism, the fund manager may directly modify and
The adjustment or supplement does not need to be reviewed at the general meeting of fund share holders.
3、 Principle of fund income distribution
1. There are two ways of income distribution of the Fund: cash dividends and dividend reinvestment. Investors can choose
Cash dividends or reinvestment of cash dividends automatically into fund units of corresponding categories; If the investor does not
Yes, the default income distribution method of the Fund is cash dividends; Fund share holders can hold
Different income distribution methods shall be selected for Class A and Class C fund units; Choose dividend reinvestment
The share of dividend reinvestment is free of subscription fees; Minimum holding period of fund units formed by dividend reinvestment
Lock according to the original fund shares;
2. After the distribution of fund income, the net value of various fund units cannot be lower than the par value, that is, the distribution of fund income
The net value of any type of fund unit on the base date shall not be lower after deducting the income distribution amount of such type of fund unit per unit
At par;
3. Since Class A fund units of the Fund do not charge sales service fees, Class C fund units charge sales
Service fees, and the distributable profits corresponding to each fund share category will be different. The same category of the Fund
Each fund unit has the same right of distribution;
4. If laws and regulations or regulatory authorities have other provisions, such provisions shall prevail.
Without violating the provisions of laws and regulations and the fund contract, and without material benefit to the fund unit holders
Under the premise of adverse effects, the Fund Manager may adjust the distribution principle and payment method of the Fund's income
It is not necessary to hold a general meeting of fund share holders, but the change shall be announced in the specified media before the implementation date of the change.
4、 Withdrawal, payment method and proportion of expenses related to fund property management and utilization
（1） Types of fund fees
1. Management fees of the Fund Manager;
2. Custody fees of the Fund Custodian;
3. Sales service fees accrued for Class C fund units of the Fund;
4. Information disclosure fees related to the Fund after the Fund Contract takes effect;
5. Accounting fees, attorney fees, legal fees and arbitration fees related to the Fund after the Fund Contract takes effect
Fees;
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6. Expenses for the general meeting of fund share holders (including but not limited to venue fees, accountant fees, attorney fees and
Notarization fee);
7. Transaction costs of securities, futures, credit derivatives, etc. of the Fund;
8. Bank transfer fees of the Fund;
9. Fund account opening fees and account maintenance fees;
10. In accordance with the relevant provisions of the State and the Fund Contract
His expenses.
（2） Fund expense accrual method, accrual standard and payment method
1. Management fee of fund manager
The management fee of the Fund is accrued at the annual fee rate of 0.30% of the net asset value of the Fund on the previous day. Calculation of management fee
The calculation method is as follows:
H ＝ E × 0.30% ÷ days of the year
H is the daily accrued fund management fee
E is the net asset value of the fund on the previous day
The fund management fee is accrued daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian has checked the consistency, the Fund Custodian shall negotiate with the Fund Manager on the first day of the following month
A lump sum payment shall be made from the fund assets to the fund manager within 5 working days from the date of. In case of legal holidays
In case of public holidays or force majeure, the payment date shall be postponed.
2. Custody fees of the Fund Custodian
The custody fee of the Fund is accrued at an annual fee rate of 0.05% of the net asset value of the Fund on the previous day. Custody fee
The calculation method is as follows:
H ＝ E × 0.05% ÷ days of the year
H is the fund custody fee that should be accrued every day
E is the net asset value of the fund on the previous day
The fund custody fee is accrued daily, accumulated to the end of each month day by day, and paid monthly
After the Fund Custodian has checked the consistency, the Fund Custodian shall negotiate with the Fund Manager on the first day of the following month
Withdrawal from the fund assets in a lump sum within 5 working days from. In case of legal holidays, public holidays or
For force majeure, the payment date shall be postponed.
3. Fund sales service fee
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There is no sales service fee for Class A fund units of the Fund, and the sales service fee for Class C fund units is based on the previous
The annual fee rate of 0.20% of the net asset value of the one-day Class C fund unit fund is accrued. The calculation method is as follows:
H ＝ E × 0.20% ÷ days of the year
H is the daily accrued sales service fee for Class C fund units
E is the net asset value of the fund on the previous day for Class C fund units
The sales service fee is accrued daily, accumulated day by day to the end of each month, and paid monthly. After the Fund Manager and
After the Fund Custodian has checked the consistency, the Fund Custodian shall, within 2-5 working days from the first day of the next month
In the process of production, it shall be paid to the fund manager in a lump sum, and the fund manager shall pay it to the sales agency on behalf. In case of legal holidays
Day, public holiday or force majeure, the payment date shall be postponed.
Items 4-10 of the above "(I) Types of fund expenses" shall be paid according to relevant regulations and corresponding agreements
It is stipulated that the actual amount of expenses shall be included in the current expenses, which shall be disbursed from the fund assets by the fund custodian
Pay.
5、 Investment direction and investment restrictions of the Fund assets
（1） Investment scope
The Fund invests in financial instruments with good liquidity, including bonds (including treasury bonds and central bank notes
The pure debt department of bonds, financial bonds, enterprise bonds, corporate bonds, subordinated bonds, separable trading convertible bonds
Divided into medium-term notes, short-term financing bonds, ultra short-term financing bonds, local government bonds, government supported institutional bonds
Bonds, government backed bonds and other bonds that the CSRC allows funds to invest in), asset-backed securities, bonds
Repos, interbank deposit receipts, bank deposits (including negotiated deposits, time deposits and other bank deposits)
Money market instruments, cash, treasury bond futures, credit derivatives, laws and regulations or the CSRC allows
Other financial instruments of gold investment (subject to the relevant provisions of the CSRC).
The Fund does not invest in assets such as stocks, nor in convertible bonds (convertible bonds that can be separately traded
Except for pure bonds), exchangeable bonds.
The Fund's participation in treasury bond futures trading shall comply with the investment limits stipulated in laws and regulations and the fund contract
To formulate and abide by the business rules of relevant futures exchanges.
If laws and regulations or regulatory authorities allow the fund to invest in other varieties in the future, the fund manager shall perform the following duties:
After the procedure, it can be included in the scope of investment.
The proportion of the Fund's investment in bonds shall not be less than 80% of the Fund's assets. Deduct at the end of each trading day
After the trading margin required to be paid for treasury bond futures contracts, the amount of cash or
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Government bonds with a maturity of less than one year. Cash does not include settlement provisions, deposits and receivables
Subscription amount, etc.
If there is any change in the future laws and regulations or the regulatory authority's requirements on the investment proportion, the Fund Manager shall
After proper procedures, corresponding adjustments can be made.
（2） Investment restrictions
1. Combination restrictions
The Fund's portfolio should be subject to the following restrictions:
(1) The proportion of the Fund's investment in bonds shall not be less than 80% of the Fund's assets;
(2) At the end of each trading day, the Fund shall hold
The proportion of government bond investment with cash or maturity within one year is not less than the net asset value of the fund
5%, and the aforesaid cash does not include settlement provisions, deposits, subscription receivables, etc;
(3) The Fund holds securities issued by a company whose market value does not exceed the net asset value of the Fund
10%；
(4) All funds managed by the Fund Manager hold securities issued by one company, which shall not exceed the amount of the certificate
10% of the bonds, the fund varieties that invest in securities in full accordance with the composition ratio of the relevant index may not be subject to this
The proportion limit specified in the clause;
(5) The proportion of the Fund's investment in various types of asset-backed securities of the same original equity holder shall not exceed
10% of the net asset value of the Fund;
(6) The market value of all asset-backed securities held by the Fund shall not exceed the net asset value of the Fund
20%；
(7) The proportion of the same (referring to the same credit rating) asset-backed securities held by the Fund shall not exceed
Over 10% of the size of the asset-backed securities;
(8) All funds managed by the Fund Manager invest in various asset supports of the same original equity holder
Securities shall not exceed 10% of the total size of its various asset-backed securities;
(9) During the period when the Fund holds asset-backed securities, if its credit rating declines and it no longer meets the investment target
Yes, all of them shall be sold within 3 months after the rating report is issued;
(10) The total assets of the Fund shall not exceed 140% of the net assets of the Fund;
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(11) The Fund deals with private securities asset management products and other entities recognized by the CSRC
If the counterparty carries out reverse repurchase transactions, the qualification requirements for acceptable collateral should be consistent with the investment agreed in the fund contract
Consistent scope;
(12) If the Fund participates in treasury bond futures trading, it shall comply with the following investment proportion restrictions:
1) At the end of any trading day, the value of treasury bond futures contracts held by the Fund shall not exceed
15% of net asset value;
2) At the end of any trading day, the value of futures contracts for selling treasury bonds held by the Fund shall not exceed that of the Fund
30% of the total market value of bonds held;
3) Transaction amount of treasury bond futures contracts traded by the Fund on any trading day (excluding closing positions)
Shall not exceed 30% of the net asset value of the Fund on the previous trading day;
4) Market value and purchase of bonds held by the Fund (excluding government bonds with maturity within one year)
The total value of treasury bond futures contracts received and sold (calculated by netting) should comply with the fund contract on bond investment
Relevant agreements on capital ratio;
(13) The total market value of the Fund's active investment in liquidity restricted assets shall not exceed the Fund's assets
15% of net worth. Due to factors other than fund managers such as fluctuations in the securities market and changes in fund size
If the fund does not meet the proportion limit specified in the preceding paragraph, the fund manager shall not actively increase the liquidity restricted assets
investment;
(14) The Fund does not hold credit derivatives with the attribute of credit protection seller; Do not hold contracts
Credit derivatives; The nominal principal of credit derivatives invested by the Fund shall not exceed the corresponding protected principal of the Fund
100% of the face value of the bonds; Total principal of various credit derivatives invested in the same credit protection seller is not
May exceed 10% of the net asset value of the Fund; Due to fluctuations in the securities market, futures market and securities issuers
In addition, the fund investment proportion does not comply with the above provisions due to factors other than the fund manager, such as fund size changes
The Fund Manager shall adjust the investment proportion within three months;
(15) Other investment limits stipulated by laws and regulations, CSRC and the Fund Contract
System.
Except for the circumstances in (2), (9), (11), (13) and (14) above
Market fluctuations, mergers of securities issuers, changes in fund size and other factors outside the fund manager cause the
If the fund investment proportion does not meet the above stipulated investment proportion, the fund manager shall carry out the fund investment within 10 trading days
Adjustment, except for special circumstances stipulated by laws and regulations or the CSRC.
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The Fund Manager shall, within six months as of the effective date of the Fund Contract, make the proportion of the Fund's investment portfolio conform to
Relevant provisions of the mutual fund contract. During the above period, the investment scope and investment strategy of the Fund shall conform to
Agreement of the mutual fund contract. The Fund Custodian's supervision and inspection of the Fund's investment has taken effect since the Fund Agreement came into force
Starting from.
Laws and regulations or regulatory authorities cancel or adjust the above restrictions. If applicable to the Fund, the Fund Manager
After performing the appropriate procedures, the Fund's investment will no longer be subject to the relevant restrictions or the adjusted provisions.
2. Prohibited acts
In order to safeguard the legitimate rights and interests of fund share holders, fund assets may not be used for the following investments or activities
Active:
(1) Underwriting securities;
(2) Lending or providing guarantee to others in violation of regulations;
(3) Investment with unlimited liability;
(4) Buying and selling other fund units, unless otherwise stipulated by laws and regulations or the CSRC;
(5) Make capital contributions to its fund manager and fund custodian;
(6) Engaging in insider trading, manipulating securities trading prices and other improper securities trading activities;
(7) Other activities prohibited by laws, administrative regulations and the CSRC.
The Fund Manager uses the Fund property to buy and sell the Fund Manager, the Fund Custodian and their controlling shareholders
Securities issued by international controllers or companies with significant interests with them or certificates underwritten during the underwriting period
Securities, or other major related party transactions, shall comply with the investment objectives and investment strategies of the Fund
Follow the principle of giving priority to the interests of fund share holders, prevent conflicts of interest, establish and improve the internal approval mechanism and evaluation
The appraisal mechanism shall be implemented according to the fair and reasonable price in the market. Relevant transactions must be approved by the Fund Custodian in advance
And shall be disclosed in accordance with laws and regulations. Major connected transactions shall be submitted to the Board of Directors of the Fund Manager for review, and
It has been approved by more than two-thirds of the independent directors. The Board of Directors of the Fund Manager shall pay at least half a year
Easy to review.
Laws, administrative regulations or regulatory authorities cancel or change the above prohibitive provisions, if applicable to the Base
After the Fund Manager performs the appropriate procedures, the investment of the Fund will no longer be subject to the relevant restrictions or after the change
Implementation of the provisions of.
6、 Calculation method and announcement method of fund net asset value
（1） Net Asset Value of the Fund
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The net asset value of the Fund refers to the value of the total assets of the Fund minus the liabilities of the Fund.
（2） Valuation method
1. Valuation of securities listed on stock exchanges
(1) For the securities listed on the stock exchange, the market price (closing price
Valuation; There is no transaction on the valuation date, and there is no significant change in the economic environment or securities after the latest trading day
If there is no major event that affects the securities price, the market price (closing price) of the latest trading day shall be used
Valuation; If the economic environment has changed significantly after the recent trading day or the securities issuer has affected the securities
In case of major price events, the current market price and major change factors of similar investment varieties can be referred to for adjustment
The fair price is determined near the market price.
(2) For the non equity fixed income varieties listed or transferred by the Exchange, select the third one on the valuation date
The valuation is conducted at the full valuation price of the corresponding varieties on the current day provided by the valuation benchmark service agency.
(3) The third party on the valuation date shall be selected for the types of fixed income with rights listed or transferred by the Exchange
The only or recommended full valuation price of the corresponding varieties provided by the valuation benchmark service agency on the current day
Value;
For the fixed income varieties including the investor's right to sell back, if the right to sell back is exercised, the right to sell back will be realized on the registration date
Select the unique full valuation price of the corresponding variety provided by the third-party valuation benchmark service agency during the international collection date or
The full valuation price shall be recommended, and the impact of the issuer's credit risk changes on the fair value shall be fully considered. return
If the right to sell back is not exercised after the deadline of the registration period (inclusive), the price corresponding to the long waiting period shall be applied
Valuation.
(4) The full valuation price of convertible bonds listed on the Exchange shall be the daily closing price.
(5) For the securities listed on the exchange that do not have an active market, the fair price is determined by valuation techniques
Value.
(6) For fixed income varieties that are not listed on the exchange or transferred without listing, and there is no active market,
It shall be determined by adopting the valuation technology that is applicable in the current situation and has sufficient available data and other information support
Its fair value.
2. For the initial public offering of unlisted bonds, valuation techniques shall be used to determine the fair value;
3. For the fixed income varieties without rights in the national inter-bank market, the third-party valuation benchmark shall be used
The full price valuation of the corresponding varieties provided by the institution on the current day. For fixed income products with rights in the inter-bank market
Type, according to the unique full valuation price or recommendation of the corresponding type on the day provided by the third-party valuation benchmark service agency
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Valuation Full price valuation; For the fixed income varieties in the inter-bank market including the investor's right to sell back, exercise the right to sell back
In the period from the registration date of the resale to the actual collection date
Full price of the unique valuation or recommended valuation of the varieties, taking full account of the issuer's credit risk
Impact of changes on fair value. Basis for failure to exercise the right of resale after the deadline of the resale registration period (inclusive)
The price corresponding to the long outstanding period is estimated.
4. If the same bond is traded in two or more markets at the same time, it shall be evaluated separately according to the market where the bond is located
Value.
5. The interest income of time deposits or call deposits held by banks shall be recognized day by day according to the effective interest rate method.
6. The Fund's investment in treasury bond futures contracts is generally valued at the settlement price on the valuation day
If there is no settlement price and there is no significant change in the economic environment after the latest trading day, the latest trading day settlement shall be adopted
Valuation.
7. Credit derivatives are valued at the valuation price of the day provided by the third-party valuation benchmark service agency
However, the valuation responsibility that the Fund Manager should bear according to law will not be exempted due to entrustment; Selected third-party estimates
If the value benchmark service agency fails to provide the valuation price, it shall comply with relevant laws and regulations and the Accounting Standards for Business Enterprises
It is required to adopt reasonable valuation techniques to determine the fair value.
8. If there is conclusive evidence that the above method of valuation cannot objectively reflect its fair value
The Fund Manager may, after consultation with the Fund Custodian according to the specific circumstances, estimate at the price that best reflects the fair value
Value.
9. In case of large purchase or redemption, the Fund Manager may adopt the swing pricing mechanism to
Ensure the fairness of fund valuation.
10. If there are mandatory provisions in relevant laws and regulations and regulatory authorities, such provisions shall prevail. If there is anything new
The valuation is based on the latest national regulations.
If the fund manager or the fund custodian finds that the fund valuation violates the valuation method specified in the fund contract
If the procedures and relevant laws and regulations fail to fully protect the interests of fund share holders
Inform the other party, find out the reason together, and the two parties will solve it through consultation.
According to relevant laws and regulations, the obligation of calculating the net asset value of the fund and accounting of the fund is managed by the fund
People bear. The fund manager is the fund accounting responsible party of the Fund, so it is related to the Fund
If the relevant parties still cannot reach an agreement after full discussion on the basis of equality
See, according to the calculation results of the fund manager on the net value of the fund, it shall be published to the public.
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7、 Causes and procedures for the dissolution and termination of the Fund contract and the liquidation method of the Fund assets
（1） Changes to the Fund Contract
1. The Fund Unitholders shall be responsible for the change of the Fund Contract in accordance with the provisions of laws and regulations or this Fund Contract
If a resolution is passed at the general meeting, a general meeting of fund share holders shall be convened to pass the resolution. For laws and regulations
Matters that may not be approved by the General Meeting of Fund Unitholders as stipulated in the regulations and the Fund Contract shall be managed by the Fund
The Fund Custodian and the Fund Custodian agree on the change and make an announcement.
2. The resolution of the General Meeting of Fund Unitholders on the change of the Fund Contract shall not be implemented until it becomes effective,
The resolution shall be announced in the specified media within two days after it takes effect.
（2） Reasons for Termination of the Fund Contract
Under any of the following circumstances, the Fund Contract shall be terminated after performing the relevant procedures:
1. The General Meeting of Fund Unitholders decides to terminate;
2. The responsibilities of the Fund Manager and the Fund Custodian are terminated, and there are no new Fund Managers or new Fund Custodians within 6 months
Undertaken by the Fund Custodian;
3. Other circumstances stipulated in the Fund Contract;
4. Other circumstances stipulated by relevant laws and regulations and the CSRC.
（3） Liquidation of fund assets
1. Fund asset liquidation team: 30 working days from the date of termination of the Fund Contract
The Fund Manager shall organize the Fund Assets Liquidation Group and report to the CSRC
Fund liquidation shall be conducted under the supervision of.
2. Composition of the Fund assets liquidation group: the members of the Fund assets liquidation group are the Fund Manager and the Fund Custodian
Custodians, certified public accountants, lawyers in line with the Securities Law of the People's Republic of China, and China Securities Regulatory Commission
The personnel composition will be specified. The Fund assets liquidation team may employ necessary staff.
3. Responsibilities of the Fund Assets Liquidation Team: The Fund Assets Liquidation Team is responsible for the custody and clearing of the Fund assets
Management, valuation, realization and distribution. The fund assets liquidation team may carry out necessary civil activities according to law.
4. Fund asset liquidation procedures:
(1) In case of termination of the Fund Contract, the Fund Property Liquidation Team shall take over the Fund in a unified manner;
(2) Liquidate and confirm the fund assets, claims and debts;
(3) Valuation and realization of fund assets;
(4) Prepare liquidation report;
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(5) Engage an accounting firm to conduct external audit on the liquidation report, and engage a law firm to conduct liquidation
The report shall issue a legal opinion;
(6) Submit the liquidation report to the CSRC for filing and announcement;
(7) Distribute the remaining assets of the Fund.
5. The time limit for the liquidation of the Fund's assets is six months, but the liquidity of the securities held by the Fund is limited
If it cannot be realized in time, the liquidation period shall be postponed accordingly.
（4） Liquidation expenses
Liquidation expenses refer to all reasonable expenses incurred by the fund assets liquidation team in the process of fund liquidation
The liquidation expenses shall be paid by the fund assets liquidation group from the remaining assets of the fund in priority.
（5） Distribution of residual assets in the liquidation of fund assets
According to the distribution plan for the liquidation of the fund assets, all remaining assets after the liquidation of the fund assets shall be deducted from the
After the fund assets liquidation expenses, payment of taxes owed and settlement of fund debts
The proportion of fund units shall be distributed.
（6） Announcement of Fund Assets Liquidation
Major issues related to the liquidation process must be announced in a timely manner; The fund assets liquidation report has been approved in accordance with
The accounting firm stipulated in the Securities Law of the People's Republic of China shall audit and the law firm shall issue a legal opinion
Later, it will be reported to the CSRC for filing and announcement. The fund assets liquidation announcement shall be submitted to the China Securities Regulatory Commission in the fund assets liquidation report
The Fund Assets Liquidation Group shall make an announcement within 5 working days after the Regulatory Commission records, and the Fund Assets Liquidation Group shall
When the liquidation report is published on the specified website, and the suggestive announcement of the liquidation report is published on the specified newspaper
On.
（7） Preservation of fund assets liquidation books and documents
The fund assets liquidation account book and relevant documents shall be kept by the fund custodian for a period not less than the statutory minimum
Low deadlines.
8、 Dispute resolution
The parties agree that all matters arising from or related to the Fund Contract
If the dispute is unwilling or cannot be settled through consultation or mediation, either party shall submit the dispute to
The Shenzhen International Arbitration Court shall conduct arbitration in accordance with the then effective arbitration rules of the Shenzhen International Arbitration Court. Place of arbitration
Shenzhen. The arbitral award is final and binding on all parties. Unless otherwise awarded by arbitration
The arbitration fee shall be borne by the losing party.
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During the dispute settlement period, the Fund Manager and the Fund Custodian shall strictly abide by their respective responsibilities and continue to be faithful and diligent
Fulfill the obligations stipulated in the Fund Agreement and the Custody Agreement diligently and responsibly, and safeguard the legitimacy of the Fund Unitholders
Equity.
The Fund Contract is governed by the laws of China (for the purpose of this Fund Contract, Hong Kong and Macao are excluded here
The laws of the Special Administrative Region and Taiwan shall govern and be interpreted in accordance with them.
9、 Depository of fund contracts and ways for investors to obtain fund contracts
The Fund Contract can be printed in a volume for investors to use in the Fund Manager, Fund Custodian and Sales Machines
Check the office and business premises of the organization.