Wall solid revenue bonds Securities Investment Fund contract summary

Published: 8:00:32 2014/12/26 8:00:32  Views: 458




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Fund managers: Great Wall Fund Management Co(http://www(Finance News http://www.fireinews.com/).fireinews.com/)., Ltd. [microblogging]



Fund Custodian: Industrial and Commercial Bank of China Limited



二 ○ 一 四年 十二月



The first part of the fund managers, fund trustees and fund share holders of the rights and obligations of the



First, the fund manager's rights and obligations



1, according to << Fund Law >>, << >> operational methods and other relevant regulations, the rights of fund managers include, but are not limited to:



(1 to raise funds in accordance with law,



(2 days since the fund contract >> << effective date, the independent use and management of the fund assets in accordance with the laws, regulations and contracts >> << fund,



(3 charge fund management fees as well as the laws and regulations in accordance with the fund contract >> or << China Securities Regulatory Commission [microblogging] approved other costs,



(4 sales of fund shares,



(5 in accordance with the provisions of the General Assembly to convene the fund share holders,



(6 << fund contract in accordance with relevant laws and regulations and supervision >> fund custodian, fund custodian considers a violation of << >> fund contract and the relevant provisions of the state law should be reported to China Securities Regulatory Commission and other regulatory authorities, and to take the necessary measures to protect the interests of fund investors



(7 at the time of replacement fund trustees, nominated by the new fund trustees,



(8 choices Replacement Fund sales organization, the relevant conduct fund sales organization to monitor and deal with,



(9 served or other qualified agency entrusted as a fund registration agency for the cost of funds to register and obtain business contracts >> << fund regulations,



(10 to determine the allocation of program funds on the basis of earnings >> << fund contract and the law,



(11 in the << >> fund contract stipulated range, reject or suspend accepting applications for subscription and redemption,



(12 exercised in accordance with the laws and regulations for the benefit of the Fund's investment company shareholders' rights to be exercised because the fund invests in property rights arising from the securities for the benefit of the Fund,



(13 in the laws and regulations permitting, according to the law for the benefit of the Fund for the Fund for financing,



(14 in the name of the fund manager, who holds interest litigation rights exercised by or on behalf of fund shares implementation of other legal acts,



(15 choices to replace law firms, accounting firms, securities broker or other external agencies providing services to the Fund,



(16 in the context of compliance with the relevant laws and regulations, formulate and adjust business rules related fund subscription, purchase, redemption, conversion and transfer of non-trading,



(17 laws and regulations and other rights and China Securities Regulatory Commission << >> fund contract stipulated.



2, according to << Fund Law >>, << >> operational methods and other relevant regulations, the obligation of fund managers including but not limited to:



(A law to raise funds, for the sale and registration of fund shares,



(2 handle fund filing procedures,



From (day 3 since << >> fund contract becomes effective, to honesty, prudence and diligence principles of management and use of fund assets,



(4 investment securities shall abide by the rules of prudent management, to develop a reasonable investment strategy and risk management systems of science, to effectively prevent and control risks,



(5 adequately staffed with professional qualifications make fund investment analysis, decision-making, with professional management and operation management of fund assets,



(6 establish a sound internal risk control, monitoring and auditing, financial management and personnel management system to ensure that the property fund assets under management and fund managers are independent of the management of different funds are managed separately accounting, securities investment,



(7 except in accordance with << Fund Law >>, << >> fund contract and other relevant provisions, shall not make use of the fund property or use his position to seek benefits for themselves and any third party shall appoint a third party operation of the fund assets ,



(8 accept legally fund trustee oversight,



(9 shall not be embezzled or misappropriated funds and property,



(10 to take appropriate and reasonable measures to calculate the fund share subscription, purchase, redemption and cancellation methods comply with the price << >> fund contract and other legal documents, calculate and announce the net assets of the Fund in accordance with relevant regulations, to determine the purchase of fund shares, redemption price,



(11 fund accounting and fund the preparation of financial reports,



(12 prepare quarterly, semi-annual and annual fund reports



(13 in strict accordance with << Fund Law >>, << >> fund contract and other relevant regulations, implementation of information disclosure and reporting obligations,



(14 Conservative Fund trade secrets, non-disclosure of fund investment plan, investment intentions, etc. In addition << >> Funds Act, otherwise << >> fund contract and other relevant provisions, before public disclosure of fund information should be kept confidential, you do not disclose, or may not use the information in express, implied others to engage in trade-related activities



(15 to determine the income of the fund allocation by << >> fund contract agreement, the timely distribution of income of the Fund to the holders of fund shares,



(16 according to the provisions of accepting applications for purchase and redemption, timely and full payment of redemption money,



(17 basis << Fund Law >>, << >> fund contract and other relevant provisions of the General Assembly to convene the fund share holders or with the fund custodian, fund share holders legally convene the fund share holders' meeting,



(18 required to save the accounting records of the fund property management business activities, reports, records and other relevant information for more than 15 years,



(19 to ensure that the documents or information required to fund investors issued in a specified time, and to ensure that investors in accordance with the time and manner prescribed >> << fund contract, ready access to public information relating to the Fund, and in Under the conditions of payment of reasonable costs to get a copy of the relevant information,



(20 organized and participated in fund assets liquidation group participation fund assets custody, clearing, valuation, liquidity and distribution,



When (21 facing dissolution, the law has been revoked or declared bankrupt, timely reporting of China Securities Regulatory Commission and inform the fund custodian,



(22 for breach of contract >> << fund result in loss of funds or property damage the legitimate rights and interests of fund shareholders, it shall be liable, its liability is not excused because of retiring,



When (23 supervise the fund trustee to act in accordance with the laws and regulations prescribed >> << fund their obligations under the contract, the fund custodian violates >> << fund contract losses the fund assets, fund managers should be of interest to the holders of shares of the Fund Fund Custodian recovery,



(24 when fund managers will be entrusted to a third party processing, shall be liable to third parties dealing with the conduct of their affairs fund obligations,



(25 in the name of the fund manager, on behalf of the interests of fund shareholders to exercise rights of action or implementation of other legal acts,



After (26 fund managers failed to meet the filing period conditions raise funds >> << fund contract can not take effect, fund managers bear the full cost of recruitment, will have to raise funds and bank deposit interest plus the same period in the fund raising period ends 30 days refund fund Subscriber,



(27 execute the fund share holders of the entry into force of the General Assembly resolution,



(28 establish and maintain fund share holders roster



(29 laws and regulations and other obligations of China Securities Regulatory Commission and the fund contract >> << agreed.



Second, the right fund custodian and obligations



1, according to << Fund Law >>, << >> operational methods and other relevant regulations, the rights of the fund custodian include, but are not limited to:



(One day since the fund contract >> << effective date, according to the laws and regulations and the provisions of contracts >> << fund safe custody of fund assets,



(2 according to << >> fund contract agreement for additional expenses of the Fund custodian fees, and legal regulations or regulatory approval,



Case (3 supervise the fund manager of the Fund's investment operations, fund managers found a violation of the contract >> << fund and state laws and regulations act to fund property, the interests of other parties to cause significant losses notifiable China Securities Regulatory Commission and take the necessary measures to protect the interests of fund investors



(4 accordance with the relevant rules of the market, the fund set up securities accounts, handle securities transactions for the fund of funds clearing,



(5 proposed the convening of or convene the fund share holders' meeting,



(6 at the time of the replacement fund managers, fund managers nominate new,



(7 laws and regulations and other rights and China Securities Regulatory Commission << >> fund contract stipulated.



2, according to << Fund Law >>, << >> operational methods and other relevant regulations, the fund custodian duties include, but are not limited to:



(1 to honesty, diligence principle holds and safe custody of fund assets,



(2 set up a special fund custody department, to meet the requirements of having a place of business, with sufficient qualified familiar with the fund custody business full-time staff, responsible for the fund custodian property matters



(3 establish a sound internal risk control, monitoring and auditing, financial management and personnel management system to ensure the safety of the fund assets, guarantee fund assets and fund trustee's own property and the property of their hosting different funds are independent of the hosting Funds were set different accounts, independent accounting, account management, ensuring among different funds in the account settings, disbursement of funds, books and records and other independent,



(4 except in accordance with << Fund Law >>, << >> fund contract and other relevant provisions, shall not make use of the fund property or use his position for themselves and to benefit any third party shall appoint a third party custodian fund assets ,



(5 may not be embezzled or misappropriated funds and property,



(6 custody Major contracts and related documents relating to the Fund by fund managers signed on behalf of the Fund,



(7 accordance with the regulations set up fund property fund accounts and securities accounts in accordance with << >> fund contract agreement, according to the fund manager's investment instructions, in time for clearing and settlement issues,



(8 Conservative Fund trade secrets, unless otherwise specified << Fund Law >>, << >> fund contract and other relevant provisions, before public disclosure of fund information to be confidential, shall not disclose to others, or may not engage in the use of this information express, implied others to engage in trade-related activities



(9 review, the net assets of the Fund to review the calculation of fund managers, fund share purchase, redemption price,



(10 handle and fund custody business activities related to information disclosure,



(11 pairs fund financial reports, quarterly, semi-annual and annual fund report issued opinions on whether fund managers operate in all material respects in accordance with strict regulations >> << fund contract, and if the fund manager has not executed < <fund contract >> provisions of the act, it should indicate whether the fund custodian to take appropriate measures,



(Record 12 save fund custody business activities, books, reports, and other relevant information for more than 15 years,



(13 establish and maintain fund share holders roster



(14 according to the provisions of the production-related books and check with the fund managers,



(15 according to the instruction of fund managers or the relevant provisions of the fund shares held by the fund to pay benefits and redemption money people,



(16 basis << Fund Law >>, << >> fund contract and other relevant provisions of the General Assembly to convene the fund share holders or with the fund share holders by law to convene the fund share holders' meeting,



(17 supervise the operation of the fund manager's investment laws and regulations and in accordance with the fund contract >> << provisions



(18 teams participated in the liquidation of the fund property, custody of the property involved in the fund, cleaning, valuation, liquidity and distribution,



When (19 facing dissolution, the law has been revoked or declared bankrupt, timely reports China Securities Regulatory Commission and banking regulators, and notify the fund manager



(20 for breach of contract >> << fund when the fund resulting in property damage, should be liable, its liability is not excused because of retiring,



When (21 fund managers as required by laws and regulations, supervision and contract >> << fund provisions to meet their obligations, the fund manager for breach of contract >> << fund fund property losses, should the interests of the holders of fund shares Fund managers recovery,



(22 execute the fund share holders of the entry into force of the decision of the General Assembly of the people,



(23 laws and regulations and other obligations of China Securities Regulatory Commission and the fund contract >> << agreed.



Third, the right fund share holders, the obligation



Fund investors holding fund shares of the Fund's behavior is deemed recognition >> << fund contract and acceptance, according to fund investors since the fund contract >> << fund shares acquired become holders of shares of the Fund >> << Fund contract and the parties, until it no longer holds fund shares of the Fund. fund share holders as << >> fund contract parties are not written signature on the contract >> << fund on or Signature is a necessary condition.



Each fund shares the same category have the same legal rights.



1, according to << Fund Law >>, << >> operational methods and other relevant regulations, the fund share holders of rights holders, including but not limited to:



(A share of property income fund,



(2 participate in the distribution of fund assets remaining after liquidation,



(3 to redeem their fund shares held by the law,



(4 in accordance with the requirements of the General Assembly held a fund share holders or convene the fund share holders' meeting,



(5 attend or send representatives to attend the fund share holders 'meeting, to consider matters of fund share holders' meeting to exercise voting rights,



(6 inspect or copy public disclosure of fund information,



(7 supervise the investment operation of fund managers,



(8 pairs of fund managers, fund custodians, fund sales institutions prejudice the conduct of their legitimate rights and interests of law or arbitration proceedings,



(9 laws and regulations and other rights and China Securities Regulatory Commission << >> fund contract stipulated.



2, according to << Fund Law >>, << >> operational methods and other relevant regulations, the fund share holders of obligations, including, but not limited to:



(1 read and comply with << >> fund contract,



(2 understand the investment fund products, to understand their own risk tolerance, bear the investment risk,



(3 concerns the fund information disclosure, timely exercise of rights and obligations,



(4 pay fund subscription, purchase, redemption fee payments and legal regulations and the fund contract >> << prescribed,



(5 within the scope of its shares held by the fund, bear fund lost or termination of contracts >> << Fund LLC,



(6 does not engage in any activity detrimental to the Fund and other funds contract >> << legitimate rights and interests of the parties,



(7 execute the fund share holders of the entry into force of the decision of the General Assembly of the people,



(8 return of unjust enrichment in the process of fund transactions available for any reason,



(9 laws and regulations and other obligations of China Securities Regulatory Commission and the fund contract >> << agreed.



The second part of the fund share holders' meeting convened debating and voting procedures and rules



Fund share holders' meeting held by the Fund share members, fund share holders of the legally authorized representative on behalf of the fund share holders have the right to attend and vote. Fund share holders of fund shares held by each of the equal of the voting rights.



The fund share holders' meeting does not have a routine body.



First, the subject held



1, or when there is need to determine the subject of one of the following shall be held fund share holders' meeting:



(A decision to modify an important part of the fund contract or early termination of the contract >> << fund, but the fund contract >> << unless otherwise agreed,



(2 replacement fund managers,



(3 Replacement Fund trustees,



(4 conversion fund operation,



(5 raise fund managers, fund trustees remuneration standards, but those standards or raise rates, except in accordance with legal and regulatory requirements,



(6 Change fund categories,



(7 funds and other funds of the merger,



(Change Fund investment objectives, scope or policies (laws and regulations, China Securities Regulatory Commission issued regulations and contracts >> << fund except as otherwise provided 8



(9 changes to the fund share holders' meeting program,



(10 fund manager or fund trustee requested the convening of the fund share holders' meeting,



(Alone or together hold 11 of the Fund's total share of more than 10% (including 10% of fund shares fund share holders (with fund managers receive a share of the proposed date of the calculation of the fund, hereinafter fund shares held on the same matter in writing requirements holders of the General Assembly,



Other matters (12 rights and obligations of the parties to the Fund have a significant impact,



(13 laws and regulations, contracts >> << fund shall be held fund shares or other China Securities Regulatory Commission matters holders' meeting.



2, after the following fund managers and fund trustees can negotiate modifications, without convening the fund share holders' meeting:



(A reduction in fund sales service fees and other expenses borne by the Fund,



(2 legal requirements increase the cost of funds collected,



(3 adjust the fund's purchase rates in the range of laws, regulations and contracts >> << fund regulations, reduce redemption rates,



(4 because of appropriate laws and regulations changed and should be modified >> << fund contract,



(5 pairs >> << fund contract modifications to the interests of fund shareholders no substantial adverse effect or modify the contract does not involve the rights and obligations of the parties >> << fund changes



(6 in accordance with laws and regulations and the provisions of contracts >> << fund of fund shareholders held without other circumstances beyond the person of the General Assembly.



Second, the meeting convened by the convener and mode



1, in addition to laws and regulations or << >> fund contract provides otherwise, the fund share holders' meeting convened by the fund manager.



2. Failing to convene or fund managers can not be convened, convened by the fund custodian.



3, the fund custodian considers it necessary to convene the fund share holders' meeting shall submit a written proposal to the fund managers. Fund Manager shall receive a written offer within 10 days from the date of the decision whether to convene, and written informed fund trustees Fund manager decided to convene, it shall issue a written decision within 60 days from the date of convening the fund manager decided not to summon, fund trustees held still deemed necessary, it should be self-convened by the fund custodian.



4, representing more than 10% share of the fund of fund shares (10% of the holders on the same matter in writing request the convening of the fund share holders' meeting, shall submit a written proposal to the fund managers. Fund manager shall receive a written proposal of the within 10 days to decide whether to convene and inform in writing to submit proposals on behalf of holders of shares of the fund and the fund custodian. fund managers decided to convene, it shall issue a written decision within 60 days from the date of convening the fund manager decided not to convene on behalf of the fund share of more than 10% (including 10% of the fund share holders still think it necessary to hold, and shall submit a written proposal to the fund custodian. fund custodian shall from the date of receipt of the written proposal within 10 days to decide whether to convene and to inform in writing to submit proposals on behalf of the fund share holders and fund managers, fund trustees decided to convene, it shall issue a written convene within 60 days from the date of the decision.



5, on behalf of the fund share of more than 10% (including 10% of the fund share holders on the same subject to call for the fund share holders' meeting, and the fund managers, fund trustees are not convened, either alone or together on behalf of the fund shares 10 % or more (including 10% of the fund share holders have the right to convene their own, and at least 30 newspaper China Securities Regulatory Commission filing. fund share holders themselves legally convene the fund share holders' meeting, fund managers, fund trustees shall cooperate, not hinder, interfere.



6, convener of the fund share holders meeting is responsible for selecting a meeting to determine the time, place, manner and the interests of the record date.



Third, the period of notice to convene the fund share holders' meeting to inform the content of notification



1, held a fund share holders' meeting, the convener of the meeting should be held before the 30th, in the designated media announcement fund share holders to inform the Assembly shall contain at least the following:



(A meeting time, place and format of the meeting,



(Matters to be considered two meetings, proceedings and voting,



(3 fund shares are entitled to attend the General Assembly of the fund share holders equity holders of the registration date,



(4 Attorney proven content requirements (including, but not limited to an agent, the agent and the agent permission expiration date, time and place of delivery,



(5 conference permanent contact name and telephone number,



(6 to attend the meeting must be prepared to document and must fulfill the formalities,



(7 convener other matters need to be notified.



Fund switching the mode of operation or merged with other funds, fund managers should be held 30 days before the meeting notifications tips, in addition to the foregoing stated, we must also clear about the implementation arrangements, indicating the existing fund shares held by persons influence and fund share holders right to choose, and before the implementation of open day set aside at least 20 trading days or for fund shareholders to make a choice.



Case 2, taken way communication meetings and voting by the conference convener decisions illustrate this specific communication fund shareholders at the meeting of the NPC clubs take notice, commissioned notary public and their contact information and contacts, Written comments sent to the voting deadline and collection methods.



3, as the convener of the fund managers, fund trustees shall also be notified in writing to the designated place for people to vote on comments to supervise the vote count, as convener for the fund trustees should be designated location prior written notice of the voting advice to fund managers supervise the vote count, as the convener of the fund share holders, prior written notice shall fund managers and fund trustees to the designated place for vote counting comments supervision. fund manager or fund trustees refused to send representatives Written comments on the vote counting oversight, does not affect the effectiveness of vote counting comments.



Fourth, the fund share holders attending the meeting way



Fund share holders' meeting by way of on-site meetings or communications meeting was held, held by conference is determined by the convener.



A site meeting. Held by the fund share himself to attend or appoint a proxy to vote on behalf of Attorney prove attend site meetings when fund managers and fund trustees authorized representative should attend the fund share holders' meeting, fund managers or When the custodian not to send representatives to attend and vote does not affect the effectiveness of the meeting site meets the following conditions, you can fund share holders' meeting agenda:



(A person who attended the meeting held by the fund share certificate, issued by the trustee who attended the meeting held by the fund share certificate principal and principal delegate proxy voting authorization demonstrate compliance with laws and regulations, notify >> << fund contract and meetings regulations, and hold fund shares certificate and registration information held by fund managers in line



(2 by check, aggregated to show attendees in equity fund shares held by the record date credentials show that effective fund shares at least 50% of the Fund's total share equity fund registration day (containing 50% of fund shares to participate fund share holders' meeting of the holders of the ratio is lower than in the preceding paragraph, the convener of the original announcement in fund shares held by People's Congress held three months after the time, within six months, it is scheduled to reconvene to consider the matter Fund share holders' meeting, upon checking, summary record date to hold the fund in equity share certificate will show who produce effective fund share of the Fund's total share of the equity in the fund for more than one-third of the record date.



2. Communication meeting. Communication means the fund share holders meeting to vote on the matter in writing to vote in the voting ended before the date of delivery to the address specified by the convenor of Communication meeting shall vote in writing.



When the following conditions are satisfied, the way communication meetings considered valid:



(A convener press << >> fund contract agreement after meeting notice published in two consecutive working days notice should publish relevant,



(2 convener by the fund contract notice fund trustees (if the fund custodian convener, for the fund managers to specify the location of the written comments of the vote counting supervision. Convener fund custodian (if the fund custodian convener, was under the supervision of fund managers and notary's fee fund share holders to vote on comments written notice in accordance with the provisions of conferencing, fund trustee or fund managers charge a written notice not to participate in voting advice, and does not affect the vote effectiveness



(3 I direct or authorize others to issue a written opinion written opinion issued on behalf of the fund shares held by the fund share holders of not less than 50% of the total enrollment in the equity share of the Japanese fund (50% participating fund share holders Assembly fund share holders is less than the proportion of the preceding paragraph, the convener of the original announcement in fund shares held by People's Congress held three months after the time, within six months, it is scheduled to reconvene to consider the matter of fund shareholders People's Congress, the fund share holders of fund shares held by more than one third of the total equity fund share registration date,



(4 above (3 directly issue a written opinion of the fund share holders or trustee on behalf of another agent to issue a written opinion, share certificates held by the Fund concurrently filed, the trustee issue a written opinion issued by the principal agent fund shares held by the principal's credentials and proxy voting Attorney demonstrate compliance with laws and regulations, and the provisions of the contract notice of the meeting >> << funds and records consistent with the fund registration agencies,



(5 before the publication of notice of the meeting reported that China Securities Regulatory Commission filing.



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