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2019年09月23日 星期一

东吴增利债券C(582202)公告正文

东吴增利债券:更新招募说明书(2015年2号)

公告日期 2015-09-09 来源 巨潮网

东吴增利债券型证券投资基金
        招募说明书更新
—东吴基金管理有限公司 2015 年 2 号




基金管理人:东吴基金管理有限公司
基金托管人:中信银行股份有限公司




                 1
                                             1
                                                 。)计审经未据数务财(日 03 月 6 年 5102 为
日止截现表值净和据数务财关有,日 72 月 7 年 5102 为日止截容内载所)新更(书明说募招本
                                                                               。益收低最
  证保不也,利盈定一金基证保不但,产财金基用运和理管则原的勉勤慎谨、用信实诚、守职尽恪
  照依诺承人理管金基。证保的现表绩业金基本对成构不并绩业的金基他其的理管人理管金基
                                                 。现表来未其示预不并绩业往过的金基
                                                   。值面售发该于低值净额份金基或损亏现
  出能可有仍资投金基,下响影的素因等动波场市在,额份金基集募值面售发的元一以金基本
          。%02 的产资金基过超不例比的产资类益权等证权或票股于资投金基本。产资类益权等
证权或票股入买场市级二从接直不金基本。%5 的值净产资金基于低不券债府政的内以年一在日期
  到者或金现,中其。种品券证益收定固他其的资投金基许允会监证国中或规法律法及以具工融金
  等购回和券债离分可、券债换转可、品产化券证产资、券资融期短、券债司公、券债业企、据票
  行银央中、券债级次、券债融金、券债家国的市上行发法依内国括包,%08 的产资金基于低不例
  比的产资类益收定固于资投,金基型券债为金基本。金基型票股和金基型合混于低,金基场市币
  货于高益收期预与险风期预其,种品险风低中的中金基资投券证于属,金基型券债为金基本
                                                                            。责负行自者
  资投由,险风资投的致引化变值净金基与作运资投金基,后策决资投出作者资投在。等险风规合
、险风术技或作操、险风定特金基本、险风性动流、险风理管、险风场市括包,险风应相担承要资
  投金基者资投。担负行自者资投由,险风资投的致导化变值净金基与况状营运金基,后策决资投
  出作者资投在 ,则原”负自者买“者资投醒提人理管金基。策决立独出作为行资投等量数、机时
  、愿意的金基)购申或(购认于对并,力能受承险风的身自者资投虑考分充,征特益收险风的品
  产金基本识认面全,书明说募招本读阅真认应时金基本)购申或(购认者资投,险风有资投
                                                         。险风有没金基本于资投明表不也
  ,证保或断判性质实出做益收和值价的金基本对其明表不并,准核的集募金基本对会监证国中但
  ,准核会监证国中经书明说募招本。整完、确准、实真容内的书明说募招本证保人理管金基
                                                       。效生式正日 72 月 7 年 1102 于同合
金基的金基,集募准核文号】818【】1102【可许监证日 62 月 5 年 1102 会监证国中经金基本
                                     【重要提示
                                 1
611 ....................................................件文查备、五十二
611 ....................................式方阅查及放存书明说募招、四十二
411 ..............................................项事露披应他其、三十二
311 ......................................务服的人有持额份金基对、二十二
99 .......................................要摘容内的议协管托金基、一十二
28 .............................................要摘容内的同合金基、十二
97 ........................... 算清的产财金基与止终、更变的同合金基、九十
77 .................................................示揭险风的金基、八十
37 .................................................露披息信的金基、七十
27 ...............................................计审与计会的金基、六十
07 .................................................收税与用费金基、五十
96 .................................................配分益收的金基、四十
56 .................................................值估的产资金基、三十
46 .......................................................产财金基、二十
26 .....................................................绩业的金基、一十
25 .......................................................资投的金基、十
24 .............................................回赎与购申的额份金基、九
14 .........................................期放开和期闭封的额份金基、八
14 ...................................................效生的同合金基、七
04 .......................................................集募的金基、六
81 .....................................................构机务服关相、五
51 .......................................................人管托金基、四
6 ........................................................人理管金基、三
2 ..............................................................义释、二
2 ..............................................................言绪、一
                          录     目
                                                 2
                    订修的出做时不其对关机布颁及》法金基资投
  券证国和共民人华中《的行施起日 1 月 6 年 3102 自,过通议会次十
  三第会员委务常会大表代民人国全届一十第经日 82 月 21 年 2102 指        》法金基《
                                                            件文
性范规及章规门部、规法政行、律法的施实布公并效有时现国中指                规法律法
                                     )区地湾台及区政行别特门澳
、区政行别特港香括包不的目》书明说募招《为仅(国和共民人华中指                 国中
                                                  充补和订修的效
  有何任的同合本对及》同合金基金基资投券证型券债利增吴东《指 》同合金基《、同合本
                  :义含下如有具称简或语词列下,指所有另意文非除,中书明说募招本在
                                            二、释义
                                                               。同合金基阅查细详应,务义和利权
 的人有持额份金基解了欲人资投金基。务义担承、利权有享定规关有他其及同合金基、》法金基《
 照按并,受接和认承的同合金基对其明表即身本为行的额份金基有持其,人事当的同合金基本和
 人有持额份金基为成即,额份金基得取同合金基依自人资投金基。件文律法的务义、利权间之人
 事当金基定约是同合金基。准核会监证国中经并,写编同合金基的金基本据根书明说募招本
                                                                                。明说者或释解何任
 作书明说募招本对或,息信的明载中书明说募招本在未供提人他其何任权授或托委有没人理管金
 基本。的集募请申料资的明载所书明说募招本据根是金基本。任责律法担承性整完、性确准、性
            ,
 实 真其 对并 漏遗 大重者 或述 陈性 导误 、载 记假虚 何任 在存 不书 明说 募招本 诺承 人理 管金 基
           。书明说募招本读阅细仔应前策决资投出做在者资投,项事要必部全的关有策决资投者
 资投与等率费、险风、略策、标目资投的金基资投券证型券债利增吴东了述阐书明说募招本
                                              。写编》同合金基金基资投券证型券债利增吴东《及
 以定规关相他其及、)》法办露披息信《称简下以(》法办理管露披息信金基资投券证《、)》法办售
 销《称简下以(》法办理管售销金基资投券证《、)》法办作运《称简下以(》法办理管作运金基资投券
 证集募开公《、)》法金基《称简下以(》法金基资投券证国和共民人华中《据依书明说募招本
                                            一、绪言
                                              3
                 点网销代的构机销代金基及点网销直的人理管金基          点网售销金基
                                      构机销代金基及人理管金基             构机售销
              构机理代的务业金基他其和回赎、购申、售发金基本
理办为代,议协理代务服与售销金基订签人理管金基与并,格资务
业销代金基得取,件条他其的定规会监证国中和》法办售销《合符             构机销代金基
  ;者资投的额份金基金基本得取法合件文关相及》同合金基《据根         人有持额份金基
                                        司公限有份股行银信中指           人管托金基
                                        司公限有理管金基吴东指           人理管金基
          构机的权授院务国经他其或会员委理管督监业行银国中指           构机管监行银
                                      会员委理管督监券证国中指           会监证国中
                 》则规务业金基式放开司公限有理管金基吴东《指          》则规务业《
            》告公售发额份金基金基资投券证型券债利增吴东《指               告公售发
                              充补和订修效有何任其及》议协管托
  金基资投券证型券债利增吴东《的订签人管托金基与人理管金基指             :议协管托
        新更的期定其及,件文请邀约要的请申购申或购认金基出提
  否是定决并择选者资投金基供,息信的金基本及涉等件文查备、式
方阅查及放存的书明说募招、项事露披应他其、务服的人有持额份
  金基对、要摘容内的议协管托金基、要摘容内的同合金基、算清与
  止终的金基、示揭险风、露披息信的金基、收税与用费的金基、配
  分与益收金基、值估的产资金基、产财的金基、绩业的金基、资投
  的金基、回赎和购申的额份金基、易交的额份金基、效生的同合金
  基、集募的金基、构机务服关相、人管托金基及人理管金基的金基
  本露披开公于用即,》书明说募招金基资投券证型券债利增吴东《指            书明说募招
        金基资投券证型券债利增吴东的集募所》同合金基《据依指            金基本或金基
                                        元币民人币货定法国中指                    元
                            》法办理管露披息信金基资投券证《指      》法办露披息信《
                        》法办理管作运金基资投券证集募开公《指          》法办作运《
                                        订修的出做时不其对关机
  布颁及》法办理管售销金基资投券证《的行施起日 1 月 6 年 3102 自
,布公日 51 月 3 年 3102,过通订修日 71 月 2 年 3102 会监证国中指      》法办售销《
                                         4
          为行的额份金基金基本买购者资投内期集募金基本在指               购认
                      )日 T 含包不(日作工个 n 第起日 T 自指          日 n+T
                    日请申的务业金基他其理办或回赎、购申指                 日T
          日作工的务业等回赎、购申额份金基本理办构机售销指             日放开
              日易交常正的所易交券证圳深和所易交券证海上指             日作工
                                                    月历公指                 月
                                                    日历公指             天/日
                                                  年 1 为期闭
封金基本,间期的务业回赎理办始开金基至起日之效生同合金基自         期闭封金基
                间期之期定不的续存法合后效生》同合金基《指         期续存金基
                  限期的月个 3 过超不起日之售发额份金基自指            期集募
                                                       日之认
确面书会监证国中得获,续手案备金基毕完理办并资验构机定法请
聘人理管金基,件条的定约》同合金基《及定规律法到达集募金基     日效生同合金基
      称总的者资投他其的金基资投券证式放开买购许允会监证国
中或规法律法和者资投构机外境格合、者资投构机、者资投人个指             者资投
      构机理管产资他其及以司公券证、司公险保、构机理管金基
的外境国中的金基资投券证的集募法合内境国中于资投可的定规规
法律法关相及》法办理管资投券证内境者资投构机外境格合《合符 者资投构机外境格合
                                   织组他其和体团会社、人法
业事、人法业企的续存并的立设准批门部关有府政经或续存并记登
册注法合国中在的金基资投券证式放开资投以可定规规法律法合符         者资投构机
  人然自的金基资投券证式放开资投以可件条的定规规法律法合符         者资投人个
        人有持额份金基和人管托金基、人理管金基括包,体主律
法的务义担承并利权受享》同合金基《据根,束约》同合金基《受 人事当》同合金基《
                                                构机的务业记
登册注金基理办的件条合符他其的托委其或司公限有理管金基吴东 构机记登册注金基
                                 等册名人有持额份金基管保并
立建、利红放发、认确易交金基及算清、记登册注额份金基、理管
户账金基者资投括包容内体具,务业收交和算清、管存、记登金基       务业记登册注
                                          5
含(内以年一在限期;券债的)天七十九百三含(内以天七十九百三在
限期余剩;单存额大、款存期定行银的)年一含(内以年一;金现指       具工场市币货
                                               程过的值净额
份金基和值净产资金基定确以,值价的债负和产资金基估评算计指       值估产资金基
                         值产资净的后债负除扣值总产资金基指      值净产资金基
                   和总值价的成形所资投他其及以款金基购申的
收应金基本和息本款存行银、值价据票及券证类各的有拥所金基指       值总产资金基
             。入收他其及以息利款存行银、动变值价允公的间期
有持券证、益收资投券证、息利券债、息股、利红得所资投金基指           益收金基
                 式方资投种一的请申购申金基及款扣成完动自内
户账行银定指者资投在日款扣定约期每于构机售销由,式方款扣及
额金款扣、日款扣期每定约,请申出提构机售销关有过通者资投指    划计资投额定期定
     为行的额份金基的)金基入转(金基式放开他其何任的理管人
理管金基为换转额份金基分部或部全的)金基出转(金基式放开一
任的理管人理管金基的有持所其将请申出提人理管金基向者资投指           换转金基
                                       务业的户账易交一另入
转户账易交一某从额份金基的下户账金基一同的有持其将者资投指             管托转
                 户账的况情余结及动变的额份金基的起引所易交
金基理办构机售销该过通者资投录记的立开者资投为构机售销各指           户账易交
                           户账的况情额份金基式放开的理管人
理管金基有持者资投录记于用的立开者资投给构机记登册注金基指           户账金基
                                                       形情
的时%01 的额份总金基本日一上过超)额余的后数总额份请申入转
中换转金基及数总请申购申除扣后数总额份请申出转中换转金基上
加数总请申回赎(请申回赎净额份金基的金基本,日放开个单在指           回赎额巨
                                             。为行的额份金
基出卖人理管金基向,续手的定规点网售销金基据根者资投金基指               回赎
                                             。为行的额份金
基买购人理管金基向,续手的定规点网售销金基据根者资投金基指               购申
  为行的额份金基本售销者资投向构机售销,内期集募金基本在指               售发
                                             6
                        30%                        司公限有)团集(生兰海上
                                                  3000
                        70%                       7000   司公限有份股券证吴东
              例比本股总占       元万 额资出
                                      )      (                         位单股持
                                                                       :构结权股              14.
                                                   . . . :址网司公.
                                                               www scfund com cn               13
                               - 、)费话途长免( - - :话电务服户客.
                              021 50509666                       400 821 0588                  12
                                                                   ) (:真传.
                                                                       021 50509884            11
                                                                   ) (:话电.
                                                                       021 50509888            10
                                                                     巍钱:人系联.              9
                                                           币民人元亿 :本资册注.  1            8
                                           )资合内国( 司公任责限有:式形织组.                 7
         号 】 【字金基监证会员委理管督监券证国中:号文立设准批及关机立设准批.
            82   2003                                                                           6
                                                       日 月 年 :期日立设
                                                                      2   9     2004            5.
                                                               华少任:人表代定法               4.
                                 ) (号 路深源区新东浦市海上:址地公办.
                                          200135         279                                    3
                                      ) (号 路深源区新东浦市海上:所住.
                                                 200135        279                              2
                                                     司公限有理管金基吴东:称名                 1.
                                                                          况概人理管金基)一(
                                                                          况概人理管金基)一(
                                                                          况概人理管金基)一(
                                                                          况概人理管金基)一(
                                   三、基金管理人
                      。值净计累额份金基和值净额份金基告公
和算计别分,码代置设别分别类额份金基各,别类的同不为分额份
金基的金基本将同不的式方取收费务服售销、费购申、费购认据根指                    别类额份金基
                                          用费的务服人有持
额份金基为及以售销、广推场市金基本于用,的提计中产资金基从指                     费务服售销
        件事观客的服克能不且免避能不、见预能不人事当同合本指                       力抗可不
      站网网联互和刊报的露披息信行进以用的定指会监证国中指                         体媒定指
    具工融金的性动流好良有具他其的可认行银民人国中、会监证
国中;据票行银央中的)年一含(内以年一在限期;购回券债的)年一
                                                  7
,金基资投券证型合混置配活灵线值价势趋新吴东品产只九十第的理管已司公。司公限有份股行银
安平为行管托,效生同合金基日 72 月 5 年 5102 于,金基资投券证型合混置配活灵联互动移吴东
品产只八十第的理管已司公。司公限有份股行银安平为行管托,效生同合金基日 9 月 5 年 4102 于
,金基资投券证级分数指券债换转可证中吴东品产只七十第的理管已司公。司公限有份股行银业农
国中为行管托,效生同合金基日 91 月 3 年 4102 于,金基资投券证型合混置配活灵法尔阿吴东品
产只六十第的理管已司公。司公限有份股行银通交为行管托,效生同合金基日 52 月 4 年 3102 于
,金基资投券证型券债级分利鼎吴东品产只五十第的理管已司公。司公限有份股行银通交为行管托
,效生同合金基日 03 月 1 年 3102 于,金基资投券证型合混长增需内吴东品产只四十第的理管已
司公。司公限有份股行银业农国中为行管托,效生同合金基日 31 月 8 年 2102 于,金基资投券证
  型合混本保吴东品产只三十第的理管已司公。司公限有份股行银设建国中为行管托,效生同合金
基日 9 月 3 年 2102 于,)FOL(金基资投券证型强增数指 001 证深吴东品产只二十第的理管已司公
。司公限有份股行银设建国中为行管托,效生同合金基日 82 月 9 年 1102 于,金基资投券证型票股
  选精业产新吴东品产只一十第的理管已司公。司公限有份股行银信中为行管托,效生同合金基日
  72 月 7 年 1102 于,金基资投券证型券债利增吴东品产只十第的理管已司公。司公限有份股行银
业农国中为行管托,效生同合金基日 1 月 2 年 1102 于,金基资投券证数指业产兴新证中吴东品产
只九第的理管已司公。司公限有份股行银商工国中为行管托,效生同合金基日 92 月 6 年 0102 于
,金基资投券证型票股业创新吴东品产只八第的理管已司公。司公限有份股行银业农国中为行管托
  ,效生同合金基日 11 月 5 年 0102 于,金基资投券证场市币货吴东品产只七第的理管已司公。司
公限有份股行银设建国中为行管托,效生同合金基日 03 月 21 年 9002 于,金基资投券证型票股济
经新吴东品产只六第的理管已司公。司公限有份股行银业农国中为行管托,效生同合金基日 6 月
  5 年 9002 于,金基资投券证式放开型合混置配活灵略策取进吴东品产只五第的理管已司公。司公
限有份股行银设建国中为行管托,效生同合金基日 5 月 11 年 8002 于,金基资投券证型券债健稳
信优吴东品产只四第的理管已司公。司公限有份股行银夏华为行管托,效生同合金基日 32 月 4 年
  8002 于,金基资投券证型票股动轮业行吴东品产只三第的理管已司公。司公限有份股行银业农国
中为行管托,效生同合金基日 51 月 21 年 6002 于,金基资投券证型票股力动双长成值价吴东品产
只二第的理管已司公。司公限有份股行银商工国中为行管托,效生同合金基日 1 月 2 年 5002 于
  , 金基 资投 券证 式 放开型 合混 选精 势优 禾 嘉吴东 品产 只一 第的 理 管已司 公 。门 部能 职个 91
  等部理管险风、部核稽察监和部理管务财、处事办京北、部术技息信、部务事金基、部源资力人
  、)部务事政行与部理管合综为别分,门部级二个二设下(室公办理经总、)部融金子电挂加(部
  划策销营、部略策品产、司公分州苏、心中销营州广、心中销营海上、心中销营京北、部理管销
营、室易交中集、部划策究研、部业事务业户专、部总资投金基立设司公限有理管金基吴东
                                                                                  :绍介况情要简 15.
                            100%                      10,000                            计合
                                           8
  银通交,长行副、长处行分海上行银通交,长处、长科行分区治自及州巴行银业农疆新,员科行
  支心中州巴行银民人疆新任历。师济经级高,员党共中,历学专大,事董立独,生先奇如陈
                    。编总副社版出学大州苏任现,长部部作工生究研委党学大州苏、长处处科
  社文人学大州苏、师教院学理管学大州苏任历。师导生士博,授教,事董立独,生先志勇袁
                                                。授教院学经财院学商学大州苏任现。授教
  副、师讲院学经财院学商学大州苏任历。师导生士博,授教,学大,事董立独,生先新政贝
                                                                                。理经
  总副务常司公限有理管金基吴东任现。理助裁总、理经总部户客构机、任主室公办裁总券证吴东
,员科处衡平合综局计统市州苏任历。员党共中,师济经、生究研士硕,事董工职,生先炯王
                                。理经总副司公限有营经产资浩东海上、理经总副部营运本资
  司公限有)团集(易贸务服际国生兰浩东海上任现。长处副处革改业企,员科任主、员科任主副
  处展发划规、处合综会员委理管督监产资有国市海上任历,生究研士硕,事董,士女伟卓全
                                        。理经总部总理管产资兼师划规总司公限有份股券证
  吴东任现,长所所究研兼师划规总券证吴东,裁总副、理经总部总管经兼理助裁总、长所所究研
  券证联国,员究研所究研券证吴东任历。员党共中,师济经,生究研士博,事董,士女恂冯
                                                                            。理经总司
  公限有理管金基吴东任现。长事董司公限有货期吴东,裁总副、员委委党司公限有份股券证吴东
,长所所究研、长组组备筹货期任兼理助裁总、师济经总、理经总部总理管产资司公限有份股券证
  吴东,师济经总副、理经总部理管产资、理经总部资投券证州苏,理助理经总司公货期辰中州苏
  ,员查检理助院察检民人市州苏任历。员党共中,师济经,生究研士博,事董,生先华少任
                                            。理经总部展发资投司公限有)团集(易贸务服
  际国生兰浩东海上任现。理经总部理管运营司公限有)团集(生兰海上、理经总、理经总副务常
  司公限有份股生兰海上、理经总副司公限有展发际国工轻海上、理经总司公分金五司公限有)团
  集(际国工轻海上任历。员党共中,师务商际国级高,生究研士硕,长事董副,生先峰辉陈
          。长事董司公限有理管金基吴东任现,记书委党、长事董司公限有份股券证吴东,长局
  副局计审市州苏、长科局务税市州苏、长局局分三局务税市州苏、长科副局务税市州苏、员科局
  政财市州苏任历。员党共中,师济经级高、师计审级高,生究研士硕,长事董,生先敏永吴
                                                                      员成会事董、1
                                                                况情员人要主)二(
                    。司公限有份股行银业农国中为行管托,效生同合金基日 1 月 7 年 5102 于
                                           9
                                                      ;理经总副部总资投金基 斌戴
                                                          ;理经总部划策究研 宪陈
                                                        ;理经总部总资投金基 定庆杨
                                                                 ;理经总司公 华少任
                                                                 员成会员委策决资投.5
                                        日 13 月 01 年 4102 至日 72 月 7 年 1102 勇韦
                                                                       :理经金基任历
              。理经金基金基资投券证型券债利增吴东任担起日 61 月 01 年 4102 自,理助理经
金基、员究研部益收定固任曾,司公限有理管金基吴东于职就今至月 3 年 2102。师析分级高级评
用信券债司公限有估评券证信诚中、理经目项级高行银投司公限有份股券证合联、员析分级评贷
信司公限有估评券证信诚中任历。位学士硕融金,业毕学大开南,历经业从券证年 9,华文王
                                                                            理经金基.4
                                                。长察督司公限有理管金基吴东任现,务职
等理助裁总司公、人责负务财司公限有理管金基吴东,理经总部务财券证吴东,长处副、员科处
计审融金、政财局计审市州苏任历。员党共中,师计审、师计会,学大,长察督,士女军徐
                      。理经总副务常司公限有理管金基吴东任现,务职等理助裁总、理经总
部户客构机、任主室公办裁总、任主副室公办券证吴东、管主务业部业营街北西券证州苏、员科
处衡平合综局计统市州苏任历。员党共中,师济经,生究研士硕、理经总副务常,生先炯王
                              )绍介员成会事董述上见参请历简(。理经总,生先华少任
                              )绍介员成会事董述上见参请历简(。长事董,生先敏永吴
                                                                                  3
                                                                           员人管高、
。理经总部理管险风兼理经总部核稽察监任现,理经总副部核稽察监司公限有理管金基吴东,员
计审级高所务事师计会天中道永华普任历。员党共中,位学士学,科本,事监工员,韵清沈
          。理经总部务财司公限有份股券证吴东任现,理经总副、理助理经总部务财券证吴东
、理经务财司公分纪经券证吴东任历。员党共中,师计会,位学士学科本,事监,士女菁王
      。席主会事监、监总规合司公限有份股券证吴东,理经总部总术技息信兼监总术技券证吴
东,监总术技、理经心中脑电券证州苏,长组组件硬科技科行银民人州苏,任主室、师程工厂机
算计子电州苏任历。员党共中,师济经、师程工级高,位学士硕,席主会事监,生先康锡顾
                                                                                  2
                                                                        员成会事监、
                                        。职等理经总行分港香行银通交,长行行分州广行
                                            10
  的本成理合付支在并,料资开公的关有金基与到阅查时随,式方和间时的定规》同合金基《照按
  够能者资投证保且并,出发间时定规在料资或件文项各的供提者资投金基向要需保确)71(
;上以年 51 料资关相他其和录记、表报、册账计会的动活务业理管产财金基存保定规按)61(
                                        ;会大人有持额份金基集召法依人有持额份金基、人管
  托金基合配或会大人有持额份金基集召定规关有他其及》同合金基《、》法金基《据依)51(
                            ;项款回赎付支额足、时及,请申回赎与购申理受定规按)41(
;益收金基配分人有持额份金基向时及,案方配分益收金基定确定约的》同合金基《按)31(
                  ;露泄人他向不,密保予应前露披开公息信金基在,外定规有另定规关有他其及
  》同合金基《、》法金基《除。等向意资投、划计资投金基露泄不,密秘业商金基守保)21(
        ;务义告报及露披息信行履,定规关有他其及》同合金基《、》法金基《照按格严)11(
                                                    ;告报金基度年和度年半制编)01(
                                        ;告报计会务财金基制编并算核计会金基行进)9(
;格价的回赎、购申额份金基定确,值净产资金基告公并算计定规关有按,定规的件文律法等》同
  合金基《合符法方的格价销注和回赎、购申、购认额份金基算计使施措的理合当适取采)8(
                                                      ;督监的人管托金基受接法依)7(
                                              ;产财金基作运人三第托委得不,益利取谋人三
  第何任及己自为产财金基用利得不,外定规关有他其及》同合金基《、》法金基《据依除)6(
    ;资投券证行进,账记别分,理管别分金基同不的理管所对,立独互相产财的人理管金基和产财
金基的理管所证保,度制等理管事人及理管务财、核稽与察监、制控险风部内全健立建)5(
                                                                            ;产财金基作运
和理管式方营经的化业专以,策决、析分资投金基行进员人的格资业专有具的够足备配)4(
        ;产财金基用运和理管则原的勉勤慎谨、用信实诚以,起日之效生》同合金基《自)3(
                                                                ;续手案备金基理办)2(
    ;益利的者资投金基护保施措要必取采并,门部管监他其和会监证国中报呈应,定规律法关有
  家国及议协理代务服与售销金基、》同合金基《反违构机销代金基为认如;宜事记登和回赎、购申
、售发的额份金基理办为代构机他其的定认会监证国中经托委者或理办,金基集募法依)1(
                                                                  责职的人理管金基)三(
                                                                  责职的人理管金基)三(
                                                                  责职的人理管金基)三(
                                                                  责职的人理管金基)三(
                                                      。系关属亲近在存不间之员人述上
                                                      。理经总副部总资投金基 立立王
                                              11
                                                                            ;券证销承(5)
                                        ;失损担承者或益收诺承规违人有持额份金基向    (4)
                                ;益利取牟人三第的外以人有持额份金基为产财金基用利    (3)
                                                  ;产财金基同不的理管其待对地平公不  (2)
                              ;资投券证事从产财金基于同混产财人他者或产财有固其将    (1)
      :生发为行的止禁规法关有及》法金基《下以止防,施措效有取采,度制制控部内全健立建
                                                                                        2
,》法办售销《、》法办作运《、》法办露披息信《、》法金基《、》法券证《守遵格严人理管金基.
                                                                      。资投的金基本理处权全等
  制限及略策、念理、标目资投的明列书明说募招照按,定规的同合金基据根将人理管金基.      1
                                                                       诺承人理管金基)四(
                                                                       诺承人理管金基)四(
                                                                       诺承人理管金基)四(
                                                                       诺承人理管金基)四(
                   。务义他其的定约》同合金基《和的定规会监证国中及规法律法 )72(
                                                                                   ;册
 名人有持额份金基供提人管托金基向期定不或期定,册名人有持额份金基存保并立建)62(
                                         ;定决的会大人有持额份金基的效生行执)52(
                                                                               ;人购认
 金基还退内日 03 后束结期集募金基在息利款存期同行银计加并金资集募已将,用费集募部全担承
 人理管金基,效生能不》同合金基《,件条案备的金基到达能未间期集募在人理管金基)42(
   ;为行律法他其施实或利权讼诉使行益利人有持额份金基表代,义名人理管金基以)32(
                                           ;偿追方三第向权有人理管金基,下况情的任责了
 担承先首人理管金基而,失损到受益利人有持额份金基或产财金基致导任责方三第因但;任责担
 承为行的务事金基关有理处方三第对当应,时理处方三第托委务义其将人理管金基当)22(
       ;偿追人管托金基向益利人有持额份金基为应人理管金基,时失损产财金基成造》同合金
 基《反违人管托金基,务义的己自行履定规》同合金基《和规法律法按人管托金基督监)12(
                                               ;除免而任退其因不任责偿赔其,任责偿赔担
 承当应,时益权法合人有持额份金基害损或失损的产财金基致导》同合金基《反违因)02(
                                                                                   ;人
 管托金基知通并会监证国中告报时及,时产破告宣法依被者或销撤被法依、散解临面)91(
     ;配分和现变、价估、理清、管保的产财金基与参,组小算清产财金基加参并织组)81(
                                                           ;件印复的料资关有到得下件条
                                          12
                                                          。息信等划计资投金基
、容内资投金基的开公法依未尚,密秘业商的金基、券证关有的悉知间期职任在漏泄不   (3)
;益利当不取谋人三第他其何任或人雇受、人表代被、人理代被、己自为便之务职用利不 (2)
                                                                          ;益
利大最取谋人有持额份金基为则原的慎谨着本,定规的同合金基和规法、律法关有照依   (1)
                                                                                 4
                                                                    诺承理经金基.
                                。为行的止禁会监证国中及以规法政行、律法他其  (10)
                              ;分成诈欺、导误、假虚有含意故中露披息信开公在   (9)
                                                                          ;序
秩场市乱扰,格价场市纵操段手等仓对、倒对、敲对用利,则规务业所场易交券证反违   (8)
                                                            ;息信等划计资投金
基、容内资投金基的开公法依未尚、密秘业商的金基、券证关有的悉知间期职任在露泄   (7)
                                                          ;权职用滥、守职忽玩 (6)
                              ;管监法依会监证国中响影重严或挠阻、扰干、绝拒   (5)
                                          ;假作虚弄中料资的送报会监证国中向在 (4)
                      ;益权法合的人事当同合金基他其或人有持额份金基害损意故   (3)
                                                      ;议协管托或同合金基反违 (2)
                                                              ;营经规违或权越 (1)
                                        :为行下以事从不,责尽勉勤、用信实诚,范规业行
及规法、律法关有家国守遵工员束约和促督,守操业职化强,理管员人强加将人理管金基. 3
                                  。定规其从时定规有另制限述上对门部管监或规法律法
                。动活他其的止禁定规会监证国中由,定规关有规法政行、律法照依  (12)
                  ;动活易交券证的当正不他其及格价易交券证纵操、易交幕内事从  (11)
                  ;券证的销承内期销承者或券证的行发司公的系关害利大重他其有
人管托金基、人理管金基本与者或东股的系关股控有人管托金基、人理管金基本与卖买  (10)
                                                                        ;券债
者或票股的行发人管托金基、人理管金基本卖买者或资出人管托金基、人理管金基本向   (9)
                                ;外除的定规有另院务国是但,额份金基他其卖买   (8)
                                                      ;资投的任责限无担承事从 (7)
                                                      ;保担供提者或款贷人他向 (6)
                                                 13
                                                 :分部成组下如括包,言而体具。行执的
 施措理管险风的司公察监责负部察监,控监和估评险风的门部本责负门部务业个各,任责终最负
 理管险风对层理管高最由,构结织组的制牵互相、确明工分个一是构结系体理管险风的司公
                                                 构结系体制控险风部内和理管险风.                3
                                                   。果效制控部内的佳最到达本成制控的
理合以,益效济经高提,本成作运低降法方理管营经的化学科用运司公。则原益效本成               (7)
                                                                  。善完和改修的应相行进
时及而变改的境环部外等度制策政、规法、律法家国和化变的境环部内等理管营经、针
方营经、略战营经司公着随且并,性瞻前有具应定制的度制制控部内司公:则原性时适               (6)
                                              。施措罚处失过和序程批审的格严定制为行
应相其对应,员人的息信幕内悉知要需务业因对。离分格严应算清易交和策决资投,离
                                                                                           (5)
隔当 适 上度 制和 上间 空在 应务 业 资投 金资 有自 司公 和务 业 资投 金基 司公 :则 原墙 火 防
                                                          ;能职核稽察监的门部各对部核
稽察监化强时同,约制互相、明分责权须必置设的位岗和门部部内司公:则原约制互相               (4)
  ;核稽和察监行进作工制控险风门部各司公对责负,性威权和性立独的度高持保并有
具员人和构机制控险风各,部核稽察监和长察督、会员委理管险风设司公:则原性立独               (3)
                                                                                      ;行执
效有的度制控内护维,序程控内的理合立建,法方和段手控内的学科过通:则原性效有               (2)
                                                     ;节环营经个各等馈反、督监、行执
、策决到透渗并,员人级各和门部个各、务业项各的司公盖覆须必制控险风:则原性全健             (1)
                                                                              则原的理管险风.   2
                                                               ;障保是督监行执度制        (5)
                                                                   ;础基是设建度制        (4)
                                               ;提前是构结织组的制牵互相、确明工分        (3)
                                                             ;任责终最负层理管高最        (2)
                                                         ;障保的展发务业是理管险风        (1)
                                                                     念理的理管险风.        1
                                                                度制制控部内的人理管金基)五(
                                          14
                                                。失损少减地能可尽,避规和制控、散分
行进险风对,施措的效有取采时及司公便以,险风的股个及业行、势趋数指示提以用,型模理管
                                                                              6
险风的化量数立建,段手制控险风的化术技、化量数取采:段手理管险风的化量数用使) (
                              。控监的时实和面全行进险风种各的现出能可对能,统系控监
                                                                              5
资投、统系警预脑电如,统系控监部内的效有、够足了立建;统系控监部内的效有立建) (
              。策决出作度速快最以而从,况状险风握掌时及员人的次层个各使,报汇层层行
进患隐险风对,序程告报险风的上而下自了立建司公;险风的关有作运司公与估评和认确,序程
                                                                              4
的合适用使,会员委的险风估评了立建;序程示提、告报、估评、别识、类分险风立建) (
                        。险风少减和范防以,报上患隐险风的中域领作工自各将时及并,责
                                                                              3
职、务任的己自确明都工员个每使,制任责位岗了全健、立建:制任责位岗全健、立建) (
                                                                                 。险
风范防和少减上度制从,制机衡制的间之位岗同不、门部同不成形,中集易交金基,开分策决资
                                                                              2
投,开分理经金基到做,度制项各了全健、立建:制机控内的衡制互相、离分互相立建) (
                                                  。新更期定并,册手作操备置时同,持
支的员人管高到得并,的立独是动活察监保确,权授和织组的当恰有动活务业项各保确,工分的
                                                                              1
确明有控内于关员人管高,构结控内了全健、立建司公:度制控内善完,构结控内立建) (
                                                  施措的制控险风部内和理管险风.  4
                                                                  。险风低降和控监、别
识于用,护维和行执、发开的统系理管险风的门部本责负,序程理管险风的司公行履责负,任责
                                                                              5
部全负险风的门部本对理经门部。任责的要首最门部务业个一每是理管险风:门部务业) (
                                                                              4
      。议建和估评、察监、立建的度制与制机控内司公责负部核稽察监:部核稽察监) (
                                                          。议建理管险风和告报理管险
                                                                              3
风的立独交提会员委制控险风向季按;责负会事董对接直;利权察督使行立独:长察督) (
  。项事大重的面方制控部内关有他其理处层理管营经助协,证论性行可的务业大重持主,策政
理管险风务业的司公定制,要需的展发务业应适度制控内司公证保,度制制控部内全健立建层理
                                                                              2
管营经助协责负会员委理管险风,一之会员委门专的下导领裁总为作:会员委理管险风) (
                                                                              1
        。任责的终最和的全完负理管险风对,策政理管险风的司公定制责负:会事董) (
                                           15
            。务业他其的准批构机理管督监业行银院务国经;务业汇售、汇结;务服箱管保供
提;项款付收理代;保担及务服证用信供提;务业卡行银事从;汇外卖买理代、卖买;借拆业行
同事从;券债融金、券债府政卖买;券债府政销承、付兑理代、行发理代;券债融金行发;现贴
与兑承据票理办;算结外内国理办;款贷期长和期中、期短放发;款存众公收吸:围范营经
                                                              bank.ecitic.com
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                                                        部管托产资行银信中:人系联
                               [2004]125
                              号          字基监证会监证国中:号文准批务业管托金基
                        号[1987]14函办国厅公办院务国国和共民人华中:号文立设准批
                                                                营经续持:间期续存
                                                        币民人元亿467.873
                                                                        :本资册注
                                                            司公限有份股:式形织组
                                                          7   4     1987
                                                          日 月 年 :间时立成
                                                                明振常:人表代定法
                                                9
                            楼北厦大化文方东号 街大北门阳朝区城东京北:址地公办
                                      C             8
                                      座 厦大华富号 街大北门阳朝区城东京北:所住
                                    )”行银信中“称简(司公限有份股行银信中:称名
                                                                    况情本基)一(
                                                                况情人管托金基、一
                                 四、基金托管人
                     。度制制控部内善完断不展发司公和化变场市据根诺承司公本) (2
                               ;确准、实真露披的制控部内于关上以诺承司公本) (1
                                             书明声制控规合部内于关人理管金基.     5
                                                          。险风制控,在所责职其确明
                                                                                7
工员使,训培的当适和够足供提工员有所为,划计训培的整完了定制:训培的够足供提) (
                                                                        16
        职人管托行履实切,则原的”责尽勉勤、用信实诚“着本行银信中。格资人管托金基得取,准批
        会员委理管督监业行银国中和会员委理管督监券证国中经行银信中,日 月 年                                18       8       2004
                                                                况情营经务业管托金基)三(
                                        。)作工持主(理经总副、理经总副、理助理经总部务业际国
        行总、管主部全保产资行总、理经处部行银资投行总、长科室书秘长行行总任历,作工行本入进
            8     1996
        月 年 。士博学济经,理经总部管托产资司公限有份股行银信中任现,生先云泽刘
                                                   UBS
                      。作工构机融金等 行银合联士瑞和 行银士瑞在,月 年 至月 年        SBC                           1       1997            1
       1996                                        5     1997       10
            。作工事外责负团集信中在月 年 至 年 。作工部交外国中在,月 年 至月 1993                                      10         1993
       8        1991                                            6           1997
          年 。书秘长事董团集信中任担始开月 年 。书秘长事董行银信中及长事董团集信中任
        兼时同、任主副厅公办团集信中任担曾。务业管托管分,长行副行银信中,生先新国苏
                                                                                 。长行行银信中
                                               7        2014
、理经总副司公限有份股信中国中任,月 年 。理经总副司公限有份股信中国中任,月 年 至月                                         7      2014
 9   2013
    年 。理经总部融金人个兼监总务业售零行总行银业农国中任,月 年 至月 年 。理经                  9      2013             5       2009
  总部务业贷信人个、部务业人个兼监总务业售零行银业农国中任,月 年 至月 年 。长行、记         5       2009        1       2009
                                          12           2008         1        2007
  书委党行分西广行银业农国中任,月 年 至月 年 。理经总、理经总副、长处、长处副、部
                                               1        2007            8
  干部务业际国行总行银业农国中任,月 年 至月 年 。师济经级高,长行,萍庆李    1984
                                                                         况情员人要主)二(
                                                                                           。可
        认面全性效有全健的制控部内和理管险风的程流作运务服管托行银信中对方三第正公立独了明表
        ,告报订审       SAS70
                          的见意留保无得获并订审制控部内                           SAS70
                                                                国美了过通行银信中,年                                              2009
                                                                                         。行银
        业商性国全的力争竞合综大强有具并长增速快家一是,一之行银业商的厚雄最力实本资内国为成
        已行银信中,展发的年多十二过经。权股                  70.32%
                                                    )金国信中:称简(司公限有股控融金际国信中
                                   2009
        购收功成行银信中,年 。市上步同功成所易交合联港香和所易交海上在行银信中,日 月                                                  27       4
            2007                                                BBVA
        年 。系关作合略战的补互势优了立建) (行银外对牙班西的先领洲欧与,者资投略战
        进引功成,年同。司公限有份股行银信中立成式正,东股为司公限有股控融金际国信中和团集信
                          12     2006
        中国中以,月 年 。”行银信中“名更式正,月 年 于,大壮长成渐逐中潮大的革改 8     2005
        场市融金国中在行银业实信中,展发速快的济经国中随伴。外内海声蜚而一第个多上史融金代现
        国中创屡以并,行银业商的资融场市融金外内国与参早最国中是,一之行银业商兴新的立成早最
        中放开革改国中是,行银业实信中名原,年 于立成)         1987  、                 601998.SH 0998.HK
                                                                                 (行银信中
                                            17
  绩业金基的载登中料材介推传宣金基、露披息信关相、配分益收金基、定确入收及支开用费金基
、账到金资收应、算计值净额份金基、算计值净产资金基、作运资投的金基对,定规的章规及规法
律法关有和议协管托、同合金基、》法办露披息信《、》法办作运《、》法金基《据根人管托金基
                         序程和法方的督监行进金基作运人理管金基对人管托金基、)三(
                         序程和法方的督监行进金基作运人理管金基对人管托金基、)三(
                         序程和法方的督监行进金基作运人理管金基对人管托金基、)三(
                         序程和法方的督监行进金基作运人理管金基对人管托金基、)三(
                                              。育教德道业职强加,训培续持的式形种多展开
,境环制控部内的好良造营;行运立独产财金基的管托所保确,度制等理管权授务业和线防制控部
  内的密严立建;全安的息信金基证保,统系控监音录、像录了装安,区密保全安了立设位岗和门
  部害要在,理管闭封行实所场行运务业对,件条质物的产财金基管保全安了立建;展发健稳务业
  管托金基证保上员人、上度制从,等范规为行、责职位岗、程流作操、度制章规项各了立建
                                                              施实施措制控险风部内、4
                    。展发健稳、续持、规合、法合务业管托金基资投券证证保,节环个各的务
  业管托金基资投券证盖涵,度制章规套整一等》则细施实查检控内务业管托行银信中《和》法办
  理管制控部内务业管托金基行银信中《、》法办理管务业管托金基行银信中《了定制,线主为险风
  务业管托金基范防和制控以,定规的章规及规法律法他其及以》法金基《照按格严行银信中
                                                                      度制制控部内、3
                                                                  。察监核稽的正公、观客
、立独行进程流务业和节环作工个各的务业管托金基对,制控险风部内部管托责负门专,岗规合控
  内设内部管托;作工范防险风和制控险风的行全责负,会员委理管险风了立建行总行银信中
                                                              构结织组制控险风部内、2
                                                                                  。益利人
  有持额份金基护维,全安产财金基保确,险风免避和制控、析分、现发地效有时及,系体控监险
  风的效高立建,察监核稽强加;展发健稳、续持务业管托金基证保,程规作操和度制章规的善完
  立建;行执彻贯的格严面全到得中务业管托金基在章规及规法律法关有保确,理管部内化强
                                                                  标目制控险风部内、1
                                                     度制制控部内的人管托金基)二(
                                                     度制制控部内的人管托金基)二(
                                                     度制制控部内的人管托金基)二(
                                                     度制制控部内的人管托金基)二(
               3.5                            QDII
。币民人元亿万 模规总管托,产资管托他其等 、金基权股、金年业企、品产托信、品产理
                                       52                    31
管产资司公券证及金基资投券证式放开只 管托已行银信中,日 月 年 至截 12   2014
                                                                                     。责
                                            18
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                                                                          峰刘:人系联
                                                                   良超蒋:人表代定法
                                            号 96 街大内门国建区城东市京北:址地公办
                                            号 96 街大内门国建区城东市京北:址地册注
                                                      司公限有份股行银业农国中) (
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                                                                      :构机销代   2.
                                                             www.scfund.com.cn :站网
                                                            8850128004 :话电务服户客
                                                                         巍钱:人系联
                                                                   48890505-120:真传
                                                                   华少任:人表代定法
                                                        号 972 路深源市海上:址地公办
                                                        号 972 路深源市海上:址地册注
                                                                 司公限有理管金基吴东
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                。会监证国中告报式形面书以将人管托金基,的正纠内期限在能未项事规违或为
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          19
                                  建吴:人表代定法
)500001(号 22 街大内门国建区城东市京北:址地公办
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                         moc.mmocknab.www:址网司公
                                     95559:话电服客
                                 38480485-120:真传
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                    号 881 路中城银市海上:址地公办
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                                      33559:话电服客
                                45657266)010(:真传
                                         静张:人系联
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     楼号 1 院号 1 街大口市闹区城西市京北:址地公办
              号 52 街大融金区城西市京北:址地册注
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                                     88559:话电服客
                               26650166)010(:真传
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)500001(号 55 街大内门兴复区城西市京北:址地公办
)500001(号 55 街大内门兴复区城西市京北:址地册注
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                                 91629075)010(:话电
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            号 2 街大内门兴复区城西市京北:址地公办
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                                      85559:话电服客
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座 C 厦大华富号 8 街大北门阳朝区城东市京北:址地公办
座 C 厦大华富号 8 街大北门阳朝区城东市京北:址地册注
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                                      55559:话电服客
                               94059138 )5570(:真传
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       厦大行银商招号 8807 道大南深市圳深:址地公办
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                                                 6
                          nc..moc.bxh.www:址网司公
                                77559:话电务服户客
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         21
                          nc.knabzw.www :址网司公
                              99669-7750:话电服客
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                                       波林:人系联
                                 福增邢:人表代定法
                   号 691 道大站车市州温:址地公办
          楼号 1 场广海华道大站车市州温:址地册注
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    202169-5570)费途长免(99999-66004:话电服客
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                                     莉张:人系联
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     厦大行银安平号 9901 路中南深市圳深:址地公办
     厦大行银安平号 9901 路中南深市圳深:址地册注
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                       司公限有份股行银安平)00001111(
                         nc.moc.bcbn.www:址网司公
                 825269 区地海上,82569:话电服客
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                                    勋技胡:人系联
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楼大行银波宁号 007 路南南宁区州鄞市波宁:址地公办
            号 492 路东山中区东江市波宁:址地册注
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                                  86559:话电服客
                              11629075)010(:真传
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层 12-81 厦大旅商号 181 路园翠区园业工州苏:址地册注
                         司公限有份股券证吴东)51(
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                         8906968004,89069:线热服客
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                                     玮洪张 :人系联
                                   平夏 :人表代定法
                     号 55 路北武洪市京南:址地公办
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                         司公限有份股行银苏江)44441111(
                        moc.knabuohzus.www:址网司公
                                       76069:线热服客
                                  07386896-2150:真传
                                  98386896-2150:话电
                                        楠喻项:人系联
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        号 827 路园钟区园业工市州苏省苏江:址地公办
               号 341 路北吴东市州苏省苏江:址地册注
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                             777-113-8004:话电服客
                                 4889966-5350:真传
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                                     华淑王:人系联
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                 号 52 路港海区罘芝市台烟:址地公办
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            层 54 号 989 路乐长区汇徐市海上:址地册注
                             元亿 033 币民人:本资册注
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                      nc.moc.kcotsanihc.www:址网司公
                               888-888-8004:话电服客
                                   63586566-010:真传
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                                         薇田:人系联
                                   安有陈:人表代定法
座 C 厦大业企际国号 53 街大融金区城西市京北:址地公办
座 C 厦大业企际国号 53 街大融金区城西市京北:址地册注
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                     司公限有份股券证河银国中)77771111(
                             moc.cesth.www:址网司公
                                  35559-120:话电服客
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                                鸣笑李、芸金:人系联
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           厦大券证通海号 986 路东广市海上:址地公办
                     号 89 路中海淮市海上:址地册注
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                          司公限有份股券证通海)66661111(
                            nc.moc.qzwd.www:址网司公
                              88269333-2150:话电服客
                                  12088556-2150:真传
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                                       丹晓方:人系联
                                     力范:人表代定法
                   号 5 街阳星区园业工州苏:址地公办
                                            24
  楼 44、34、24、14、93、83、63、91、81、5 场广会都大路北河天州广省东广:址地公办
           )房 6134-1034(楼 34 场广会都大号 781-381 路北河天区河天州广:址地册注
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                                                               801-8888-004:话电服客
                                                                 16228156)010(:真传
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                                                      号 881 街大内朝市京北:址地公办
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                                                                         巍李:人系联
                                                                 moc.cesyh.www:址网
                                       2650-008-004:话电务服户客 59158088-010:真传
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                                                                           )200038:编
邮(室 5002 楼 02 厦大际国成大号 853 路南京北)区市新(区新高市齐木鲁乌疆新:址地公办
  室 5002 楼 02 厦大际国成大号 853 路南京北)区市新(区新高市齐木鲁乌疆新:址地册注
                          .dtL ,.oC )nretseW( seitiruceS nauygnoH nawnehS:称名文英
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                                                     moc.csyhws.www :址网网联互际国
                                                               505269-120:托委话电
                                                       3255988004 或 32559:话电服客
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                                                                    梅李:人表代定法
                           )130002:编邮(层 54 号 989 路乐长区汇徐市海上:址地公办
                   25
                                             祺敏芮:人系联
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  楼 92 厦大行银海上号 861 路中城银区新东浦市海上:址地公办
                      号 816 路城商区新东浦市海上:址地册注
                            司公限有份股券证安君泰国) (
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                            司公限有份股券证安君泰国)44442222(
                                   nc.moc.cslg.www:址网司公
                                      8825 888 004:话电服客
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                                                 欣徐:人系联
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                    楼 7、楼 6 号 8 街东前县市锡无:址地公办
                    楼 7、楼 6 号 8 街东前县市锡无:址地册注
                                司公限有份股券证联国)32(
                                 nc.moc.nesoug.www:址网司公
                                              63559:话电服客
                                         25933128-5570:真传
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                                               燕晓齐:人系联
                                            如何:人表代定法
    层 6 厦大券证信国号 2101 路中岭红区湖罗市圳深:址地公办
层 62-61 厦大券证信国号 2101 路中岭红区湖罗市圳深:址地册注
                                司公限有份股券证信国) (
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                                司公限有份股券证信国)22222222(
                                   nc.moc.fg.www:址网司公
                         点网业营地各电致或 57559:话电服客
                                         50355578-020:真传
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                                               岚黄:人系联
                                         明树孙:人表代定法
                    26
                                             79559:话电服客
                                              玲亦肖:人系联
                                         36797548-520:真传
                                         32509238-520:话电
                                         善万吴:人表代定法
           厦大券证泰华号 09 路东山中市京南省苏江:址地公办
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                                 司公限有份股券证泰华) (
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                                 司公限有份股券证泰华)77772222(
                                 nc.moc.ecnesse.www:址网司公
                                       1001-008-004:话电服客
                                           50385528-5570:真传
                                           15552828-5570:话电
                                                虹剑陈:人系联
                                            兴冠牛:人表代定法
             层 9 栋 1 厦大凰凤道大南深区田福市圳深:址地公办
20A 层 82、层 53 厦大联安号 8104 路田金区田福市圳深:址地册注
                                 司公限有份股券证信安) (
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                                    nc.moc.qzyj.www:址网司公
                                       822-888-8004:话电服客
                                        52652038)5570(:真传
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                                               清贤马:人系联
                                             涛陆:人表代定法
          层 71 心中融金代时号 1004 道大南深市圳深:址地公办
             层 4 厦大券证号 63 路宝南市口海省南海:址地册注
                                 司公限有份股券证元金)52(
                                  666-8888-004:线热务服户客
                                          16107683-120:真传
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                                 27
                                              司公限有份股券证大光) (
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                                              司公限有份股券证大光) (
                                              司公限有份股券证大光)11113333(
                                               moc.dsscitic.www :址网司公
                                                          84559 :话电服客
                                                            超忠吴:人系联
                                                       50622058-2350:真传
                                                       62322058-2350:话电
                                                        林宝杨:人表代定法
       层 02 第楼号 1 场广融金际国岛青号 222 路圳深区山崂市岛青:址地公办
       层 02 第楼号 1 场广融金际国岛青号 222 路岭苗区山崂市岛青:址地册注
                                          司公任责限有券证通万信中) (
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                                          司公任责限有券证通万信中)00003333(
                                                  moc.qzfc.www :址网司公
                                                  05330448-1370:话电服客
                                                      93430448-1370:真传
                                                      91330448-1370:话电
                                                            磊郭 :人系联
                                                        晖周 :人表代定法
          层 62 心中富财际国天顺号 08 段二路中蓉芙市沙长省南湖:址地公办
          层 62 心中富财际国天顺号 08 段二路中蓉芙市沙长省南湖:址地册注
                                              司公任责限有券证富财) (
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                                              司公任责限有券证富财)99992222(
                                                 moc.cesciva.www:址网司公
                                                    765-6688-004:话电服客
                                                       87107768-1970:真传
                                                       18686768-1970:话电
                                                              蕾戴 :人系联
                                                          航杜:人表代定法
楼 14 座 A 厦大融金际国号 9161 道大中谷红区新滩谷红市昌南省西江:址地公办
楼 14 座 A 厦大融金际国号 9161 道大中谷红区新滩谷红市昌南省西江:址地册注
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                                                nc.moc.csth.www:址网司公
                28
                                      林少宫:人表代定法
     层 54—83 座 A 厦大苏江路田益区田福市圳深:址地公办
     层 54—83 座 A 厦大苏江路田益区田福市圳深:址地册注
                              司公限有份股券证商招)43(
                              moc.anihcicob.www:址网司公
                                 8888026004:话电务服户客
                                     02782302)120(:话电
                                             瑾马:人系联
                                         刚许:人表代定法
  F04-93 厦大银中号 002 路中城银区新东浦市海上:址地公办
     F93 厦大银中号 002 路中城银区新东浦市海上:址地册注
                         司公任责限有券证际国银中) (
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                         司公任责限有券证际国银中)33333333(
                                   moc.qzhb.www:址网司公
                                   889-5156-004:话电服客
                                       29815482-220:真传
                                       16815482-220:话电
                                           权兆王:人系联
                                       平庆杜:人表代定法
室 101 楼字写号 24 街大二第区发开术技济经市津天:址地公办
室 101 楼字写号 24 街大二第区发开术技济经市津天:址地册注
                              司公限有份股券证海渤)23(
                                   moc.ncsbe.www:址网司公
                           89980101、8878888004:话电服客
                                      芳芳李、晨刘:人系联
                                        43196122-120:真传
                                        99996122-120:话电
                                          峰薛:人表代定法
                     号 8051 路闸新区安静市海上:址地公办
                     号 8051 路闸新区安静市海上:址地册注
       29
                             88876338-520:话电
                                   晨水:人系联
                             东华张:人表代定法
        号 8 亭钟大区武玄市京南省苏江:址地公办
        号 8 亭钟大区武玄市京南省苏江:址地册注
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                    司公任责限有券证京南)77773333(
                       nc.moc.thnc.www:址网司公
                          9521694-1740:话电服客
                                  东向常:人系联
                              7070394-1740:真传
                              8993194-1740:话电
                                瑾鞠:人表代定法
  号 111 路风东区城新市特浩和呼古蒙内:址地公办
号 111 街东华新区城新市特浩和呼古蒙内:址地册注
                    司公限有份股券证泰恒)63(
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                                   83559:话电服客
                                      阳吴:人系联
                            25798886)1350(:真传
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                                 玮李:人表代定法
        层 32 号 68 路七经市南济省东山:址地公办
        层 32 号 68 路七经市南济省东山:址地册注
                         司公限有券证鲁齐) (
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                         司公限有券证鲁齐)55553333(
                   nc.moc.enowen.www:址网司公
                 111-8888-004、56559:话电服客
                                迎生林:人系联
                         63634928)5570(:真传
                         66634928)5570(:话电
                                             30
                                                                    38787826-120:真传
                                                              22152-88892223-120:话电
                                                                        丽莉戴:人系联
                                                                    云龙宫:人表代定法
                                              楼 52-02 号 857 路西京南市海上:址地公办
                                                 楼 32 号 857 路西京南市海上:址地册注
                                                           司公任责限有券证建爱) (
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                                                           司公任责限有券证建爱)00004444(
                                                             nc.svni-anihc.www:址网司公
                                                                  8008 006 004:线热服客
                                                                    9356 2028-5570:真传
                                                                    2443 2028-5570:话电
                                                                           毅刘 :人系联
                                                                      来增龙:人表代定法
               层 12 至层 81、4 第栋 A 心中务商超荣号 3006 路田益区田福市圳深:址地公办
                          元单 32、22、12、02、91、81、61、51、31、21、11、50、30、20
、10 层 40 第及层 12-81 第栋 A 心中务商超荣处界交路中福与路田益区田福市圳深:址地册注
                                                       司公任责限有券证投中国中) (
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                                                       司公任责限有券证投中国中)99993333(
                                                          网址:www.longone.com.cn
                                                         885-8888-004;13559:话电服客
                                                                          旭梁:人系联
                                                                    52889405-120:真传
                                                                    33333302-120:话电
                                                                    军化刘:人表代定法
                                   厦大券证海东号 8291 路方东区新东浦市海上:址地公办
                                     层 81 场广资投号 32 路西陵延州常省苏江:址地册注
                                                           司公任责限有券证海东)83(
                                                            nc.moc.qzjn.www :址网司公
                                                                8885-828-004:话电服客
                                                                    66002338-520:真传
                           31
                                                   8-11559:线热服客
                                               26800428-5570:真传
                                               66812622-5570:话电
                                                        琼吴:人系联
                                                 林永谢:人表代定法
)840815(层 02-61 厦大超荣号 6304 路田金区心中田福市圳深:址地公办
          层 02-61 厦大超荣号 6304 路田金区心中田福市圳深:址地册注
                                        司公任责限有券证安平) (
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                                        司公任责限有券证安平)33334444(
                                        moc.kcotsbhnc.www:址网司公
                                               8989028004:话电服客
                                                 71187786-120:真传
                                                 18087786-120:话电
                                                       歌宋:人系联
                                                   林陈:人表代定法
                层 72 厦大产资来未号 661 路环嘴家陆市海上:址地公办
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                                        司公任责限有券证宝华) (
                                        司公任责限有券证宝华)22224444(
                                    nc.moc.mjj.www:址网网金基相天
                               moc.cesxt.www//:ptth :址网顾投相天
                                                81554066-010 :真传
                                            87654066-010 :话电服客
                                             92554066-010:话电系联
                                                       伶尹:人系联
                                                 相义林:人表代定法
880001:编邮 层 5 座 C 号 82 街大外口街新区城西市京北 :址地公办
230001:编邮 107 座 B 厦大凯富号 91 街融金区城西市京北 :址地册注
                                        司公限有问顾资投相天)14(
                                             moc.qzja.www:址网司公
                                             87604336-120:话电服客
          32
                        司公任责限有券证安华) (
                        司公任责限有券证安华) (
                        司公任责限有券证安华) (
                        司公任责限有券证安华)77774444(
                         moc.csadnic.www:址网司公
                             9988-008-004:话电服客
                                 87908036-010:真传
                                 00018036-010:话电
                                       静唐:人系联
                                 刚志张:人表代定法
     楼号 1 院号 9 街大口市闹区城西市京北:址地公办
     楼号 1 院号 9 街大口市闹区城西市京北:址地册注
                        司公限有份股券证达信)64(
                          nc.moc.qzfh.www:址网司公
      )1950 拨先请外省建福(62369-1950:话电服客
                                  01638378-1950:真传
                                  32638378-1950:话电
                                         腾张:人系联
                                   琳金黄:人表代定法
层 01 至层 7 厦大地天新号 751 路四五市州福:址地公办
    层 8、7 厦大地天新号 751 路四五市州福:址地册注
                        司公任责限有券证福华) (
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                        司公任责限有券证福华)55554444(
                            moc.97559.www:址网司公
                   999-888-8004 或 97559:话电服客
                                 00918458-720:真传
                                 99999756-720:话电
                                       良李:人系联
                                 柱泽杨:人表代定法
         厦大券证江长号 8 特路华新市汉武:址地公办
         厦大券证江长号 8 特路华新市汉武:址地册注
                        司公限有份股券证江长) (
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                           moc.NAGNIP.www:址网司公
                        33
                    楼七十厦大富莲号 2 路西前莲市门厦:址地公办
                    楼七十厦大富莲号 2 路西前莲市门厦 :址地册注
                                      司公限有券证瑞国城长)05(
                                         nc.moc.szg.www:址网司公
                                             303169-020:话电服客
                                               45663888-020:真传
                                               99963888-020:话电
                                                   茹洁林 :人系联
                                               发三邱:人表代定法
      楼 02、91 塔主心中融金际国州广号 5 路西江珠市州广:址地公办
      楼 02、91 塔主心中融金际国州广号 5 路西江珠市州广:址地册注
                                      司公限有份股券证州广) (
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                                      司公限有份股券证州广)99994444(
                                            moc.qzhs.www:址网司公
                                              8198198004:话电服客
                                                35330333-120:真传
                                           5191-88891535-120:话电
                                                      瑾张:人系联
                                                民忠郁:人表代定法
                                  号 633 路中藏西市海上:址地公办
                                  号 633 路中藏西市海上:址地册注
                                      司公任责限有券证海上)84(
                                          moc.qzah.www:址网司公
                             8156908004 者或 81569-1550:话电服客
                                             27616156-1550:真传
                                             12816156-1550:话电
                                                     霖甘:人系联
                                                 工李:人表代定法
座 1B 心中智财号 891 路湖鹅天区新化文务政市肥合省徽安:址地公办
              号 891 路湖鹅天区新化文务政市肥合省徽安:址地册注
                 34
                                            晗聂:人系联
                                      明小林:人表代定法
          楼 81 厦大险保华新路田民区田福市圳深:址地公办
          楼六厦大通汇号 35 路江长市宁西省海青:址地册注
                                   司公限有券证州九) (
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                                   司公限有券证州九)33335555(
                                 nc.moc.qzkw.www:址网司公
                                     82004-81004:线热服客
                                       00554528-5570:真传
                                       00420932-5570:话电
                                            伟君赖 :人系联
                                        衡永张:人表代定法
层 94-74 心中贸经超荣号 8204 路田金区田福市圳深:址地公办
   层 74 心中贸经超荣号 8204 路田金区田福市圳深:址地册注
                                   司公限有券证矿五)25(
                               moc.citice.sc.www:址网司公
                                            85559:线热服客
                                        93733806-010:真传
                                        22733806-010:话电
                                              忠陈 :人系联
                                        明东王:人表代定法
         厦大券证信中号 84 路桥马亮区阳朝市京北:址地公办
层 A 第厦大行银商招号 8807 道大南深区田福市圳深:址地册注
                              司公限有份股券证信中) (
                              司公限有份股券证信中) (
                              司公限有份股券证信中) (
                              司公限有份股券证信中)11115555(
                                nc.moc.qzmx.www:址网司公
                                   8853615-2950:线热服客
                                       0411615-2950:真传
                                       2461615-2950:话电
                                          文金卢 :人系联
                                      辉毅傅 :人表代定法
                            35
                                                   88568283-020:真传
                                                   88568283-020:话电
                                                        鑫王 :人系联
                                                   军建张:人表代定法
层 91、81 座 F 场广地置德高号 11 路东江珠区河天市州广省东广:址地公办
层 91、81 座 F 场广地置德高号 11 路东江珠区河天市州广省东广:址地册注
                                         司公任责限有券证联万) (
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                                         司公任责限有券证联万)66665555(
                                            89569-1750:话电务服户客
                                              nc.moc.nusgib.www:址网
                                                         妍周:人系联
                                                  11738758-1750:真传
                                                  32887068-1750:话电
                                                     强沈:人表代定法
                  层 22 座银凯迪号 92 路东放解市州杭省江浙:址地公办
                      层 22 座银凯迪号 92 路东放解市州杭省江浙:所住
                                 司公任责限有)江浙(券证信中)55(
                                            moc.aslc-fc.www:址网司公
                                                   77877786:线热服客
                                                   87857786-120:真传
                                                   81848783-120:话电
                                                         丹倪:人系联
                                                     浩罗:人表代定法
           楼 9 心中融金球环 号 001 道大纪世区新东浦市海上:址地公办
           楼 9 心中融金球环 号 001 道大纪世区新东浦市海上:址地册注
                                                             ) (
                                     司公任责限有券证信华海上)4455(
                                          nc.moc.qzyt.www:址网司公
                                               8123456004:线热服客
                                                51892333-5570:真传
                                                88113333-5570:话电
                           36
                                            nc.moc.qzhg.www:址网司公
                                                       36559:线热服客
                                                  05840738-5570:真传
                                                  05390738-5570:话电
                                                        宇孟牛:人系联
                                                   锋雅张:人表代定法
                                    号 64 路湖滨市宁南西广:址地公办
                                    号 31 路星辅市林桂西广:址地册注
                                         司公限有份股券证海国)95(
                                                nc.moc.csfc.www:址网
                                88881986-920 ,99990123-120:线热服客
                                                  80438028-5570:真传
                                                  88738028-5570:话电
                                                         泉孔:人系联
                                                   新家洪:人表代定法
元单)b(10B、10A 层 82 厦大联安号 8104 路田金区田福市圳深:址地公办
元单)b(10B、10A 层 82 厦大联安号 8104 路田金区田福市圳深:址地册注
                                         司公任责限有券证鑫华) (
                                         司公任责限有券证鑫华) (
                                         司公任责限有券证鑫华) (
                                         司公任责限有券证鑫华)88885555(
                            moc.wmmjj.www 及 nc.dnuflz.www:址网司公
                                              788-887-6004:线热服客
                                                  89708028-5570:真传
                                                  35972233-5570:话电
                                                       静玉张:人系联
                                                     峰薛:人表代定法
  元单 J、I 楼 52 厦大行银展发号 7405 路东南深区湖罗市圳深:址地公办
  元单 J、I 楼 52 厦大行银展发号 7405 路东南深区湖罗市圳深:址地册注
                                     司公限有售销金基禄众圳深)75(
                                          nc.moc.qzlw.www:址网司公
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                         37
                   层 2 楼号 2 号 091 路田龙区汇徐市海上:址地册注
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108 楼 8 心中融金代时号 86 路中城银嘴家陆区新东浦市海上:址地公办
               室 502 号 0567 路公廊漕镇下廊区山金市海上:址地册注
                 司公限有问顾资投售销金基)海上(行正亚诺) (
                 司公限有问顾资投售销金基)海上(行正亚诺) (
                 司公限有问顾资投售销金基)海上(行正亚诺) (
                 司公限有问顾资投售销金基)海上(行正亚诺)22226666(
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 楼 2 楼号 2 园业产务商子电州杭号 7 路柏翠市州杭省江浙 :址地公办
        室 309 厦大茂元号 1 路西二文区湖西市州杭省江浙 :址地册注
                                司公限有售销金基顺花同江浙) (
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                          号 59 街上根城东市都成省川四 :址地公办
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                   38
  层 61 座 B 际国景裕号 555 道大东浦区新东浦市海上:址地公办
             室 022 幢 2 号 625 路翔高区新东浦市海上:址地册注
                 司公限有问顾资投售销金基量长海上:构机销代
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         层 01 厦大利泛号 22 街大外朝区阳朝市京北:址地公办
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                                 司公限有技科息信讯和) (
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楼 21 厦大生恒号 8853 道大南江区江滨市州杭省江浙 :址地公办
              号 2 东路曙海道街前仓区杭余市州杭 :址地册注
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                             司公限有售销金基米数州杭) (
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                             司公限有售销金基米数州杭)44446666(
                                 nc.moc.7654321.www:址网司公
                                       881-8181-004:线热服客
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               楼 9 座 C3 号 591 路田龙区汇徐市海上:址地公办
                                           39
                                   层6楼南心中街融金号9街大融金区城西市京北:所住
                                                    所务事师律君泽君市京北:称名
                                                               师律办经和所务事师律)三(
                                                               师律办经和所务事师律)三(
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                                   )531002(号 972 路深源区新东浦市海上:址地公办
                                   )531002(号 972 路深源区新东浦市海上:址地册注
                                                司公限有理管金基吴东:构机记登册注)二(
                                  。务义告公行履时及并,金基本售销理代构机的求要合符
他其择选,定规的等同合金基和》法办售销《、》法办作运《、》法金基《据根可人理管金基     3.
                                                             moc.yubwohe.www:址网司公
                                                                5669-007-004:线热服客
                                                                    61969586-120:真传
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             室 609~309 厦大际国斯多尔鄂号 8111 路南东浦区新东浦市海上 :址地公办
                               号 14 楼 2 楼号 62 号 691 路阳欧区口虹市海上 :址地册注
                                                      司公限有售销金基买好海上) (
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                                                      司公限有售销金基买好海上)77776666(
                                                        moc.dnufhcire.www :站网司公
                                                              9821-980-004:话电服客
                                                                 89678785—120:真传
                                                             1028-87688785-120:话电
                                                                        玲敖:人系联
                                                                  伟跃张:人表代定法
                                            40
  87.235,499,124             83.250,083,171             04.084,416,052 )份(额份集募
    19.699,331                    05.225,66                   14.474,76 )元(息利间期集募
  87.235,499,124             83.250,083,171             04.084,416,052 )元(额金购认净
        计合                            类C                         类A           级分金基
                        :下如况情体具间期集募。户专管托金基入划日 62 月 7 年 1102 于已金
资集募,户 531,7 为数户购认效有的集募次本,资验司公限有所务事师计会业天证公苏江经
                              。者资投他其的金基资投券证买购许允会监证国中或规法律法及
以,者资投构机外境格合及者资投构机、者资投人个的定规规法律法合符为象对集募。售发点网
销代的构机销代外场金基及点网销直的人理管金基过通金基本。售发开公点网销代的构机销代金
基及点网销直的人理管金基过通将金基本。日22月7年1102至日72月6年1102从期集募金基本
                                                                。期定不为限期续存金基,作
运放开为转后年一满效生同合金基,作运闭封内年一后效生同合金基,金基型约契为金基本
  。准核文号】818【】1102【字金基监证日】62【月】5【年】1102【会监证国中经请申集募,集
募定规关有他其及同合金基、》法办售销《、》法办作运《、》法金基《照依人理管金基由金基本
                                    六、基金的募集
                                                                     38861748-520:真传
                                                                     88111748-520:话电
                                                            娜魏 忠建谈:师计会册注办经
                                                                     玉瑞余:人表代定法
                                                 楼8厦大宇东号81街洪正市京南:址地公办
                                                 楼8厦大宇东号81街洪正市京南:址地册注
                                                    司公限有所务事师计会衡天苏江:称名
                                                       师计会册注办经和所务事师计会)四(
                                                            征红余、勇王:师律办经
                                                                85858048-010:真传
                                                                83358048-010:话电
                                                                    明修陶:人责负
                                层6楼南心中街融金号9街大融金区城西市京北:址地公办
                                            41
                                                                          期闭封的金基、一
                          八、基金份额的封闭期和开放期
                                                 。定规其从,时定规有另规法律法
                                                     。案方决解送报并因原明说会监证
                                                 20
国中向当应人理管金基,的形情述前现出日作工个 续连;会监证国中告报时及当应人理管金基
        5,000                         200
,的元万 于低值净产资金基者或人 满不量数人有持额份金基,后效生》同合金基《
                                   额数金资和量数人有持额份金基的内期续存金基)三(
                    。担承自各方各由应用费切一之付支集募金基为构机销代和人管托金基、人
理管金基。酬报求请得不构机销代及人管托金基、人理管金基,效生能不》同合金基《果如
                                                            30
    。息利款存期同行银计加并,项款的纳缴已者资投还返内日 后满届限期集募金基在.          2
                                  ;用费和务债的生产而为行集募因担承产财有固其以.       1
                            :任责列下担承当应人理管金基,效生能不》同合金基《果如
                                            理处的件条效生足满期按法无同合金基)二(
  。有所者资投归额份金基成合折将息利的生产内期集募在项款购认,时效生》同合金基《
                                        。用动得不人何任,前束结为行集募金基在,户账
门专入存金资的集募间期集募金基将应人理管金基。告公以予宜事效生》同合金基《对日次的件
文认确会监证国中到收在人理管金基。效生不》同合金基《则否;效生》同合金基《,起日之认确
面书会监证国中得取并续手案备金基毕完理办人理管金基自,的件条案备金基到达集募金基
        。金基本理管始开式正人理管金基本,起日之效生同合金基自。效生式正起日该自同合
金基,毕完理办续手案备金基,认确面书会监证国中到得日 72 月 7 年 1102 于金基本。件条的效
生同合金基合符已况情集募的金基本,定规关有的同合金基和规法套配其及》法金基《据根
                                                                  件条的案备金基 一
                                                                  件条的案备金基 一
                                                                  件条的案备金基 一
                                                                  件条的案备金基))))一((((
                                七、基金合同的生效
    19.699,331            05.225,66                   14.474,76        )份(额份转结息利
                                         42
办露披息信《照依前日放开回赎、购申在应人理管金基,后间时始开回赎与始开购申定确在
                    。回赎和购申常日理办可即金基本,起日作工个一下的满届期闭封自
                                                间时理办务业及日始开回赎、购申.2
                                                            。告公上体媒定指在定规关
有的》法办露披息信《照依前日施实在应但,整调的应相行进日放开述前对况情视将人理管金基
,况情殊特他其或更变间时易交所易交券证、场市易交券证的新现出若,后以效生同合金基
                                            。外除时回赎、购申停暂告公定规的同合金基
本或求要的会监证国中、规法律法据根人理管金基但。间时易交的所易交券证圳深、所易交券证
海上为间时理办务业体具。日易交常正的所易交券证圳深、所易交券证海上为日放开金基本
                                                              间时放开及日放开.1
                                                  间时及日放开的回赎和购申)二
                                                  间时及日放开的回赎和购申)二
                                                  间时及日放开的回赎和购申)二
                                                  间时及日放开的回赎和购申)二((((
                                            。告公行另人理管金基由法办体具,回赎与购
申行进式方述上过通以可者资投,式方易交等上网或真传、话电通开构机销代的定指其或人理管
金基若。务业等回赎购申理办序程和式方的定指照按所场业营的定指构机售销在该应者资投
                                                          。告公售发额份金基本见式方
系联和单名构机售销。告公以予并,人理代售销金基减增或更变况情际实据根可人理管金基
                      。构机销代的托委人理管金基和人理管金基括包构机售销的金基本
                                                         所场的回赎和购申)一(
                            九、基金份额的申购与赎回
                。会大人有持额份金基开召需无,期放开的金基入进后满届期闭封金基本
                                                                    期放开的金基、二
                              。易交市上不也,务业回赎、购申理办不内期闭封金基本
                                                                                1
                                                                          。年 为期
闭封金基本,间期的务业回赎和购申理办始开金基至起日之效生同合金基自指是期闭封金基
                                          43
                                                       制限额数的回赎和购申)五(
                                              。案备会监证国中报并告公站网人理管金基
及体媒定指在定规关有的》法办露披息信《照按前施实始开则规新在须必人理管金基。则原述上
整调下提前的益利质实人有持额份金基响影不在并况情际实的作运金基据根可人理管金基.5
                      ;销撤内以间时的定规人理管金基在以可请申回赎与购申的日当.4
      ;回赎序顺行进序次后先的购申、购认人资投照按即,则原”出先进先“循遵回赎.3
                ;请申额份以回赎,请申额金以购申即,则原”回赎额份、购申额金“.2
                                                                                ;算
计行进准基为值净额份金基的算计后市收日当请申以格价回赎、购申即,则原”价知未“.1
                                                             则原的回赎与购申)四(
      。换转互相得不间之别类额份金基同不金基本。别类额份金基的购申择选行自可者资投
                                                              。案备会监证国中报并告公
时及需人理管金基,前整调行进在;告公时及并,等售销的别类额份金基有现止停者或、平水率
                                                  B
费的别类额份金基有现整调者或、)式模费收端后即,类 (别类额份金基的新加增以可,后序程
的当适行履在,下况情的益权人有持额份金基有已害损不在人理管金基,况情售销金基据根
                                                            。数总额份金基别类该的外在
售发日算计以除值净产资金基别类各日算计为式公算计,值净额份金基算计别分将额份金基类     C
            A                                                      C      A
和额份金基类 金基本,同不的用费金基于由。码代置设别分额份金基类 和类 的金基本
                                                         C
                                                     。类 为称,的费务服售销提计中产
                                           A                  /               /
资金基别类本从是而,费购申或购认取收不;类 为称,的费购申 购认取收时购申 购认者资投
在。别类的同不为分额份金基将,同不的式方取收费务服售销、费购申、费购认据根金基本
                                                                              ) (
                                                                  别类额份金基)三(
                                          。格价的回赎、购申额份金基日放开一下为格价
回赎、购申额份金基其,的请申换转或回赎、购申出提间时和期日的外之定约同合金基在者资投
。换转者或回赎、购申的额份金基理办间时者或期日的外之定约同合金基在得不人理管金基
                                。间时始开的回赎与购申告公上体媒定指在定规关有的》法
                                          44
                                                             费回赎与费购申)七(
                                             。理处款条关有的》同合金基《照参法办付支
的项款,时形情的回赎额巨生发在。户账人有持额份金基往划项款回赎将内)日该括包(日 7+T
在构机售销金基关相其及构机记登册注金基过通将人理管金基,后功成请申回赎日 T 者资投
                                                   。户账者资投回退将项款购申,效无或
功成不购申若,功成不购申则账到额全未内间时定规在金资购申若,式方款缴额全用采购申
                                                           付支项款的回赎和购申.3
                    。准为果结认确的司公理管金基或构机记登册注金基以认确的购申。请申
购申到收接实确构机售发表代仅而,功成定一请申该表代不并理受的请申购申构机售发金基
                                                             。况情交成的回赎与购申询
查式方他其的定规构机售销以或构机售销向可者资投)日该括包(后日 2+T 在,认确行进性效有
的易交该对者资投为内日 1+T 在构机记登册注金基,下况情常正,请申的理受间时定规日 T
                                                           认确的请申回赎和购申.2
                。交成予不而效无请申的回赎、购申的交提所则否,额余额份金基的够足有须
必,时请申回赎交提在者资投,金资购申足备式方的定规构机售销按须时金基本购申在者资投
                                                                  。请申的回赎或购申出
提构机售销金基向间时理办务业的日放开在,序程的定规构机售销金基据根须必者资投金基
                                                           式方请申的回赎和购申.1
                                                           序程的回赎和购申)六(
                                                           序程的回赎和购申)六(
                                                           序程的回赎和购申)六(
                                                           序程的回赎和购申)六(
                                                                  。案备会监证国中报并
告公上体媒定指在定规关有的》法办露披息信《照依前整调在须必人理管金基。制限量数的额份
回赎和额金购申定规述上整调,下况情的许允规法律法在,况情场市据根以可人理管金基.4
                                                                      。准为定规务业的
构机销代各以,的定规他其有额份回赎低最、差级易交、额限购申低最述上对构机销代各.3
                                                                              。回赎部
全次一需时回赎在,的份000,1足不额余额份金基的留保)点网(构机售销在后回赎或时回赎人有
持额份金基。额份金基份000,1于低得不请申回赎次每,时回赎构机售销在人有持额份金基.2
                                   。)费购申含(元000,1为额金购申低最次每者资投.1
                                            45
                                                             算计的数份购申额份类A.1
                                                 式方算计的额金回赎与数份购申)八(
                                                 式方算计的额金回赎与数份购申)八(
                                                 式方算计的额金回赎与数份购申)八(
                                                 式方算计的额金回赎与数份购申)八(
                                           。率费回赎金基和率费购申金基低调当适以可人理
管金基后续手关相行履求要门部管监关相按,间期动活销促金基在。动活销促金基展开地期定不
或期定者资投的易交金基行进等)等易交话电、易交上网如(式方易交定特以对针,划计销促金
基定制况情场市据根下形情的定约》同合金基《及定规规法律法背违不在以可人理管金基.5
        。告公站网人理管金基及体媒定指家一少至在日作工个 2 前日施实式方费收或率费的新
于应迟最人理管金基,式方费收或率费整调定约关相的》同合金基《据根以可人理管金基.4
                                                   。费续手的要必他其和费记登册注付支于用
余其,产财金基归应%52 的额总费回赎于低不。取收时额份金基回赎人有持额份金基在,担承人
有持额份金基的额份金基回赎由用费回赎。回赎额份金基分部或部全的有持其将可者资投.3
                                        %0 天 03≥ Y
                                      %1.0          天 03                                               Y 限年有持              类种用费
                         )提计产资金基从日每(%4.0         )年(费务服售销
                                                    %0                 率费购申
                                                 率费                  类种用费
                                                    C
                                        式模费收类 金基资投券证型券债利增吴东 .     2
                                  %0          2   Y≤年
                               %50.0          1
                                           年 ≤年Y<2
                                %1.0          Y<1 年                 费回赎
                                             Y 限年有持            类种用费
                   元 0001 用费定固          M  ≤万500
                               %52.0 万  300   M<500
                                                ≤万
                                %5.0 万  100   M<300
                                                ≤万
                                %8.0     M<100 万                费购申端前
                                            M  额金购申            类种用费
                                                        A
                                        :式模费收类 金基资投券证型券债利增吴东      1.
               :示列别分表下在率费售销的式模费收类 C 和类 A,购申行进码代金基的应对式
模费收类 C 或式模费收类 A 与择选主自以可时购申者资投,码代金基的应对置设别分金基本
                                                          。类 C 为称,的费务服售销提计中产
资金基别类本从是而,费购申或购认取收不;类 A 为称,的费购申/购认取收时购申/购认者资投
在。别类的同不为分额份金基将,同不的式方取收费务服售销、费购申、费购认据根金基本
                                              46
                                                   1.300
          :下如算计额金回赎净的得获其则,元 为值净额份金基日该定假现, 为率费           0%
回赎其,份    10,000.00       T                            A
                      回赎日 的内间时年两过超额份类 金基本有持在者资投某定假) (          3
                                             元05.489,03=05.51-00.000,13=额金回赎净
                                                   元05.51=%50.0×00.000,13=用费回赎
                                               元00.000,13=055.1×00.000,02=额金回赎
                                                                                :下如算计额
                            1.550                              0.05%
金回赎净的得获其则,元 为值净额份金基日该定假现, 为率费回赎其,份                        20,000.00
         T                                             A
回赎日 的内间时年两过超不但、年一过超额份类 的金基本有持在者资投某定假) (                2
                                             元00.579,42=00.52-00.000,52=额金回赎净
                                                     元00.52=%1.0×00.000,52=用费回赎
                                               元00.000,52=052.1×00.000,02=额金回赎
    :下如算计额金回赎净的得获其则,元 为值净额份金基日该定假现, 为率费回赎其
                                         1.250                                 0.1%
,份          回赎日 的内间时年一过超不额份类 金基本有持在者资投某定假)1(:四例
      20,000.00       T                            A
                                                           用费回赎-额总回赎=额金回赎
                                                         率费回赎×额总回赎=用费回赎
                                                 值净额份金基日T×数份回赎=额总回赎
                                       :下如法方算计的额金回赎,下则原的出先进先在
                                                                算计的额金回赎额份类A.3
                                                   值净额份金基日T/额金购申=额份购申
                                                              算计的数份购申额份类C .2
    00.000,090,9 74.388,371,3 01.258,653,1 83.905,4                      (=C/1.100)
                                                                                额份购申
    00.000,1            81.827,8      96.264,7 86.93                   (D=A-C)    费购申
    00.000,999,9 28.172,194,3 13.735,294,1 23.069,4                        (C=A/(1+B))
                                                                              额金购申净
    元0001用费定固 %52.0              %05.0          %08.0                   (B)
                                                                            率费购申用适
    00.000,000,01 00.000,005,3 00.000,005,1 00.000,5                          A)    (
                                                                          ,元 额金购申
             4
            购申              3
                             购申         2购申            1
                                                         购申                   额份类          A
                :下如算计额份金基的得获和用费购申端前的担负购申笔各则,元万 和元万     1,000
350          150    5,000                        1.100
    、元万 、元 为别分额金购申笔四,元 为值净额份金基类 的日 定假:三例   A     T
。产资金基入归益收或失损的生产差误此由,位两后点数小留保法方的入五舍四以数份金基
                                               值净额份金基日T /额金购申净=数份购申
                                                         额金购申净-额金购申=用费购申
                                                   )率费购申+1(/额金购申=额金购申净
                                              47
。续手记登册注的益权除扣理办者资投为日 1+T 在构机记登册注金基,后功成金基回赎者资投
                                    。额份金基分部该回赎权有后)日该含(日 2+T 自者资投
,续手记登册注理办并益权记登者资投为日 1+T 在构机记登册注金基,后功成金基购申者资投
                                                           记登册注的回赎和购申)九(
                                                             。产财金基入计差误的生产此由
,入五舍四分部的后以位两后点数小,位2后点数小到留保果结算计额金回赎,用费的应相除扣并
  准基为值净额份金基日当以额份回赎效有的认确际实按为额金回赎:式方理处的额金回赎.7
                                           。产财金基入计差误的生产此由,入五舍四分部的
  后以位两后点数小,位2后点数小到留保果结算计额份购申,算计准基为值净额份金基日当以,后
  用费的应相除扣在额金购申的认确际实按为额份效有的购申:式方理处的额余、额份购申.6
                                               。产财金基入计差误的生产此由,入五舍四位
  4第后点数小,位3后点数小到留保,算计的值净额份金基金基本。告公或算计迟延当适以可,意
同会监证国中经,况情殊特遇。告公内日1+T在并,算计后市收天当在值净额份金基的日T .5
                                               元00.000,52=052.1×00.000,02=额金回赎
        :下如算计额金回赎净的得获其则,元 为值净额份金基日该定假现, 为率费回赎其
                                          1.250                           0%
,份20,000.00 回赎日 的内间时)日 含(日 过超额份类 金基本有持在者资投某定假)2(
                  T             30       30            C
                                             元00.579,42=00.52-00.000,52=额金回赎净
                                                     元00.52=%1.0×00.000,52=用费回赎
                                               元00.000,52=052.1×00.000,02=额金回赎
                                                                                  :下如算
  计额金回赎净的得获其则,元 为值净额份金基日该定假现, 为率费回赎其,份
                            1.250                            0.1%                20,000.00
回赎日 的内间时)日 含不(日 过超不额份类 金基本有持在者资投某定假)1(:五例
       T              30        30                 C
                                                       用费回赎-额金总回赎=额金回赎净
                                                         率费回赎×额金总回赎=用费回赎
                                                 值净额份金基日T×数份回赎=额金总回赎
                                                               算计的额金回赎额份类C.4
                                                   元00.000,31=0-00.000,31=额金回赎净
                                                             元0=0×00.000,31=用费回赎
                                               元00.000,31=003.1×00.000,01=额金回赎
                                          48
将择选先事可时回赎请申在者资投。告公站网人理管金基及体媒定指家一少至在并,日作工个 02
过超不长最,项款回赎付支期延可请申回赎的受接已对,时形情的款 3 第述上现出在,时同
                              。付支以予日放开续后在法办理处的应相定制况情的生发照按
人理管金基由分部付支未,人请申回赎给配分例比的量总请申回赎受接已占量请申回赎的受接被
已人请申回赎个每按,项款回赎分部付支期延可,的付支额足能不时暂如;付支额足将人理管金
基,请申回赎的受接已。案备会监证国中向即立日当在应人理管金基,的一之形情述上生发
                                       。形情他其的定认会监证国中或定规规法律法.5
                              ;况情的值估产资金基停暂的定规同合金基金基本生发.4
                                                                      ;难困现出付支金
现的金基本致导,回赎额巨日放开上以个 2 或个 2 续连现出而因原他其或动波烈剧场市因.3
        ;值净产资金基日当算计法无人理管金基致导,市停时临定决法依所场易交券证.2
                                ;项款回赎付支能不人理管金基致导因原的力抗可不.1
                                                                          :项款回赎付
支缓延者或请申回赎的人有持额份金基停暂或受接绝拒得不人理管金基,形情下如现出非除
                                         形情的项款回赎付支缓延或回赎停暂)一十(
                                         形情的项款回赎付支缓延或回赎停暂)一十(
                                         形情的项款回赎付支缓延或回赎停暂)一十(
                                         形情的项款回赎付支缓延或回赎停暂)一十(
                                                         。告公购申停暂登刊站网人理管
金基及体媒定指家一少至在当应人理管金基,时形情购申停暂项 6、4 到 1 述上生发。者资投还退
额全将项款购申,的请申购申的者资投金基绝拒或停暂定决人理管金基且一之形情述上生发
                                                    。形情他其的定约同合金基本.6
                      ;购申笔某的益利人有持额份金基有现于损有会为认人理管金基.5
                          ;形情的购申停暂可他其的定认会监证国中或定规规法律法.4
                                            ;益利的人有持额份金基有现害损而从,响影
面负生产绩业金基对能可或,种品资投的适合到找法无人理管金基使,大过模规产资金基.3
              ;算计法无值净产资金基日当致导,市停常正非间时易交在所场易交券证.2
                                          ;作运常正法无金基致导因原的力抗可不.1
                  :请申购申的者资投金基绝拒或停暂可人理管金基,形情下如现出非除
                                                       形情的购申停暂或绝拒)十(
                                                       形情的购申停暂或绝拒)十(
                                                       形情的购申停暂或绝拒)十(
                                                       形情的购申停暂或绝拒)十(
                                                                               。告公
站网人理管金基及体媒定指家一少至在日作工个 3 前施实始开于迟最并,益权法合的者资投响影
质实得不但,整调行进间时理办记登册注述上对,内围范的许允规法律法在以可人理管金基
                                           49
                                                                。告公站网人理管金基及体
  媒定指家一少至在当应并,日作工个 02 过超得不但,项款回赎付支缓延以可请申回赎的受接经已
;请申回赎受接停暂可,要必有为认人理管金基如,回赎额巨生发上以日放开个 2 续连金基本
                                          。法方理处关有明说并,人有持额份金基知通式方他
  其的定规》书明说募招《或真传、寄邮以时同。案备构机出派会监证国中地在所所场公办要主人
  理管金基和会监证国中向日露披开公在并,告公登刊点网的构机销代或站网司公的人理管金基及
  体媒定指过通内日 2 在应人理管金基,时回赎延顺并回赎额巨生发当:告公的回赎额巨)3(
                                                                        。制限的额份低最
  回赎笔单受不回赎延顺分部。止为回赎部全到直,推类此以并,权先优回赎有享不回赎的日放开
  个一下入转定规述上照依。格价的日放开个一下为格价回赎,理办日放开个一下至迟延,外销撤
  以予分部理办获未日当将择选时请申回赎交提在者资投除,分部回赎能未者资投;额份回赎的理
  办日当人有持额份金基个单该定确,例比的额份总回赎请申日当占额份回赎请申其照按当应,请
  申回赎的人有持额份金基个单于对。理办以予期延请申回赎余其对,下提前的%01 的额份总金基
  日一上于低不例比回赎受接日当在人理管金基,时动波大较成造值净产资的金基对会能可请申回
  赎的者资投付支为认或难困有请申回赎的者资投付支为认人理管金基当:回赎延顺分部)2(
                                                                                    。行
  执序程回赎常正按,时请申回赎部全的者资投付支力能有为认人理管金基当:回赎额全)1(
                                                                                。回赎延
  顺分部或回赎额全定决况状合组产资的时当金基本据根以可人理管金基,时回赎额巨现出当
                                                                式方理处的回赎额巨.2
                                                                    。回赎额巨了生发为认
  即,时%01 的额份总金基日一上过超)额余的后数总额份请申入转中换转金基及数总请申购申除
  扣后数总额份请申出转中换转金基上加数总请申回赎(请申回赎净金基,日放开个单金基本
                                                                    定认的回赎额巨.1
                                                  式方理处及形情的回赎额巨)二十(
                                                 。告公上站网人理管金基及体媒定指家一
 少至在定规关有照依并,理办的务业回赎复恢时及应人理管金基,时除消况情的回赎停暂在
                                                                               。告公
 回赎停暂登刊上站网人理管金基及体媒定指家一少至在时及应人理管金基,回赎的金基停暂
                                                       。销撤以予分部理受获未能可日当
                                           50
行银波宁、司公限有份股行银商招、司公限有份股行银夏华、司公限有份股行银生民、司公限有份股
行银信中、司公限有份股行银通交、司公限有份股行银业农国中、司公限有份股行银设建国中
          :务业换转金基的金基上以理办构机销代下以和道渠销直的人理管金基过通可者资投
                                                              构机售销的换转通开.2
                                                                                  。告公
行另将并,务业换转金基于用适否是定确况情体具据根将金基式放开的行发后今人理管金基
                                                                。务业换转金基的)135000
:码代金基(金基资投券证型合混置配活灵法尔阿吴东、)900085:码代金基(金基资投券证型
合混长增需内吴东、)700085:码代金基(金基资投券证型票股业创新吴东、)300285:码代金
基(金基资投券证型合混本保吴东、)800085:码代金基(金基资投券证型票股选精业产新吴东
、)100585:码代金基(金基资投券证数指业产兴新证中吴东、)101385:码代金基(B 金基资
投券证场市币货吴东和)100385:码代金基(A 金基资投券证场市币货吴东、)600085:码代金
基(金基资投券证型票股济经新吴东、)500085:码代金基(金基资投券证型合混置配活灵略策
取进吴东、)102285:码代金基(C 金基资投券证型券债健稳信优吴东、)100285:码代金基(
A 金基资投券证型券债健稳信优吴东、)300085:码代金基(金基资投券证型票股动轮业行吴东
、)200085:码代金基(费收端前金基资投券证型票股力动双长成值价吴东、)100085:码代金
基(金基资投券证式放开型合混选精势优禾嘉吴东:金基下旗人理管金基本与通开已金基本
                                                            围范用适的务业换转金基1.
                          。告公并定规行另时届人理管金基由以可定规体具等率费换转、制限
额数的换转金基。换转金基行进间之金基他其的理管人理管金基和金基本在择选定规关有的人理
管金基照依以可者资投,下况情的备完备准和件条术技项各在来未,人有持额份金基便方为
                                                                  换转金基)四十(
                                                                  换转金基)四十(
                                                                  换转金基)四十(
                                                                  换转金基)四十(
                                                                 。值净额份金基的日作工
  个一近最告公日回赎或购申放开新重在并,告公的回赎或购申放开新重金基登刊续连站网人理管
  金基及体媒定指家一少至在日作工个 2 前提应人理管金基,时回赎或购申放开新重金基束结停暂
。次一告公停暂登刊复重少至周两每应人理管金基,间期停暂,周两过超间时的停暂生发果如
              。值净额份金基的日作工个一近最告公日放开的回赎或购申理办始开新重在并,告
  公的回赎或购申放开新重金基登刊站网人理管金基及体媒定指家一少至在日作工个 2 前提应人
  理管金基,时回赎或购申放开新重金基束结停暂,周两于少但天一过超间时的停暂生发果如
              。值净额份金基的日放开个一近最布公并告公的回赎或购申放开新重金基登刊站网
  人理管金基及体媒定指家一少至在日放开新重于应人理管金基,天一为间时的停暂生发果如
                                       告公的放开新重与间期停暂回赎和购申)三十(
                                           51
  律法关相合符应体主的转划受接,下况情种何述上在论无。织组他其或体团会社、人法、人然自
  他其给转划制强额份金基的有持人有持额份金基将书文法司效生据依构机法司指是”行执法司“
;形情的体团会社或会金基的质性利福给赠捐额份金基的有持法合其将人有持额份金基指”赠捐“
;承继人承继的法合其由额份金基的有持其,亡死人有持额份金基指”承继“,中其。户过易交非
  的下况情他其的可认构机记登册注经和行执制强法司、赠捐、承继理受只构机记登册注金基
                                    。为行的户账金基者资投一另到移转户账金基者资投一某
  从则规定一照按额份金基的量数定一将,式方易交金基等回赎、购申用采不指是户过易交非
                                                          户过易交非的金基)七十(
                                                          户过易交非的金基)七十(
                                                          户过易交非的金基)七十(
                                                          户过易交非的金基)七十(
                                                             。定确中书明说募招的新更
 或告公布发时届在人理管金基由则规体具,划计资投额定期定理办者资投为以可人理管金基
                                                                            六十(
                                                          划计资投额定期定)六十(
                                                                                 。则
 规务业的构机销代金基及以定规关有的》则规务业《照参法方理办体具。易交行进户账易交个一
 另入转户账易交个一从额份金基的有持所将可者资投。度制易交的管托额份行实前目金基本
                                                                     管托转)五十(
                                                                     管托转)五十(
                                                                     管托转)五十(
                                                                     管托转)五十(
。告公以予定规关有按将并务业此办开构机售销他其择选会将还人理管金基本,要需务业据根
                                                。司公限有份股券证金国、司公任责限有券证
  宝华、司公限有份股行银苏江、司公限有份股行银州苏、司公任责限有券证联万、司公限有问顾
  资投售销金基量长海上、司公限有技科息信讯和、司公限有售销金基米数州杭、司公限有售销金
  基天天海上、司公限有问顾资投售销金基)海上(行正亚诺、司公限有售销金基顺花同江浙、司
  公限有份股券证海国、司公任责限有券证鑫华、司公限有售销金基禄众圳深、司公任责限有)江
  浙(券证信中、司公任责限有券证信华海上、司公限有纪经券证州九、司公限有份股券证信中、司
  公限有券证瑞国城长、司公任责限有券证州广、司公任责限有券证海上、司公任责限有券证安华
、司公限有份股券证达信、司公限有份股券证江长、司公任责限有券证安平、司公任责限有券证宝
  华、司公限有问顾资投相天、司公任责限有券证建爱、司公任责限有券证海东、司公任责限有券
  证京南、司公限有份股券证泰恒、司公限有券证鲁齐、司公限有份股券证商招、司公任责限有券
  证际国银中、司公限有份股券证海渤、司公限有份股券证大光、司公任责限有券证通万信中、司
  公任责限有券证富财、司公限有券证航中、司公限有份股券证信安、司公限有份股券证元金、司
  公限有份股券证安君泰国、司公限有份股券证源宏万申、司公限有份股券证泰华、司公任责限有
  券证投中国中、司公任责限有券证福华、司公限有份股券证联国、司公限有份股券证信国、司公
  限有份股券证发广、司公限有份股券证投建信中、司公限有份股券证河银国中、司公限有份股券
证通海、司公限有份股券证吴东、司公限有份股行银台烟、司公限有份股行银州温、司公限有份股
                                           52
                                                6
   。定规关相述上合符例比合组资投的金基使内月个 起日之效生同合金基自人理管金基本
                                                                20%
                                                               。 的产资金基于高不例
                                  5%
 比的产资类益收定固非于资投金基本。 的值净产资金基于低不券债府政的内以年一在日期到者
               80%
 或金现,中其, 的产资金基于低不例比的产资类益收定固于资投,金基型券债为金基本
                                                                 。出卖内日易交个 的   30
 起日之易交可其在应金基本,产资等证权和票股的有持因原述上因。种品类益收定固非他其的资
 投许允会监证国中或规法律法及以,等证权的生产而券债离分可资投因及以证权的发派所票股持
 所因、票股的成形所股转债转可因有持可并,股新发增或购申股新场市级一与参以可但,产资类
 益权等证权、票股入买场市级二从接直不金基本。具工融金类益收定固非于资投可也金基本
                                                                             。围范资投
 入纳其将以可,后序程当适行履在人理管金基,种品他其的资投金基许允后以构机管监或规法律
 法如。)定规关相的会监证国中合符须但(具工融金他其的资投金基许允会监证国中或规法律法及
 以券证持支产资、证权、具工场市币货、券债、)票股的市上准核会监证国中经他其及板业创、板
 小中括包(票股的市上行发法依内国括包,具工融金的性动流好良有具为围范资投的金基本
                                                                      围范资投 二
                                                                      围范资投 二
                                                                      围范资投 二
                                                                      围范资投))))二((((
       。益收资投的健稳求追析分化量及理管式动主过通,下提前的险风制控效有在金基本
                                                                               一
                                                                      标目资投)一((
                                   十、基金的投资
                        。付支与配分益收与参然仍额份分部结冻被。结冻并一行先益权的生产
  分部结冻被,前之定决出作关机权有家国在。结冻否是定决来求要的关机权有家国及以章规管监
、规法律法国我照按益权的生产分部结冻被,的结冻被额份金基。冻解与结冻的下况情他其的可认
  构机记登册注及以冻解与结冻的额份金基的求要法依关机权有家国理受只构机记登册注金基
                                                          冻解与结冻的金基)八十(
                                                          冻解与结冻的金基)八十(
                                                          冻解与结冻的金基)八十(
                                                          冻解与结冻的金基)八十(
                       。理办定规关有的》则规务业《按请申户过易交非的件条合符于对
       。务业项该理办得不构机售销他其,户过易交非的下况情述上理受构机记登册注金基
                                                         。料资关相的供提求要构机记登
 册注金基供提须必户过易交非理办。件条的者资投的额份金基本有持的定规》同合金基《和规法
                                           53
                                                                 略策 曲率益收、
                                                                 略策 曲率益收、
                                                                 略策 曲率益收、
                                                                 略策 曲率益收、
                                                                     线线线线         2
                              。失损的生产跌下格价券债低降,期久合组券债小减,时升上率
  利期预在;益收的生产涨上格价券债高提,期久合组券债加增,时降下率利期预在,下况情般一
。期久合组资投券债定确,试测力压和析分景情的下设假理合过通,果结断判的势走率利据根
                                                                         。势走率利握把
,析分合综的面方个四上以过通金基本。势走率利体济经要主际国、4;速增贷信和量应供币货、3
;IPP、IPC:势走价物、2;度程差顺易贸、平水费消、速增资投产资定固、值加增业工、速增 PDG
  有标指量衡要主,况状长增济经观宏、1:有要主素因的势走率利响影,看验经践实与论理从
。据依供提策决置配期久的资投券债为,势走率利握把,析分的境环金资场市本资及以策政业产家
  国、策政政财和策政币货、标指济经观宏对过通要主金基本,素因响影要重资投券债是率利
                                                                   略策置配期久、     1
                                                                略策资投券债)二(
                                                                略策资投券债)二(
                                                                略策资投券债)二(
                                                                略策资投券债)二(
   。值增健稳期长的产资金基现实以,合组资投的征特益收险风金基本合符理管和建构,整调态
 动行进间之金现及场市级一票股、券债在,率益收期预对相的场市票股和场市券债内间时定一来
 未较比,测预的率益收购申股新及判研的势趋场市票股对合结,析分的境环金资场市本资及以策
 政业产家国、策政政财和策政币货、标指济经观宏对过通要主金基本,面方置配产资类大在
                                                                略策置配产资)一(
                                                                略策置配产资)一(
                                                                略策置配产资)一(
                                                                略策置配产资)一(
 。值增健稳期长的产资金基现实争力,略策置配健稳持坚,上础基的险风制控格严在金基本
                                                                    略策资投)四(
                                                                     。报回健稳求追者
 资投为,会机资投场市用利掘挖分充,上础基的析分值价重注、势走济经观宏握把在金基本
                                                                     念理资投 三
                                                                     念理资投 三
                                                                     念理资投 三
                                                                     念理资投 ))))三((((
                                                    54
                          例比资投                              构结金资场市
                            债用信
                                                                期周济经观宏
                               略策差利用信      图      10-1
                                                                   。例比资投的体总债
 用信定确而从,势走来未的线曲差利用信及以险风和值价资投对相、性理合的差利用信场市债用
 信前当断判素因等间区计统史历的差利用信、向流和构结金资场市、期周济经观宏析分过通
                                                                 略策差利用信)1(
                             :为分细以可略策用信此由,化变用信的身本债用信和平水差利
 用信的体整场市债用信括包素因的差利用信响影。差利用信加率益收准基于等率益收债用信
                                                                         用用用用     略策 信、
                                                                                      略策 信、
                                                                                      略策 信、
                                                                                      略策 信、   4
                                                                                                     。得
  利本资的高较得获而进,滑下大较有会将平水率益收的券债,短缩的限期余剩券债着随则,峭陡
  为较线曲率益收若。度程峭陡的线曲率益收是素因响影键关的略策乘骑。益收得利本资得获而进
,滑下的率益收的券债过通,降下所有初期资投较会将平水率益收的券债时此而从,短缩会将限期
  余剩的券债,长延的限期有持着随,券债的位高对相于处平水率益收即也,券债的处峭陡线曲率
  益收于位限期入买以可,时大较差利限期邻相即也,时峭陡较比线曲率益收当指是略策乘骑
                                                                                      略策
                                                                                      略策
                                                                                      略策
                                                                                      略策        3
                                                                            乘乘乘乘骑骑骑骑、、、、
                                。略策形梯取采则,时动移行平或变不线曲率益收期预在;略
  策型铃哑取采,时平变线曲率益收券债在;略策型弹子取采,时陡变线曲率益收券债在,下况情
  般一。置配的构结限期同不类三期长、中、短在合组券债金基本定确此据,略策置配构结限期择
  选行进中当合组式铃杠和合组式梯、合组式弹子在,征特动变线曲率益收据根金基本,上础基此
  在。势趋化变线曲率益收握把,势走率利合结并,况情动变史历的线曲率益收场市察考过通
                                                :言而体具。例比资投的券债类三期长、中
、短定确,试测景情和析分过通,测预的化变线曲率益收和期久合组券债定确在合结将金基本
                                             55
 债换转可对将金基本,值价权期换转和值价券债、值价权股其于决取要主值价的券债换转可
                                                                         略策债转 、
                                                                         略策债转 、
                                                                         略策债转 、
                                                                         略策债转 、
                                                                           可可可可    6
                                                                                    。益收的
 正得取能才略策差息,时)率利购回即(本成金资购回于高率益收券债当有只,系关的间之率益
 收券债与本成金资购回虑考须必,时略策大放行进,略策大放杆杠是就也上际实略策差息。略策
 的券债于资投金资得获所将购回正过通,形情的率益收券债于低率利购回用利指是略策差息
                                                                           略策 息、
                                                                           略策 息、
                                                                           略策 息、
                                                                           略策 息、
                                                                           差差差差    5
                                                                  。金基吴东:源来料资
                                                      比相度程障保                度程
         )
         级等用信 (          征特险风               务债的业企它其与            障保务债
         果结级评            用信的业行             度程障保的务债对            对流金现
                             系体级评用信券债吴东   10-2   图
                                                                  。益收额超取获以,种品
  的估低被值价掘挖,差利用信理合的债用信定确,险风用信的券债用信踪跟态动过通。别级用信
  应相的券债定确,征特险风用信的业行处所业企合结,较比相度程障保务债的业企它其业行同与
  度程障保务债的业企本把后然。)度程盖覆务债对流金现即也(度程障保的务债对流金现业企断判
,析分素因上以过通。度程康健务财业企断判,素因等流金现和力能利盈、构结本资、量质产资的
  业企虑考要主析分量定。势优争竞业企握把,素因等势优营运理管、势优场市、势优术技、力能
  理管略战、景背业行处所业企虑考要主析分性定。析分面层业企行进面方个两量定和性定从,次
  其。响影的况状营经业企对素因等东股、府政地当虑考点重,境环部外业企析分合综过通,先首
,况状用信业企握把度角的配匹务债与流金现业企从。度制级评用信部内立建将人理管金基本
                                                                    略策析分用信)2(
                                                                     。金基吴东:源来料资
                                                        据数史历
                                          56
                                                   。控监便以,案备门部制控险风及理经
总部理管资投、导领管分给时同,据依的作操资投理经金基为作,果结面书成形式形的》议决案
方置配产资《以,后过通议审会员委策决资投经案方置配产资,作操行进》程流理管资投《照按
格严须必理经金基。划计资投体具施实、案方置配产资出提、池票股建构与参:理经金基.2
                             ;通沟会员委理管险风与项事险风就,策决与议审行进案预合组
与位仓的出提理经金基对、池票股议审、置配产资、略战体总金基策决:会员委策决资投.1
            。3-01 图见体具,系体权授级分的确明和程流策决资投的学科密严有具金基本
                                                               程 策 资投 五
                                                               程 策 资投 五
                                                               程 策 资投 五
                                                               程 策 资投))))五((((
                                                                 流流流流 决决决决
                           。机时出卖的证权择选标指等率动波含隐、率价溢的证权合结,上
 础基的价定理合其析分型模价定证权用采在,础基为析分值价以将人理管金基本。证权的生产而
 购申场市级一券债离分可与参因或发派票股持因有持可,证权入买场市级二从接直不金基本
                                                               略策购申证 )四(
                                                               略策购申证 )四(
                                                               略策购申证 )四(
                                                               略策购申证 )四(
                                                                         权权权权
                      。平水率益收的产资金基高提以,售出时择下提前的险风性动波合组制控
  在后期定锁于并,略策购申的应相定制,值估理合行进股新的市上行发拟于对,素因等境环场市
、率盈市行发、平水值估业行、面本基的司公行发股新据根,上础基的全安金本虑考在金基本
                                                               略策购申股新)三(
                                           。值价在内其估评,型模价定化量数等法方洛卡
 特蒙用采助辅,程过流金现的益收息利和还偿金本的券证持支产资拟模,排安构结益收的化券证
 产资据根并,险风付偿前提和险风约违产资计估,素因面本基等性动流场市和益收偿补险风、率
 还偿前提、量质及成构的产资持支、款条行发、率利场市的券证持支产资析分入深将金基本
                                                        略策资投 产 券证产资、
                                                               品品品品 化化化化      7
         。略策资投的券债换转可定制,种品的估低场市被择选求力,究研入深,作合极积队团
 研投票股的司公本与将金基本,上础基此在。值价权期换转的券债换转可算估,型模价定权期用
 采,次再;值价资投券债其断判,析分行进素因等险风用信、平水率利对于基,次其;值价资投
 权股的券债换转可断判,析分行进素因面本基的等性长成司公、况情业行所司公行发对先首
                         。资投行进券债换转可的值价资投高较有具择选,估评行进值价的券
                                                                                                                                               57
体主行发同不、)等场市所易交、场市间行银(场市易交要主盖涵,性表代场市的泛广有具,面全
加更围范的盖涵券债本样,制编司公任责限有算结记登债国央中由是数指价全合综券债国中
                                                            。数指价全合综券债国中
                                                                准准准准基基基基较较较较比比比比绩绩绩绩业业业业))))六六六六((((
                                                                                                                                                                                                                           金基吴东:源来料资
                                                                                                                                 合 资投 组组组组
                                                    估评与控监                                                                                                                                       估评与踪跟
                                                                                                                                                                行
                                                                                                                                                                执
                                     部
                                     部理管      险险险险风风风风                                                             室室室室易易易易交交交交中中中中集集集集                                          组组组组小小小小程程程程工工工工融融融融金金金金
                                                                                                                                                       令指易交                                                         告报
                                                                                                                                                                                                                        估评
                                     部
                                                                                                                              基金经理                                                                                  供提
                                       核核核核稽稽稽稽察察察察监                                                             理经金基
                                                                                          察稽                                                                                                       持支策决
                                                                                                                                                        股                              建构
                                                                                                                                                        选                              与参
            报告告报告告                                       报告告报告告                      案案案案                             策                                                                     研究部
                                                                                                                                                                                                              台平         究究究究研研研研
                估估报估估报                                       核核报核核报                    合预预合预预                       决                                 池池池池票票票票股股股股   建构
                                                                                                       组组合组组合                   与
                    险评评评评                                         察稽稽察稽稽                                                   议
                        风风险风风                                         监监察监监察                    位与与位与与               审                                         置配产资
                                                                                                                                                                                                             持
                                                                                                               仓仓位仓仓位                                                                                  支
                                                                                                                                                                                                             策
          风险管理委员会                                                                                         投资决策委员会                                                                              决
                                                                                                                                                                                                           持支策决
                          图图图图意意意意示示示示程程程流流流流策策策决决决决资资资投投投:::333----000111 图图图图
                                                                                                                       。理合学科及规合法合否是使行
的限权策决级各和程流策决资投控监以,通沟会员委策决资投与并议审行进告报估评险风和项事
险风就会员委理管险风。告报估评险风合组资投供提会员委理管险风向,平水益收与险风合组资
投估评期定部理管险风;告报关相供提会员委理管险风向期定不和期定并,查稽行进资投际实及
策决资投对部核稽察监。成构等部理管险风、部核稽察监、会员委理管险风由:门部制控险风.6
                                                                                                ;策决资投进改化优以,见意馈反的果效际
实资投供提理经金基和会员委策决资投为,估评与踪跟的合组资投对过通:组小程工融金.5
                                                                                                                                             ;持支
供提资投理经金基为、持支询咨策决资投供提会员委策决资投为、池票股建构:台平究研.4
                                                                                                                                           ;性法合
规合的令指易交督监、况情行执的令指易交馈反、令指易交的理经金基行执:室易交中集.3
                                                  58
申所金基本,产资总的金基本过超不额金的报申所金基本,购申行发票股与参产财金基 )01
                                                                  。出卖部全以予
内月个 3 起日之布发告报级评在应,准标资投合符再不、降下级等用信其果如,间期券
证持支产资有持金基。券证持支产资的)BBB 含(上以 BBB 为级评别级用信于资投应金基本 )9
                                               ;%01 的模规计合券证持支产资类各
其过超得不,券证持支产资类各的人益权始原一同于资投金基部全的理管人理管金基本 )8
                                                                      ;%01 的模
规券证持支产资该过超得不,例比的券证持支产资)别级用信一同指(一同的有持金基本 )7
              ;%02 的值净产资金基过超得不值市其,券证持支产资部全的有持金基本 )6
                                                                            ;%01
的值净产资金基过超得不,例比的券证持支产资类各的人益权始原一同于资投金基本 )5
                                                     ;%5 的值净产资金基于低不券
债府政的内以年一在日期到者或金现,%02 的值净产资金基过超不例比的券证类益权等票
股于资投,%08 的值净产资金基于低不例比的)券债权含括包(产资类券债于资投金基本 )4
;%04 的值净产资金基过超得不额余金资的购回券债行进场市业同间行银国全入进金基本 )3
        ;%01 的券证该过超不,券证的行发司公家一有持金基部全的理管人理管金基本 )2
                ;%01 的值净产资金基过超不值市其,票股的司公市上家一有持金基本 )1
                                                                          制限合组.1
                                                                                  制限资投 八
                                                                                  制限资投 八
                                                                                  制限资投 八
                                                                                  制限资投))))八((((
                                                    。金基型票股和金基型合混于低,金基
场市币货于高益收与险风期预其,种品险风低的中金基资投券证于属,金基型券债为金基本
                                                                征征征征特特特特益收险险险险风风风风)七(
                                              。示列中书明说募招的新更在并,致一商协人
管托金基和人理管金基经须更变的准基绩业。准基较比绩业的金基该整调,略策资投和围范资投
的金基本及况情化变场市据根可人理管金基,用适再不准基绩业此致导化变生发场市来未若
                          。准基较比绩业为作数指价全合综券债国中的高较度同认场市择选
金基本,念理资投和围范资投的金基本和法方制编的数指、性表代和性威权的数指了虑考合综在
。场市析分和究研地入深加更于利有,整完加更列序间时的值标指项各数指合综债中。势趋动变
和平水格价体总场市券债国中映反地好很够能,)等期短、期中、期长(限期和)等业企、府政(
                                             59
                                 法方及则原理处的利权东股使行金基表代人理管金基)九(
                                 法方及则原理处的利权东股使行金基表代人理管金基)九(
                                 法方及则原理处的利权东股使行金基表代人理管金基)九(
                                 法方及则原理处的利权东股使行金基表代人理管金基)九(
                                                                                     。制限
的定规述上受不可后序程当适行履在人理管金基本,定规性止禁述上消取门部管监或规法律法如
          。为行他其的事从止禁定规》同合金基《及会监证国中、规法律法的效有时当)8(
                         ;动活易交券证的当正不他其及格价券证纵操、易交幕内事从)7(
                                   ;券证的销承内期销承者或券证的行发司公的系关害利大重他
其有人管托金基、人理管金基与者或东股的系关股控有人管托金基、人理管金基与卖买)6(
;券债或票股的行发人管托金基、人理管金基其卖买者或资出人管托金基、人理管金基向)5(
                       ;外除的定规有另会监证国中或规法律法但,额份金基他其卖买)4(
                                                         ;资投的任责限无担承事从)3(
                                                           ;保担供提或款贷人他向)2(
                                                                       ;券证销承)1(
                             :为行列下事从止禁金基本,益权法合的人有持额份金基护维为
                                                                               为行止禁.2
                                                                                 。始开起日
  之效生同合金基本自查检与督监的例比资投的金基对人管托金基,外例比置配产资资投除。定约
                                                  6
关有的同合金基合符例比合组资投的金基使内月个 起日之效生同合金基自当应人理管金基
                                                      3                10
                  。更变其从,更变有如规法律法。月个 到长延日易交个 从限时整调将可后
                                                                                 10
序程关相行履人理管金基,的定约同合金基于低例比资投券证致导而,形情的上以元亿 加增内
          10
日易交个 在模规产资净金基的起引动活销营续持中集等红分例比大、分拆额份金基因于对
                                                                                       。整
                  10
调行进内日易交个 在当应人理管金基,的例比资投定规述上合符不例比资投金基使致素因的外
  之人理管金基等价对付支中革改置分权股、动变模规金基、并合司公市上、动波场市券证因
  。制限关相受再不资投金基本则,金基本于用适如,制限述上消取门部管监或规法律法
  。准为定规的后更变以,的更变行进制限例比合组资投定约同合金基本对规法律法果如 )31
                    ;%3 的值净产资金基本过超得不值价允公其,券证限受通流一同的有
  持金基本;%01 的值净产资金基本过超得不值价允公其,券证限受通流有所的有持金基本 )21
                                         ;十之分百的证权该过超得不,证权一同的有
持金基部全的理管司公本;%3 的值净产资金基过超得不值市其,证权部全的有持金基本 )11
                             ;量总的票股行发次本司公票股行发拟过超不量数票股的报
                                            60
  80.5              06.221,628,2                                             券债融金 3
  -                 -                                                        据票行央 2
  -                 -                                                        券债家国 1
     )%(例比               )元(值价允公                     种品券债               号
   值净产资金基占                                                                       序
                                             合组资投券债的类分种品券债按末期告报、4
                                                       。票股有持未末期告报本金基本
              :细明资投票股名十前的序排小大例比值净产资金基占值价允公按末期告报、3
                                                       。票股有持未末期告报本金基本
                                               :合组资投票股的类分业行按末期告报、2
  00.001                    16.371,719,77                                          计合 8
  15.6                   87.080,670,5                                        产资他其 7
  02.4                   02.989,962,3                      计合金付备算结和款存行银 6
  -                      -                       产资融金售返入买的购回式断买:中其
  -                      -                                           产资融金售返入买 5
  -                      -                                             资投品生衍融金 4
  -                      -                                                 资投属金贵 3
  -                      -                                               券证持支产资
  92.98                  36.301,175,96                                     券债:中其
  92.98                  36.301,175,96                                   资投益收定固 2
  -                      -                                                 票股:中其
  -                      -                                                   资投益权 1
          )%(              )元(额金                        目项                     号
   例比的产资总金基占                                                                   序
                                                       :况情合组产资金基末期告报、1
                             )计审经未(日 月 年 至截据数载所告报合组资投本
                                           30    6   2015
                                                                           。漏遗大重者或
述陈性导误、载记假虚在存不容内核复证保,容内等告报合组资投和现表值净、标指务财的中告报
本了核复日 61 月 7 年 5102 于,定规同合金基本据根司公限有份股行银信中人管托的金基本
                                                                           。任责带连及别
个担承性整完和性确准、性实真的容内其对并,漏遗大重或述陈性导误、载记假虚在存不料资载所
  告报本证保事董及会事董的人理管金基)”金基本“称简下以(金基资投券证型券债利增吴东
                                                           告报合组资投金基)一十(
                                                           告报合组资投金基)一十(
                                                           告报合组资投金基)一十(
                                                           告报合组资投金基)一十(
                     。券融资融行进定规的策政和规法律法关有的效有时届据根以可金基本
                                                               券融、资融的金基 十(
                                                               券融、资融的金基 十(
                                                               券融、资融的金基 十(
                                                               券融、资融的金基))))十(
。益利的人有持额份金基护保,利权人权债使行立独金基表代定规关有家国照按人理管金基.4
  。益利的人有持额份金基护保,利权东股使行立独金基表代定规关有家国照按人理管金基.3
                                                     ;值增与全安的产资金基于利有.2
                         ;理管营经的司公市上资投所与参不,股控的司公市上对求谋不.1
                                           61
                                   。券债换转可的期股转于处有持未末期告报本金基本
                                         券债换转可的期股转于处的有持末期告报)4(
87.080,670,5                                                                  计合 9
-                                                                             他其 8
-                                                                         用费摊待 7
-                                                                       款收应他其 6
81.435,003,1                                                            款购申收应 5
79.926,540,2                                                              息利收应 4
-                                                                         利股收应 3
34.679,890,1                                                        款算清券证收应 2
02.049,036                                                              金证保出存 1
                 )元(额金                                   称名                   号序
                                                                成构产资他其末期)3(
                       。库票股选备的定规同合金基出超有没票股名十前的资投金基)2(
                                                     。形情的罚处、责谴开公到受内年一前
日制编告报在或,查调案立门部管监被现出未期本体主行发的券证名十前的资投金基本)1(
                                                                注附告报合组资投、01
                                                     。货期债国资投未期告报本金基本
                                       明说况情易交货期债国的资投金基本末期告报、9
                                                       。证权有持未末期告报本金基本
              细明资投证权名五前的序排小大例比值净产资金基占值价允公按末期告报、8
                                                     。属金贵有持未末期告报本金基本
            细明资投属金贵名五前的序排小大例比值净产资金基占值价允公按末期告报、7
                                               。券证持支产资有持未末期告报本金基本
      细明资投券证持支产资名十前的序排小大例比值净产资金基占值价允公按末期告报、6
03.6            35.251,905,3               110,53          债财中 21 961211            5
09.6            06.938,448,3               049,73          债山白 21 106221            4
53.7            00.008,490,4               000,04          债发联 21 021211            3
31.8            03.872,825,4               038,44          10 丰万 21 980211           2
80.9            00.000,750,5               000,05             1NTM
                                                           水定嘉 21 9942821 1
)%(例比值                                                                           号
净产资金基占         )元(值价允公          )张(量数 称名券债 码代券债 序
              细明资投券债名五前的序排小大例比值净产资金基占值价允公按末期告报、5
49.421             36.301,175,96                                                计合 9
-                  -                                                            他其 8
10.0               05.562,7                                                   债转可 7
80.9               00.000,750,5                                             据票期中 6
-                  -                                                  券资融期短业企 5
77.011             35.517,086,16                                            券债业企 4
80.5               06.221,628,2                                   债融金性策政:中其
                                                              62
                                   )日   30   月 年
                                                 2015 6       至日   7 27月 年   2011   (
                                                                A金基券债利增吴东)1
                图较比的率益收准基绩业期同与其及率长增值净计累金基来以效生同合金基自 、2
                                      日       30   月   6   年   2015   到止截据数,数指价全合综券债国中 准基较比:注
                                                                                                               =
%60.0     %94.61      %90.0          %25.7                         %51.0                     %10.42    03.60.5102-72.70.1102
%10.0-     %65.4      %01.0          %02.1                         %90.0                     %67.5     03.60.5102-10.10.5102
%11.0      %15.3      %11.0        %45.6                           %22.0                     %50.01    13.21.4102-10.10.4102
%80.0      %46.4      %80.0        %57.3-                          %61.0                     %98.0     13.21.3102-10.10.3102
%40.0      %88.3      %60.0          %73.0                         %01.0                     %52.4     13.21.2102-10.10.2102
%30.0-    %39.1-      %11.0          %32.3                         %80.0                     %03.1     13.21.1102-72.70.1102
                      ④差准         ③率
                                                               ②                           ①
 ④②
   -      ③①
            -       标率益收准     益收准基                                                                   间时
                                                         差准标率长增值净               率长增值净
                    基较比绩业     较比绩业
                                                                                                  C 金基券债利增吴东)2
                                      日       30   月   6   年   2015   到止截据数,数指价全合综券债国中 准基较比:注
                                                                                                               =
 %60.0    %44.81      %90.0          %25.7                         %51.0                  %69.52       03.60.5102-72.70.1102
 %00.0    %48.4       %01.0          %02.1                         %01.0                  %40.6        03.60.5102-10.10.5102
 %11.0    %97.3       %11.0          %45.6                         %22.0                 %33.01        13.21.4102-10.10.4102
 %80.0    %21.5       %80.0          %57.3-                        %61.0                  %73.1        13.21.3102-10.10.3102
 %30.0    %82.4       %60.0          %73.0                         %90.0                  %56.4        13.21.2102-10.10.2102
%20.0-    %37.1-      %11.0          %32.3                         %90.0                  %05.1        13.21.1102-72.70.1102
                      ④差准          ③率
                                                               ②                           ①
 ④②
   -      ③①
            -       标率益收准     益收准基                                                                    间时
                                                         差准标率长增值净               率长增值净
                    基较比绩业     较比绩业
                                                                         A 金基券债利增吴东)1
                         较比率益收准基较比绩业期同与率长增值净段间时史历金基利增吴东 、1
                                                            。书明说募招的金基本读阅细仔应前策
                     ,
决资投出作在者资投 险风有资投。现表来未其表代不并绩业往过的金基。益收低最证保不也,利
                     ,
盈 定一 金基 证保 不但 产 资金 基用 运和 理管 则原的 责尽 勉勤 、用 信实 诚以诺 承人 理管 金基 本
                                      十一、基金的业绩
                                 。差尾在存能可间之项计合与和之项分,因原的入五舍四于由
                                                 分部述描字文他其的注附告报合组资投)6(
                                                           。票股有持未末期告报本金基本
                                         明说的况情限受通流在存中票股名十前末期告报)5(
                    63
                         。立成日   27   月     7   年   2011   于金基利增吴东:注
)日   30   月 年
              2015 6至日    月 年
                           7 27     2011    (
                                                            C金基券债利增吴东)2
                       。立成日   27   月   7   年   2011   于金基利增吴东:注
                                                              64
算清行进因原等产破告宣法依被者或销撤法依被、散解法依因人管托金基、人理管金基。分处被
得不产财金基,外分处定规的》同合金基《和规法律法依除。利权他其或押扣、结冻求请使行产
财金基本对得不人权债其,任责律法的身自其担承产财的有自其以构机销代金基和构机记登册注
金基、人管托金基、人理管金基。产财金基入归,益收和产财的得取而形情他其或用运、理管的
产财金基因人管托金基、人理管金基;产财有固其入归产财金基将得不人管托金基、人理管金基
。管保人管托金基由并,产财的构机销代金基和人管托金基、人理管金基于立独产财金基本
                                                      分分分分处和管保保保保的产财金基)四(
                                  。立独相户账产财金基他其及以户账产财的有自构机记登
册注金基和构机销代金基、人管托金基、人理管金基与户账用专金基的立开。案备行银民人国中
报并户账管托券债间行银立开义名的金基本以、户账券证金基立开式方的名联金基本和人管托金
基以并,务业算结金资的金基于用户专管托和户账算结金资立开义名的人管托金基以金基本
                                                                      帐帐帐
                                                                  户帐的产财金基)三(
                              。值价的后债负金基去减值总产资金基指是值净产资金基
                                                                      值值值值净净净净产资金基)二(
                                                                                      。等产资他其.01
                                                              ;整调值估其及资投他其.9
                                                              ;整调值估其及资投证权.8
                                              ;息利计应和整调值估其及资投券债.7
                                                              ;整调值估其及资投票股.6
                                                                                          ;款购申收应.5
                                                                ;款算清易交券证收应.4
                                        ;息利收应其及金证保的纳缴定规关有据根.3
                                                            ;息利计应其及金付备算结.2
                                                              ;息利计应其及款存行银.1
                                                                                          :有要主成构其
                                                                。和总值价的成形所资投他其
及以款金基购申的收应金基和息本款存行银、值价据票及券证类各的买购指是值总产资金基
                                                                      值值值值总总总总产产产资资资金金金基基基)))一一一(((
                                                   十二、基金财产
                                                              65
;格价允公定确,价市易交近最整调,素因化变大重及价市行现的种品资投似类考参可,的化变大
  重了生发境环济经后日易交近最如。值估价盘收的日易交近最按,化变大重生发未境环济经后日
  易交近最且,的易交有没日值估,值估价盘收日值估按券债的易交价净行实市上所易交) (                                2
                                        。格价允公定确,价市易交近最整调,素因化变大重及
  价市行现的种品资投似类考参可,的化变大重了生发境环济经后日易交近最如;值估)价盘收(
  价市的日易交近最以,化变大重生发未境环济经后日易交近最且,的易交无日值估;值估)价盘
收(价市的牌挂所易交券证在日值估其以,)等证权、票股括包(券证价有的市上所易交) (                                1
                                                    值估的券证价有的市上所易交券证.                                    1
                                                          :值估行进式方下以按金基本
                                                                            法方值估)五(
                                                                        法方值估)五(
                                                                            法方值估)五(
                                                                        法方值估)五(
                                    。行进时同对核的目账计会金基与核复值估末年和中年、末
月;人理管金基给回返章公务业盖加上果结值估面书的真传人理管金基在后误无核复,核复行进
序程、间时、法方值估的定规》同合金基《、规法律法按人管托金基,人管托金基至真传密加式形
  面书以章公务业盖加果结值估将,后值估成完人理管金基。行进人理管金基由值估常日金基
                                                                            序程值估)四(
                                                                        序程值估)四(
                                                                            序程值估)四(
                                                                        序程值估)四(
                            。债负和产资等息本款存行银和证权、券债、票股的有拥所金基
                                                                      象象象象对对对对值值值值估估估估))))三三三三((((
                                                                            。日业营非的值净金
  基露披外对要需定规规法律法家国及以日业营常正的所场易交券证的关相为日值估的金基本
                                                                                        值值值估估估
                                                                              日值估)二(
                    。础基的格价回赎与购申金基算计是,值净额份金基的出算计而值净产资金基的
定确后值估产资金基经据依,值增、值保否是产资金基映反地确准、观客是的目的值估产资金基
                                                                                                  的目
                                                                                                  的目
                                                                                                  的目
                                                                                                  的目
                                                                                      值值值值估估估估))))一一一一((((
                                              十三、基金资产的估值
                                                         。行执制强产财金基对得不,务债
 的担承身本产财金基因非。销抵互相得不务债权债的生产所产财金基的金基同不作运理管人理管
 金基;销抵互相务债的生产产资有固其与得不,权债的生产所产财金基作运理管人理管金基
                                                       。产财算清其于属不产财金基,的
                                              66
                                  4                3
计值净额份或值估当。入五舍四位 第后点数小,位 后点数小到留保算计的值净额份金基
                                            理处的误错值估和认确的值净额份金基 六
                                            理处的误错值估和认确的值净额份金基 六
                                            理处的误错值估和认确的值净额份金基 六
                                            理处的误错值估和认确的值净额份金基))))六((((
            。布公以予外对果结算计的值净产资金基对人理管金基照按,见意的致一成达法无仍
,后论讨分充上础基等平在方各关相经如,题问计会的关有金基本与就,此因。值净产资金基的算
计人理管金基查审、核复人管托金基,值净产资金基告公并算计人理管金基,》法金基《据根
                                                                                         。值
  估定规新最家国按,项事增新有如。定规其从,的定规制强有门部管监及以规法律法关相.        7
                              。值估格价的值价允公映反能最按,后定商人管托金基与况情体
  具据根可人理管金基,的值价允公其映反观客能不值估行进法方述上按明表据证凿确有如.        6
              。值估别分场市的处所券债按,的易交场市上以个两或个两在时同券债一同.        5
                                                                                    。值价
  允公定确术技值估用采,种品益收定固等券证持支产资、券债的易交场市券债间行银国全.        4
                    。零为值估则,价股配于低或于等价盘收。值估额差的价股配于高价盘收按
,价股配于高价盘收果如,止日认确股配到起日权除股配从,权股配的有享而票股有持因.         3
                                                                          。值价允公定
确定规关有会协业行或构机管监按,票股的期定锁确明有行发开公非;值估)价盘收(价市的票
股一同的市上所易交按,后市上所易交在票股一同,票股的期定锁确明有行发开公次首) (    3
                                              。值估本成按,下况情的值价允公量计靠可以
难术技值估在,值价允公定确术技值估用采,证权和券债、票股的市上未行发开公次首) (    2
                        ;值估)价盘收(价市的日一近最以,的易交无日该;值估)价盘收(
价市的票股一同的牌挂所易交券证在日值估按,股新的发增开公和股配、股增转、股送) (    1
                                    :理处况情下如分区应券证价有的间期市上未于处.        2
                                                                                    。值估
本成按,下况情的值价允公量计靠可以难术技值估在,值价允公定确术技值估用采,券证持支产
资的市上所易交。值价允公定确术技值估用采,券证价有的场市跃活在存不市上所易交) (    4
                                                                    ;格价允公定确,价
市易交近最整调,素因化变大重及价市行现的种品资投似类考参可,的化变大重了生发境环济经
后日易交近最如。值估行进价净的到得息利收应券债的含所中价盘收券债去减价盘收券债日易交
近最按,化变大重生发未境环济经后日易交近最且,的易交有没日值估;值估行进价净的到得息
利收应券债的含所中价盘收券债去减价盘收日值估按券债的易交价净行实未市上所易交) (    3
                                           67
                                                                                4
                        。式方的形情确正的错差生发未设假至复恢量尽用采整调错差) (
                                                  。方任责错差给付支分部额差的失损际实
  其过超和总的还返利得当不的得获经已上加额偿赔的得获经已其将当应方损受则,方损受给还返
  利得当不分部此将经已人事当的利得当不得获果如;利权的利得当不付交求要有享人事当的利得
当不得获对内围范的额金偿赔的付支其在并,失损的方损受偿赔应方任责错差则,)”方损受“(失
  损益利的人事当他其成造利得当不还返部全不或还返不人事当的利得当不得获于由果如,责负错
                                                                                3
差对应仍方任责错差但。务义的利得当不还返时及有负人事当的利得当不得获而错差因) (
                                              。责负方三第对不,责负人事当接直关有的错
                                                                                2
  差对仅且并,责负失损接间对不,责负失损接直的人事当关有致导能可对方任责的错差) (
                                                         。正更到得已错差保确,认确行进
  人事当关有向况情的正更对应方任责错差。任责偿赔应相担承当应其则,正更未而正更行进间时
  的够足有人事当的务义助协有且并,调协极积经已方任责错差若;担承方任责错差由的失损成造
  人事当给,错差的生产已正更时及未方任责错差于由;担承方任责错差由用费的生发错差正更因
                                                                                1
,正更行进时及,方各调协时及应方任责错差,时失损成造人事当给未尚但,生发已错差) (
                                                                      则原理处错差. 2
                                                                    。务义的利得当不还返
  有负应仍人事当的利得当不得取错差该因但,任责偿赔担承人事当他其对不人事当的错差现出因
  原力抗可不因,错差他其成造或理处误错被或失灭料资易交的者资投成造因原力抗可不于由
                                    。行执定规述下照按,力抗可不属则,拒抗法无、免避法
  无、见预法无平水术技有现业行同系若,错差的起引因原术技因于对;等错差令指达下、错差障
  故统系、错差算计据数、错差输传据数、错差报申料资:于限不但括包型类要主的错差述上
                。任责偿赔担承偿赔予给”则原理处错差“述下按)”方损受“(人事当的失损受
  遭错差该于由对当应人任责的错过,的失损受遭人事当他其致导,错差成造错过的身自者资投或
、构机售销理代或、构机记登册注或、人管托金基或人理管金基于由果如,中程过作运金基本
                                                                          型类错差. 1
                                    :理处定约下以照按人事当的同合本,理处错差于关
    。偿追人错过向权有,任责的担承其由应不对人理管金基,担承人理管金基由先应,的失损成
                                                                      0.5%
  造者资投给误错值估金基因。案备会监证国中报并,告公当应人理管金基,时 的值净额份金
  基到达差偏误错值估当;案备会监证国中报应人理管金基,时0.25%   的值净产资金基过超或到达
  误错当。大扩步一进失损止防施措的理合取采并,正纠即立当应人理管金基,时生发际实误错价
                                             68
                                          。响影的成造此由除消施措的要必取采极积当应人管
  托金基、人理管金基但。任责偿赔除免以可人管托金基和人理管金基,误错值估产资金基的成造
  此由,的误错该现发能未是但,查检行进施措的理合、当适、要必取采经已然虽人管托金基和人
  理管金基,因原力抗可不他其于由或,误错据数的送发司公算结记登其及所易交券证于由.        2
                                                         6
;理处误错值估产资金基为作不差误的成造所,时值估行进项 第的法方值估按人理管金基.         1
                                                                  理处的形情殊特 八
                                                                  理处的形情殊特 八
                                                                  理处的形情殊特 八
                                                                  理处的形情殊特))))八((((
                                                        。形情他其的定认会监证国中.      3
                    ;时值价产资金基估评确准法无人理管金基使致形情他其或力抗可不因.      2
                ;时业营停暂因原他其因或日假节定法遇所场易交券证的关有资投金基本与.      1
                                                                        值值值估估估
                                                                  形情的值估停暂)七(
                                                                              0.5%
                                  。案备会监证国中报并告公当应人理管金基,时 的值净额
  份金基到达差偏误错算计值净额份金基人管托金基及人理管金基;会监证国中告报当应人理管金
       0.25%
基,时 的值净额份金基到达差偏误错算计值净额份金基人管托金基及人理管金基) (         5
                                          ;认确行进人事当关有向正更的错差就并,正更行进
  构机记登册注金基由,的据数易交的构机记登册注金基改修要需,法方的理处错差据根) (  4
          ;失损偿赔和正更行进方任责的错差由法方的商协人事当或则原理处错差据根) (  3
                  ;估评行进失损的成造错差因对法方的商协人事当或则原理处错差据根) (2
;方任责的错差定确因原的生发错差据根并,人事当的有所明列,因原的生发错差明查) (    1
                        :下如序程的理处,理处行进时及当应人事当的关有,后现发被错差
                                                                      序程理处错差.      3
                                              。错差理处则原他其的定规规法律法按) (7
                                                                                      。失损
  的受遭和用费的生发此由偿补或偿赔其求要权有并,索追行进人事当的错过现出向权有人理管金
  基则,任责偿赔了担承方损受对决裁裁仲、决判院法据依或行自人理管金基,定规他其或》同合
  金基《、规法政行、律法据依且并,偿赔行进方损受对定规按未人事当的错差现出果如) (  6
                                          。偿追方错差向责负人理管金基由,时偿赔行进绝拒
  并,失损的产资金基成造方三第的外之人管托和人理管金基除。偿追人管托金基向益利的金基为
  应人理管金基,时失损产资金基成造错过人管托金基因果如,偿追人理管金基向益利的金基为应
  人管托金基,时失损产资金基成造错过人理管金基因果如,时偿赔行进绝拒方任责错差) (  5
                                                                                              69
工个 51 过超得不间时的)日止截算计润利配分供可即(日准基配分益收离距日放发利红金基
                                                                                                                                                                              。告公和
  案备定规关相规法律法据根并,核复人管托金基由,定拟人理管金基由案方配分益收金基本
                                                 施施施施实实实实与与与与告告告告公公公公、、、、定定定定确确确确的的的的案案案案方方方方配配配配分分分分益益益益收收收收 ))))五五五五((((
                                                                 。案方配分益收的同不定制应相可人理管
  金基,同不益收配分可的应对别类额份金基同不于由。容内等式方配分、例比及额数配分、间时
  配分、象对配分益收金基、润利配分供可的日准基配分益收止截明载应中案方配分益收金基
                                                                         告公与定确的案方配分益收)四(
                                                                         告公与定确的案方配分益收)四(
                                                                         告公与定确的案方配分益收)四(  确                                      分
                                           。定规其从的定规有另构机管监或规法律法、5
                                       ;值面于低能不后额金配分益收额份金基位单每去减值
  净额份金基的日准基配分益收金基即,值面于低能不值净额份金基一每后配分益收金基、4
                                                                                                                                                                                           ;配
  分益收行进不可月个 3 满不效生》同合金基《若。%01 的润利配分供可日准基配分益收于低不例
  比配分次每,次 8 为多最数次配分益收年每金基本,下提前的件条红分金基关有合符在、3
                                         ;权配分等同有享额份金基一每的内别类一同,案方
  配分益收定制别分额份金基别类各对可人理管金基,同不所有能可益收配分可的应对别类额份金
  基各,费务服售销取收额份金基类 C 而,费务服售销取收不额份金基类 A 的金基本于由、2
                     ;利红金现是式方配分益收的认默金基本,择选不人资投如,资投再行进额
  份金基为转动自值净额份金基的日投再按利红金现将或利红金现取获择选可人资投,资投再利红
与红分金现为分式方配分益收金基,间期放开;式方金现用采配分益收金基,间期闭封、1
                                                                         :则原列下循遵应配分益收金基本
                                                                                                         则原配分益收金基)三(
                                                                                                         则原配分益收金基)三(
                                                                                                         则原配分益收金基)三(
                                                                                                         则原配分益收金基)三(
                                                                                                                                                                                           。数
  低孰的益收现实已中润利配分未与润利配分未金基日准基配分益收至截指润利配分供可金基
                                                                                                                 润润润润利利利利配配分分分分供供供供可可可可金金基基)二二((
                                 。额余的后益收动变值价允公去减润利金基指益收现实已金基
,额余的后用费关相除扣入收他其和益收动变值价允公、益收资投、入收息利金基指润利金基
                                                                                                                   成成成成构构构的的的益益益收收收金金金基基基)))一一一(((
                                                                      十四、基金的收益分配
                                                                                   70
    :下如法方算计的费管托。提计率费年的 的值净产资金基日一前按费管托的金基本  0.2%
                                                                     费管托的人管托金基                                                                       2.
                                          。延顺期日付支 等假休公、日假节定法遇若。人理                     ,
                                                                                 3
管金基给付支性次一中产财金基从内日作工个 前月次于后核复人管托金基,令指款划费理管金
基送发人管托金基向人理管金基由,付支月按,末月月每至计累日逐,算计日每费理管金基
                                                           值净产资金基的日一前为                                                                              E
                                                         费理管金基的提计应日每为                                                                              H
                                                               数天年当÷ ×                                                               H=E 0.65%
      :下如法方算计的费理管。提计率费年 的值净产资金基日一前按费理管的金基本0.65%
                                                                     费理管的人理管金基                                                                       1.
                                                                                                                                 中其
                                                                                                                               中其
                                                                                                                                 中其
                                                                                                                               中其
                    。除扣中值总产财金基从额出支际实按,用费生发所时算清止终金基本
            。用费他其的支列中产财金基在以可,定约》同合金基《和定规关有家国照按                                                                              9.
                                                             ;用费划汇行银的金基                                                                             8.
                                                             ;用费易交券证的金基                                                                             7.
                                                         ;用费会大人有持额份金基                                                                             6.
                        ;费讼诉和费师律、费师计会的关相金基与后效生》同合金基《                                                                              5.
                                    ;用费露披息信的关相金基与后效生》同合金基《                                                                              4.
                              ;费务服售销的提计中产财的金基额份金基类 从金基本                                                            C                  3.
                                                             ;费管托的人管托金基                                                                             2.
                                                             ;费理管的人理管金基                                                                             1.
                                                               用用用用费费费费的的的的关关关关有有有有金金金金基基基基与与与与))))一一一一((((
                                                             十五、基金费用与税收
            。行执》则规务业《照依,法方算计的资投再利红。额份金基为转动自利红金现的
人有持额份金基将可构机记登册注金基,时用费续手他其或账转行银付支于足不,额金定一于小
利红金现的者资投当。担承行自者资投由用费续手他其或账转行银的生发所时配分益收金基
                                                  用用用用费费费费的的的的生生生生发发发发中中中中配配配配分分分分益益益益收收收收金金金金基基基基))))六六六六((((
                                                                                                                                                             。日作
                                           71
  理管金基低调;议审会大人有持额份金基开召须,率费等率费管托金基、率费理管金基高调
                                                                         。率费关相等率
  费管托金基、率费理管金基整调况情展发金基据根可,后致一商协人管托金基和人理管金基
              。目项的用费金基入列得不定规关有的会监证国中及规法律法关相据根他其.4
                                                                               ;用费等
  用费露披息信、费师律和师计会、费资验于限不但括包,用费关相的前效生》同合金基《.3
                      ;用费的生发项事的关无作运金基与理处人管托金基和人理管金基.2
  ;失损的产财金基或出支用费的致导务义行履全完未或行履未因人管托金基和人理管金基.1
                                                           :用费金基入列不用费列下
      。延顺期日付支,日息休、日假节定法遇若。构机售销金基各给付支别分人理管金基由,构
                                                3
  机记登册注给付支性次一中产财金基从内日作工个 起日首月次于后核复人管托金基经,令指
  付划费务服售销金基送发人管托金基向人理管金基由。付支月按,提计日每费务服售销金基
                                                值净产资金基日一前额份金基类 为   C     E
                                            费务服售销的提计应日每额份金基类 为   C    H
                                                       数天年当÷率费务服售销×       H=E
                           0.4                      C
:下如法方算计。提计率费年% 的值净产资金基类 日一前按费务服售销,下况情常通在
                                                             。明说项专作况情支列的用费
                                                              C
  项该对中告报度年金基在将人理管金基,务服人有持额份金基类 为及以售销、广推场市金基类
 C                                                                C
    金基本于用门专将费务服售销。率费务服售销的提计额份金基级各类 对整调内围范的定约同
合金基在以可人理管金基,书明说募招的后新更或告公金基本见参率费体具费务服售销, 过     0.4%
                                          C
超不高最率费年费务服售销的提计额份金基类 ,费务服售销取收不额份金基类 的金基本A
                                                                          C
                                费务服售销的提计中产财的金基额份金基类 从金基本        3.
                                      。付支中产财金基从人管托金基由,用费期当入列额金
                                                        3 7
  出支际实用费按,定规议协应相及规法关有据根,用费项 - 第中类种的用费金基、一述上
                                                                      ,
                                                      。延顺期日付支 等日休公、日假节定
                                          3
法遇若。取支性次一中产财金基从内日作工个 前月次于后核复人管托金基,令指款划费管托金
  基送发人管托金基向人理管金基由,付支月按,末月月每至计累日逐,算计日每费管托金基
                                                           值净产资金基的日一前为       E
                                                         费管托金基的提计应日每为      H
                                                               数天年当÷ ×  H=E 0.2%
                                                                                   72
  需所务事师计会换更。人管托金基报通须,所务事师计会换更由理足充有为认人理管金基.3
          。意同人管托金基和人理管金基得征先事应,师计会册注办经换更所务事师计会.2
                                        。计审行进表报务财度年的金基本对师计会册注其及
  所务事师计会的格资业从券证有具的立独互相人管托金基、人理管金基与请聘人理管金基.1
                                                                            计审的金基 二
                                                                            计审的金基 二
                                                                            计审的金基 二
                                                                            计审的金基))))二((((
。认确式方面书以并对核行进等制编表报、算核计会的金基就人理管金基与月每人管托金基.7
                                                                ;表报计会金基制编定规关
  有照按,算核计会的常日行进并证凭、目账计会的整完留保自各人管托金基及人理管金基.6
                                                        ;算核立独、账建立独金基本.5
                                                   ;度制计会关有家国行执度制计会.4
                            ;位单账记为元币民人以,币位本账记为币民人以算核金基.3
                          ;度年计会个一下入并以可,月个 2 于少效生》同合金基《果如:则
原下如按度年计会的集募次首金基;日 13 月 21 至日 1 月 1 的度年历公为度年计会的金基.2
                                            ;方任责计会金基的金基本为人理管金基.1
                                                                    政政政政                                                策 计会的金基 一
                                                                                                                            策 计会的金基 一
                                                                                                                            策 计会的金基)))一(((
                                                           十六、基金的会计与审计
            。行执规法、律法收税家国按务义税纳其,体主税纳各的及涉中程过作运金基本
                                                                      收税金基)三(
                                                                      收税金基)三(
                                                                      收税金基)三(
                                                                      收税金基)三(
                                          。定规行另时届人理管金基由率费换转金基本
                    。定规关相的”费回赎与费购申)七(“的中”回赎与购申的额份金基
、九“书明说募招本见详请式方用使和式方取收、式公算计、平水率费的费回赎、费购申金基本
                                                     容容容容内内内内的的的的用用用用费费费费关关关关相相相相售售售售销销销销金金金金基基基基))))二二二二((((
                                                                                                                                                                     。告
 公上站网人理管金基和体媒定指种一少至在日 2 前日施实率费的新于迟最须必人理管金基
                               。会大人有持额份金基开召须无,率费等率费管托金基、率费
                                                                                                                                      73
      明说募招金基将,前日 3 的售发额份金基在人理管金基,后准核会监证国中经请申集募金基
                                                                                                              议协管托金基、》同合金基《、书明说募招金基.1
                                                                                                                                                                             :括包息信金基的露披开公
                                                                                                                                                                                   息信金基的露披开公、五
                                                                                                                                                                               息信金基的露披开公、五
                                                                                                                                                                                   息信金基的露披开公、五
                                                                                                                                                                               息信金基的露披开公、五
                                                                                                   。。。。元元币币币币民民人人为为为为位位位位单单单单币币币币货货货货,,,,外外外外明明明明说说说说别别特特特特除除除除;;;;字字字字数数伯伯伯伯拉拉拉拉阿阿阿阿用用用用
采采采采息信的露露露露披披披披开公金基本本本本。。。。准准准准为为为为本本本本文文文文文文文文中以以以以,,,,的义义义义歧歧歧歧生发本本本本文文文文种种种种两两两两。。。。致致致致一容容容容内的本本本本文文文文种种种种两两两两证保保保保应应应应
          义义义露露露披披披                        ,,, 本本本文文文文文文外外外用用用采采采 如如如。。。本本本文文文文文文 用用用采采采应应应 露露露披披披
人务义露披息信金基,的本文文外用采时同如。本文文中用采应息信的露披开公金基本、四                                                                                                                                                                 本本本
                                                                                                                                                             。为行他其的止禁会监证国中.6
                                            ;字文的性荐推或性维恭、性贺祝的织组他其者或人法、人然自何任载登.5
                                                                                         ;构机售销金基者或人管托金基、人理管金基他其毁诋.4
                                                                                                                                                             ;失损担承者或益收诺承规违.3
                                                                                                                                                                     ;测预行进绩业资投券证对.2
                                                                                                                                 ;漏遗大重者或述陈性导误、载记假虚.1
                                              为为为 列列列下下下 得得得不不不,,,
                                      :为行列下有得不,息信金基的露披开公诺承人务义露披息信金基本)三(               露露露披披披                                            义义义露露露披披披                                    本本本
                    。料资息信的露披开公制复者或阅查式方和间时的定约》同合金基《照按够能者资投金基
      证保并,露披介媒等)”站网“称简下以(站网网联互的人管托金基、人理管金基和体媒的定指会
      监证国中过通息信金基的露披予应将,内间时定规会监证国中在当应人务义露披息信金基本
                                                                                                                                                                                     。性整完和性确准、性实真的
      息信露披所证保并,息信金基露披定规的会监证国中和规法律法照按人务义露披息信金基本
                                                                           。织组他其和人法、人然自的定规会监证国中和规法律法等人有持
      额份金基的会大人有持额份金基集召、人管托金基、人理管金基括包人务义露披息信金基本
                                                                                                                                                                                           人务义露披息信)二(
                                                                                                                                                                                       人务义露披息信)二(
                                                                                                                                                                                           人务义露披息信)二(
                                                                                                                                                                                       人务义露披息信)二(
                                                                                                                                                                                                                           。。。。定定定定规规规规关关关关有有有有他他他他其其其其
及 同合金基 、 法办
及 同合金基 、 法办
      》》》》                《《《《》》》》 露露露露披披披披息息信信《《《《、、》》》》法法办办作作运运《《《《、、》》》》法法金金基基《《《《合合符符符符应应应应露露露露披披披披息息信信的的金金基基本本本本))一((
                                                                                                    十七、基金的信息披露
                                                           。案备会监证国中报并告公站网人理管金基及体媒定指家一少至在内日 2 在
                                           74
                    告报度季金基和告报度年半金基、告报度年金基括包,告报期定金基.6
                                                                                。料资息
  信述前制复者或阅查点网售发额份金基在够能者资投证保并,率费回赎、购申关有及式方算计的
  格价回赎、购申额份金基明载上件文露披息信等书明说募招、》同合金基《在当应人理管金基
                                                            格价回赎、购申额份金基.5
                                                  。上站网人理管金基和体媒定指在载登值
  净计累额份金基和值净额份金基、值净产资金基将,日次的日易交场市的定规款前在当应人理管
  金基。值净额份金基和值净产资金基日易交场市个一后最度年和度年半告公当应人理管金基
                  。值净计累额份金基和值净额份金基的日放开露披,介媒他其及以点网售发额
  份金基、站网过通,日次的日放开个每在当应人理管金基,后月个三起日之效生同合金基自
                                                                                。值净额
  份金基和值净产资金基次一告公周每少至当应人理管金基,内月个三起日之效生同合金基自
                                                        值净额份金基、值净产资金基.4
                                                                              。告公效生
》同合金基《载登上站网人理管金基和体媒定指在日次的效生》同合金基《在当应人理管金基
                                                              告公效生》同合金基《.3
                                                。上站网人理管金基和体媒定指于载登日当
  的书明说募招露披在并,告公售发额份金基制编宜事体具的售发额份金基就当应人理管金基
                                                                  告公售发额份金基.2
                                                            。件文律法的系关务义、利权的
中动活等督监作运金基及管保产财金基在人理管金基和人管托金基定界是议协管托金基)3(
。件文律法的项事的益利大重者资投金基及涉等性特的品产金基明说,序程体具及则规的开召会大
  人有持额份金基确明,系关务义、利权项各的人事当》同合金基《定界是》同合金基《)2(
        。明说面书供提容内新更关有就并,书明说募招的新更送报构机出派会监证国中的地在所
所场公办要主向前日 51 的告公在人理管金基;上体媒定指在载登要摘书明说募招的后新更将,上
站网在载登并书明说募招新更,内日 54 起日之束结月个 6 每在人理管金基,后效生》同合金基《
。容内等务服人有持额份金基及露披息信、示揭险风、性特品产金基、资投金基、排安回赎和购申
、购认金基明说,项事部全的策决者资投金基响影露披地度限大最当应书明说募招金基)1(
                                                    。上站网在载登议协管托金基、》同合金
基《将当应人管托金基、人理管金基;上站网人理管金基和体媒定指在载登要摘》同合金基《、书
                                          75
                                     ;罚处政行重严到受人责负门部管托金基其及人管托金
基,罚处政行重严到受理经金基、员人理管级高他其及理经总、事董其及人理管金基)31(
                                ;查调的门部管监到受人管托金基、人理管金基)21(
                            ;讼诉的务业管托金基、产财金基、人理管金基及涉)11(
    ;%03 过超动变内年一在员人务业要主的门部管托金基人管托金基、人理管金基)01(
                                       ;%05 过超更变内年一在事董的人理管金基)9(
                                                                    ;动变生发人责负门
部管托金基人管托金基和理经金基、员人理管级高他其及理经总、长事董的人理管金基)8(
                                                              ;长延期集募金基)7(
                                         ;更变生发例比资出其及东股人理管金基)6(
                            ;更变生发所住、称名定法的人管托金基、人理管金基)5(
                                                  ;人管托金基、人理管金基换更)4(
                                                            ;式方作运金基换转)3(
                                                            ;》同合金基《止终)2(
                                                    ;开召的会大人有持额份金基)1(
                                                                              :件事列
下的响影大重生产格价的额份金基者或益权人有持额份金基对能可指是,件事大重称所款前
  。案备构机出派会监证国中的地在所所场公办要主人理管金基和会监证国中报别分日露披开公
在并,告公以予,书告报时临制编内日 2 在当应人务义露披息信关有,件事大重生发金基本
                                                                        告报时临.7
                。式方种两告报面书和本文子电用采当应备报。案备构机出派会监证国中地在
所所场公办要主人理管金基和会监证国中报别分,日作工个 2 第的露披开公在告报期定金基
                                                                              。告报度
年者或告报度年半、告报度季期当制编不以可人理管金基,的月个 2 足不效生》同合金基《
                                                  。上站网人理管金基和体媒定指在载登告
报度季将并,告报度季金基成完制编,内日作工个 51 起日之束结度季个每在当应人理管金基
                                  。上体媒定指在载登要摘告报度年半将,上站网在载登文
正告报度年半将并,告报度年半金基成完制编,内日 06 起日之束结年半上在当应人理管金基
  。计审过经当应告报计会务财的告报度年金基。上体媒定指在载登要摘告报度年将,上站网于
载登文正告报度年将并,告报度年金基成完制编,内日 09 起日之束结年每在当应人理管金基
                                            76
  理管金基对,定约的》同合金基《和定规的会监证国中、规法律法关相照按当应人管托金基
                                                                             。定规的则准
  式格与容内露披息信金基关相会监证国中合符当应,息信金基露披开公人务义露披息信金基
。务事露披息信理管责负人专定指,度制理管露披息信全健立建当应人管托金基、人理管金基
                                                                     露披
                                                             理管务事露披息信)六(
                                                             理管务事露披息信)六(
                                                             理管务事露披息信)六(
                                                       。息信他其的定规会监证国中.01
          。务义露披息信关相行履当应人集召,的务义露披息信行履法依不项事的定决会大人有
  持额份金基对人管托金基、人理管金基,会大人有持额份金基集召行自法依人有持额份金基
                                  。项事等式方决表和序程事议、项事议审、式形议会、间时
开召的会大人有持额份金基告公日 04 前提少至当应人集召,的会大人有持额份金基开召。告公以
  予并,案备者或准核构机理管督监券证院务国报法依当应,项事的定决会大人有持额份金基
                                                           议决会大人有持额份金基.9
                                             。会监证国中告报即立况情关有将并,清澄开公
  行进息消该对即立当应后悉知人务义露披息信关相,的动波大较起引者或响影性导误生产格价额
  份金基对能可息消的传流上场市在者或的现出中体媒共公何任,内限期续存》同合金基《在
                                                                          告公清澄.8
                                                   。项事他其的定规会监证国中)62(
                          ;回赎、购申受接新重后请申回赎、购申受接停暂金基本)52(
                                  ;请申回赎受接停暂并回赎额巨生发续连金基本)42(
                                               ;付支期延并回赎额巨生发金基本)32(
                                  ;更变生发式方费收其及率费回赎、购申金基本)22(
                                                   ;回赎、购申理办始开金基本)12(
                                                       ;构机记登册注金基换更)02(
                                                           ;构机售销金基更变)91(
                                                       ;所务事师计会聘改金基)81(
                                    ;%5.0 值净额份金基达误错价计值净额份金基)71(
                      ;更变生发率费和式方提计、准标提计用费等费管托、费理管)61(
                                                           ;项事配分益收金基)51(
                                                           ;项事易交联关大重)41(
                                                                                      77
          。化变益收和失损产资金基致导能可都,整完不、实真不露披息信司公市上者或,息
本期到付支绝拒、约违现出人行发之券债资投所金基者或,约违收交生发程过易交在金基指
                                                                                        险风用信.3
            。响影的化变率利到受会平水益收,券债和票股于资投金基。平水润利和本成资融
的业企响影接直时同,动变的率益收和格价的益收息利及场市票股致导会动波率利场市融金
                                                                                        险风率利.2
                                    。益收金基响影而从,动波格价场市致导能可,响影的
定一生产场市券证对化变的策政家国等策政管监场市券证和策政业产、策政政财、策政币货
                                                                                        险风策政.1
                                                    :括包要主,险风生产,化变平水益
收金基致导,响影的素因种各等度制易交和理心资投、素因治政、素因济经受格价场市融金
                                                                  险险险险风风风风场场场场市市市市))))一一一一((((
                                                  。金基型票股和金基型合混于低,金基
场市币货于高益收与险风期预其,种品险风低的中金基资投券证于属,金基型券债为金基本
                                                               十八、基金的风险揭示
                                                                                                                                                                            。制
复、阅查众公供以,所住的人管托金基和人理管金基于备置别分当应,后布公告报期定金基
                                                                                                                                          。制复、阅查众
公供,所住的构机售销金基和人管托金基、人理管金基于备置别分当应,后布公书明说募招
                                                    阅阅阅阅查查查查与与与与放放放放存存存存的的的的件件件件文文文文露露露露披披披披息息息息信信信信))))七七七七((((
                          。年 01 后止终》同合金基《到存保少至案档关相将并,稿底作工作
制当应,构机业专的书见意律法、告报计审具出息信金基的露披开公人务义露披息信金基为
                                          。致一当应容内的息信一同露披上介媒同不在且并
,息信露披站网人理管金基和体媒定指于早得不体媒共公他其是但,息信露披体媒共公他其在要
需据根以可还,外息信露披上站网人理管金基和体媒定指在法依除人管托金基、人理管金基
                      。刊报的息信露披择选中体媒定指在当应人管托金基、人理管金基
                                                                                                                                                                            。认
确章盖者或件文面书具出人理管金基向并,查审、核复行进息信金基关相的露披开公等书明说募
招的新更期定和告报期定金基、格价回赎购申额份金基、值净额份金基、值净产资金基的制编人
                                                                  78
  净生产示显限时常正按法无统系算核、痪瘫统系记登册注、成完限时常正按法无回赎购申的常日
  金基致导能可,况情常异现出持支络网息信或统系障保术技等络网易交、统系讯通、机算计
                                                                                                  险风术技.1
                                                                            险险险险风风风风它它它它其其其其)五(
          。票股他其于优续持定一不现表绩业的股个的出选精其,断判的势走格价券证和势形济
  经、息信关相对其响影而素因等验经、术技、识知于限能可人理管金基,中程过作操际实的股个
  选精在,外另。平水均平场市于先领定一不现表绩业的金基本即,险风略策资投在存金基本
                                                                          险险险险风风风风略略略略策策策策))))四四四四((((
                  。险风等回赎停暂或回赎延顺分部到遇会能可,时额份金基回赎在者资投金基
,难困现出付支金现的人理管金基致导并,回赎额巨现出续连而因原他其或动波烈剧场市为因
                                                              险风回赎停暂或延顺.2
                                                    。响影利不到受值净产资金基使能可则
  ,要需金现的回赎金基付应以种品资投有持售抛迫被人理管金基致导而回赎量大续连的者资投于
  由是若,化变断不而回赎与购申的额份金基对者资投着随将模规金基,金基式放开是金基本
                                                                                  险风回赎额大.1
                                                                  险险险险风风风风性性性性动动动动流流流流)三(
              。平水益收金基响影素因等术技理管和段手理管、平水理管的人管托金基和人理管
  金基为因能可金基本,此因。平水益收金基响影而从,断判的势走格价券证、势形济经对和有占
  的息信对其响影会,等能技、策决、断判、验经、识知的人理管金基中程过作运理管金基在
                                                                          险险险险风风风风理理理理管管管管))))二二二二((((
                                                                                                                。险风的失
  损产资金基了致导,行执常正能不同合或制限到受为行场市些某,因原的面方规法律法于由
                                                                                                  险风律法.6
                                                                                                                                  。率
  益收的少前以比得获将,时资投再行进入收息利的得所购回和券证益收定固的资投从金基,时降
  下率利当。响影的益收资投再入收息利等购回和券证益收定固对降下率利了映反险风资投再
                                                                                          险风资投再.5
                                。低降此因会值价资投际实的金基,高提率胀膨货通于由
                                                                                  险风胀膨货通.4
                                                             79
                                                    ;略策或围范、标目资投金基更变)6(
                                                                    ;别类金基更变)5(
                                            ;准标酬报的人管托金基、人理管金基高提)4(
                                                                ;式方作运金基换转)3(
                                                                  ;人管托金基换更)2(
                                                                  ;人理管金基换更)1(
                          :过通议决会大人有持额份金基经应项事的》同合金基《更变下以.1
                                                                    更更更更变变变变的的的同同同合合合金金金基基基)))一一一(((
                      十九、基金合同的变更、终止与基金财产的清算
                                                                  。证保的现表绩业金
基新成构不并绩业的金基他其的理管人理管金基。现表来未其示预不并绩业往过的金基.                                           3
                                                  。全安金本或益收其证保能不并构机销
代,书背者或保担构机销代经有没也,债负或款存的构机销代是不并金基,是但,售销理代构
              机销代等行银信中过通还金基本,外售销的金基本理办接直人理管金基除.2
                                                                  。险风资投担承行自
          须,金基本于资投愿自者资投。保担门部及构机、府政级一何任经未金基本.1
                                                                                    明明明明声声声声)七(
                                。险风的额份金基回赎能不临面人有持额份金基,间期作运闭
封的金基本在。作运放开为转后年一满效生同合金基,作运闭封内年一后效生同合金基本、2
                        。险风的来带所损亏现出至甚降下率益收购申股新者或,滞停至甚缓放
行发股新临面能可也,险风统系场市的高较临面而产资类券债资投因能可金基本,此因,购申股
新与参极积时同,产资类券债资投要主金基本,中理管资投体具在,金基型券债为金基本、1
                                                                    险险险险风风风风有特特特特)六(
                              。损受益利的人有持额份金基者或金基致导能可,险风的外之力
能制控接直身自人理管金基出超等约违行管托、约违构机理代、争竞业行、机危场市融金.3
                                                                                                    。失损的产
资金基致导能可,行运的场市券证响影重严会将,现出的素因力抗可不等害灾然自、争战.2
                                            。险风等输传时及法无令指易交资投的金基、值
                                                                      80
                                      。动活事民的要必行进法依以可组小算清产财金基。配
  分和现变、价估、理清、管保的产财金基责负组小算清产财金基:责职组小算清产财金基.3
                                                                                             。员人作工的要必用
聘以可组小算清产财金基。成组员人的定指会监证国中及以师律、师计会册注的格资务业关相券
  证事从有具、人管托金基、人理管金基由员成组小算清产财金基:成组组小算清产财金基.2
                      。算清金基行进下督监的会监证国中在并组小算清产财金基织组人理管金
基,组小算清立成内日作工个 03 起日之由事止终》同合金基《现出自:组小算清产财金基.1
                                                                             算清的产财金基 三
                                                                       算清的产财金基 三
                                                                             算清的产财金基 三
                                                                       算清的产财金基))))三((((
                                        。况情他其的定规会监证国中和规法律法关相.4
                                                     ;形情他其的定约》同合金基《.3
;的接承人管托金基新、人理管金基新有没内月个 6 在,止终责职人管托金基、人理管金基.2
                                                   ;的止终定决会大人有持额份金基.1
                                            :止终当应》同合金基《,的一之形情列下有
                                                               止止止止终终终终的的的的同同同同合合合合金金金金基基基基本本本本))))二二二二((((
                  。告公站网人理管金基及体媒定指家一少至在内日两起日之效生》同合金基《
  自,行执可方后效生准核会监证国中经议决会大人有持额份金基的更变》同合金基《于关.2
。形情他其的外以的会大人有持额份金基开召当应定规》同合金基《和规法律法照按除)6(
                                                       ;化变生发系关务义利权人事当》同
合金基《及涉不改修或响影利不性质实无益利人有持额份金基对改修的》同合金基《对)5(
                        ;改修行进》同合金基《对当应而动变生发规法律法的应相因)4(
      ;率费回赎低调、率费购申的金基本整调内围范的定规》同合金基《和规法律法在)3(
                                            ;取收的用费金基的加增求要规法律法)2(
                                                  ;费管托金基、费理管金基低调)1(
                                                                                                             :案备会监证国
中报并,告公并更变后意同人管托金基和人理管金基由,议决会大人有持额份金基经不可,时况
  情列下现出,外此。会大人有持额份金基开召需无,期放开的金基入进后满届期闭封金基本
                          。项事的响影大重生产务义和利权人事当金基对能可他其)01(
                                                             ;》同合金基《止终)9(
                                              ;序程开召会大人有持额份金基更变)8(
                                                       ;并合的金基他其与金基本)7(
                                                                    81
                            。上以年 51 存保人管托金基由件文关有及册账算清产财金基
                                                  存保的件文及册账算清产财金基 七
                                                  存保的件文及册账算清产财金基 七
                                                  存保的件文及册账算清产财金基 七
                                                  存保的件文及册账算清产财金基))))七((((
                              。告公行进组小算清产财金基由内日作工个 5 后案备会监证国
中报并止终》同合金基《于告公算清产财金基。告公并案备会监证国中报后书见意律法具出所务
事师律由并计审所务事师计会经告报算清产财金基;告公时及须项事大重关有的中程过算清
                                                                         清清清
                                                              告公的算清产财金基)六(
                  。人有持额份金基给配分不,前偿清定规项)3(-)1(款前按未产财金基
                                  。配分行进例比额份金基的有持人有持额份金基按)4(
                                                                         ;务债金基偿清)3(
                                                                         ;款税欠所纳交)2(
                                                                         ;用费算清付支)1(
                                                              :偿清序顺列下按产财金基
                                                    分分分 余余余剩剩剩 清清清
                                                  配分的产资余剩算清产财金基)五(
                                                  。付支中产财金基从先优组小算清产财金
基由用费算清,用费理合有所的生发中程过算清金基行进在组小算清产财金基指是用费算清
                                                                               用用用用费费费费算算算算清清清清))))四四四四((((
                                                        。月个 6 为限期的算清产财金基.5
                                                            ;配分行进产财金基对)7(
                                            。告公并案备会监证国中报告报算清将)6(
                                                                                                                                       ;书
见意律法具出告报算清对所务事师律请聘,计审部外行进告报算清对所务事师计会请聘)5(
                                                                       ;告报算清作制)4(
                                                    ;现变和值估行进产财金基对)3(
                                          ;认确和理清行进务债权债和产财金基对)2(
                        ;金基管接一统组小算清产财金基由,后止终》同合金基《)1(
                                                                     :序程算清产财金基.4
                                                   82
                                                                                 务义的人理管金基.2
                                                       。利权他其的定规》同合金基《和规法律法)71(
                                                                                                    ;构
机部外的务服供提金基为他其或商纪经券证、所务事师计会、所务事师律换更、择选)61(
                                                                                                    ;为
行律法他其施实者或利权讼诉使行益利的人有持额份金基表代,义名的人理管金基以)51(
                    ;资融行进金基为法依益利的金基为,下提前的许允规法律法在)41(
                                                                             ;利权的生产所券证于资投产
财金基因使行益利的金基为,利权东股使行司公资投被对益利的金基为规法律法照依)31(
                                  ;式方费收和构结率费关相金基的外之率费管托和率费理管高调除
整调和定决,》则规务业《整调和订制,下提前的》同合金基《和规法律法关有合符在)21(
                  ;请申回赎与购申理受停暂或绝拒,内围范的定约》同合金基《在)11(
                      ;案方配分的益收金基定决定规律法关有及》同合金基《据依)01(
                                                                               ;用费的定规》同合金基《
得获并务业记登册注金基理办构机记登册注金基任担构机的件条合符他其托委或任担)9(
      ;理处和督监行进为行关相的构机销代金基对,构机销代金基换更、托委、择选)8(
                                                       ;人管托金基的新名提,时换更人管托金基在)7(
                                                                                               ;益利的
者资投金基护保施措要必取采并,门部管监他其和会监证国中报呈应,定规律法关有家国及》同
合金基《了反违人管托金基为认如,人管托金基督监定规律法关有及》同合金基《据依)6(
                                                                       ;会大人有持额份金基集召)5(
                                                                                 ;额份金基售销)4(
  ;用费他其的准批会监证国中或定规规法律法及以费理管金基取收》同合金基《照依)3(
;产财金基理管并用运立独》同合金基《和规法律法据根,起日之效生》同合金基《自)2(
                                                                                 ;金基集募法依)1(
        :于限不但括包利权的人理管金基,定规关有他其及》法办作运《、》法金基《据根
                                                                                 利权的人理管金基.1
                           务 、
                          义义义义 利利利利权权权权的人有持额份金基、人管托金基、人理管金基)一(
                                   二十、基金合同的内容摘要
                                            83
  管托金基知通并会监证国中告报时及,时产破告宣法依被者或销撤被法依、散解临面)91(
      ;配分和现变、价估、理清、管保的产财金基与参,组小算清产财金基加参并织组)81(
                                                              ;件印复的料资关有到得下件条
  的本成理合付支在并,料资开公的关有金基与到阅查时随,式方和间时的定规》同合金基《照按
  够能者资投证保且并,出发间时定规在料资或件文项各的供提者资投金基向要需保确)71(
;上以年 51 料资关相他其和录记、表报、册账计会的动活务业理管产财金基存保定规按)61(
                                        ;会大人有持额份金基集召法依人有持额份金基、人管
  托金基合配或会大人有持额份金基集召定规关有他其及》同合金基《、》法金基《据依)51(
                            ;项款回赎付支额足、时及,请申回赎与购申理受定规按)41(
;益收金基配分人有持额份金基向时及,案方配分益收金基定确定约的》同合金基《按)31(
                  ;露泄人他向不,密保予应前露披开公息信金基在,外定规有另定规关有他其及
  》同合金基《、》法金基《除。等向意资投、划计资投金基露泄不,密秘业商金基守保)21(
        ;务义告报及露披息信行履,定规关有他其及》同合金基《、》法金基《照按格严)11(
                                                    ;告报金基度年和度年半制编)01(
                                        ;告报计会务财金基制编并算核计会金基行进)9(
;格价的回赎、购申额份金基定确,值净产资金基告公并算计定规关有按,定规的件文律法等》同
  合金基《合符法方的格价销注和回赎、购申、购认额份金基算计使施措的理合当适取采)8(
                                                      ;督监的人管托金基受接法依)7(
                                              ;产财金基作运人三第托委得不,益利取谋人三
  第何任及己自为产财金基用利得不,外定规关有他其及》同合金基《、》法金基《据依除)6(
    ;资投券证行进,账记别分,理管别分金基同不的理管所对,立独互相产财的人理管金基和产财
金基的理管所证保,度制等理管事人及理管务财、核稽与察监、制控险风部内全健立建)5(
                                                                            ;产财金基作运
和理管式方营经的化业专以,策决、析分资投金基行进员人的格资业专有具的够足备配)4(
        ;产财金基用运和理管则原的勉勤慎谨、用信实诚以,起日之效生》同合金基《自)3(
                                                                ;续手案备金基理办)2(
    ;益利的者资投金基护保施措要必取采并,门部管监他其和会监证国中报呈应,定规律法关有
  家国及议协理代务服与售销金基、》同合金基《反违构机销代金基为认如;宜事记登和回赎、购申
、售发的额份金基理办为代构机他其的定认会监证国中经托委者或理办,金基集募法依)1(
            :于限不但括包务义的人理管金基,定规关有他其及》法办作运《、》法金基《据根
                                          84
                                      ;人理管金基的新名提,时换更人理管金基在)8(
                                            ;会大人有持额份金基集召或开召议提)7(
                                                            ;算清的金资及配匹台后的券
债资投金基责负,户账管托券债间行银设开司公限有算结记登债国央中在义名的金基以)6(
                ;算清金资易交券证于用,户账金资易交券证立开义名人管托金基以)5(
                                                                        ;户账券证设开
司公分圳深和司公分海上司公限有算结记登券证国中在式方的名联金基和人管托金基以)4(
                                                        ;益利的者资投金基护保施措要必
取采并,会监证国中报呈应,形情的失损大重成造益利的人事当他其、产财金基对,为行规法律
法家国及》同合金基《反违有人理管金基现发如,作运资投的金基本对人理管金基督监)3(
  ;入收他其的准批门部管监或定规规法律法及以费管托金基得获定约》同合金基《依)2(
  ;产财金基管保全安定规的》同合金基《和规法律法依,起日之效生》同合金基《自)1(
        :于限不但括包利权的人管托金基,定规关有他其及》法办作运《、》法金基《据根
                                                                利权的人管托金基.3
                    。务义他其的定约》同合金基《和的定规会监证国中及规法律法)72(
                                                                                   ;册
名人有持额份金基供提人管托金基向期定不或期定,册名人有持额份金基存保并立建)62(
                                        ;定决的会大人有持额份金基的效生行执)52(
                                                                              ;人购认
金基还退内日 03 后束结期集募金基在息利款存期同行银计加并金资集募已将,用费集募部全担承
人理管金基,效生能不》同合金基《,件条案备的金基到达能未间期集募在人理管金基)42(
  ;为行律法他其施实或利权讼诉使行益利人有持额份金基表代,义名人理管金基以)32(
                                          ;偿追方三第向权有人理管金基,下况情的任责了
担承先首人理管金基而,失损到受益利人有持额份金基或产财金基致导任责方三第因但;任责担
承为行的务事金基关有理处方三第对当应,时理处方三第托委务义其将人理管金基当)22(
      ;偿追人管托金基向益利人有持额份金基为应人理管金基,时失损产财金基成造》同合金
基《反违人管托金基,务义的己自行履定规》同合金基《和规法律法按人管托金基督监)12(
                                              ;除免而任退其因不任责偿赔其,任责偿赔担
承当应,时益权法合人有持额份金基害损或失损的产财金基致导》同合金基《反违因)02(
                                                                                   ;人
                                          85
        ;配分和现变、价估、理清、管保的产财金基与参,组小算清产财金基加参)71(
                ;作运资投的人理管金基督监定规的》同合金基《和规法律法照按)61(
                                                                              ;会大人
有持额份金基集召行自法依人有持额份金基合配或会大人有持额份金基集召定规照按)51(
    ;项款回赎和益收金基付支人有持额份金基向定规关有或令指的人理管金基据依)41(
                                      ;对核人理管金基与并册账关相作制定规按)31(
                                              ;册名人有持额份金基存保并立建)21(
            ;上以年 51 料资关相他其和表报、册账、录记的动活务业管托金基存保)11(
                                ;施措的当适了取采否是人管托金基明说当应还,为行的定规
》同合金基《行执未有人理管金基果如;行进定规的》同合金基《照按格严否是作运的面方要重
各在人理管金基明说,见意具出告报金基度年和度年半、度季、告报计会务财金基对)01(
                                    ;项事露披息信的关有动活务业管托金基与理办)9(
            ;格价回赎、购申额份金基、值净产资金基的算计人理管金基查审、核复)8(
                                                ;露泄人他向得不,密保以予前露披开公息
信金基在,外定规有另定规关有他其及》同合金基《、》法金基《除,密秘业商金基守保)7(
                                                ;宜事割交、算清理办时及,令指资投的人
理管金基据根,定约的》同合金基《照按,户账券证和户账金资的产财金基设开定规按)6(
              ;证凭关有及同合大重的关有金基与的订签金基表代人理管金基由管保)5(
                                            ;产财金基管托人三第托委得不,益利取谋人三
第何任及己自为产财金基用利得不,外定规关有他其及》同合金基《、》法金基《据依除)4(
                                                        ;立独互相面方等录记册账、拨划
金资、置设户账、记登册名在间之金基同不证保,理管账分,算核立独,户账置设别分金基的同
不的管托所对;立独互相产财金基的同不及以产财有自人管托金基与产财金基的管托其证保,全
安的产财金基保确,度制等理管事人及理管务财、核稽与察监、制控险风部内全健立建)3(
                                              ;宜事管托产财金基责负,员人职专的务业管
托金基悉熟的格合、的够足备配,所场业营的求要合符有具,门部管托金基的门专立设)2(
                            ;产财金基管保全安并有持则原的责尽勉勤、用信实诚以)1(
        :于限不但括包务义的人管托金基,定规关有他其及》法办作运《、》法金基《据根
                                                                务义的人管托金基.4
                                        。利权他其的定规》同合金基《和规法律法)9(
                                           86
                      。务义他其的定约》同合金基《和的定规会监证国中及规法律法)7(
                                          ;定决的会大人有持额份金基的效生行执)6(
                                                                                ;利得当
  不的得获处构机销代及人管托金基、人理管金基自,因原何任因中程过易交金基在还返)5(
                    ;动活的益权法合人事当》同合金基《他其及金基损有何任事从不)4(
        ;任责限有的止终》同合金基《者或损亏金基担承,内围范额份金基的有持其在)3(
            ;用费的定规所》同合金基《和规法律法及项款回赎、购申、购认金基纳缴)2(
                                                            ;》同合金基《守遵)1(
      :于限不但括包务义的人有持额份金基,定规关有他其及》法办作运《、》法金基《据根
                                                            务义的人有持额份金基.6
                                        。利权他其的定规》同合金基《和规法律法)9(
      ;讼诉起提法依为行的益权法合其害损构机售销金基、人管托金基、人理管金基对)8(
                                                    ;作运资投的人理管金基督监)7(
                                          ;料资息信金基的露披开公制复者或阅查)6(
                                                                                    ;权
决表使行项事议审会大人有持额份金基对,会大人有持额份金基席出表代派委者或席出)5(
                                          ;会大人有持额份金基开召求要定规照按)4(
                                                ;额份金基的有持其回赎请申法依)3(
                                                ;产财金基余剩的后算清配分与参)2(
                                                            ;益收产财金基享分)1(
      :于限不但括包利权的人有持额份金基,定规关有他其及》法办作运《、》法金基《据根
                                                            利权的人有持额份金基.5
                    。务义他其的定约》同合金基《和的定规会监证国中及规法律法)22(
                                        ;定决的会大人有持额份金基的效生行执)12(
                  ;偿追人理管金基向益利金基为应,时失损产财金基成造》同合金基《反违因
  人理管金基,务义的己自行履定规》同合金基《和规法律法按人理管金基督监定规按)02(
                                                                                ;除免而
  任退其因不任责偿赔其,任责偿赔担承应,时失损产财金基致导》同合金基《反违因)91(
                                                                      ;人理管金基知通并
,构机管监行银和会监证国中告报时及,时产破告宣法依被者或销撤被法依、散解临面)81(
                                                            87
;集召人理管金基由会大人有持额份金基,外定约有另》同合金基《或定规规法律法除)1(
                                                                                                式方集召及人集召议会.2
    。形情他其的外以的会大人有持额份金基开召当应定规》同合金基《和规法律法照按除)6
                                                                                              ;化变生发系关务义利权人事当
》同合金基《及涉不改修或响影利不性质实无益利人有持额份金基对改修的》同合金基《对)5
                          ;改修行进》同合金基《对当应而动变生发规法律法的应相因)4
                                                                                            ;率费回赎低调或式方费收、率费
  购申的金基整调或置设别类额份金基的金基本更变内围范的定规同合金基本和规法律法在)3
                                                                ;取收的用费金基的加增求要规法律法)2
                                              ;费务服售销、费管托金基、费理管金基低调)1
    :会大人有持额份金基开召需不,改修后商协人管托金基和人理管金基由可况情下以)2(
。项事的会大人有持额份金基开召当应他其的定规会监证国中或》同合金基《、规法律法)31
                                      ;项事他其的响影大重生产务义和利权人事当金基对)21
    ;会大人有持额份金基开召求要面书项事一同就)同下,算计额份金基的日当议提到收人理管
  金基以(人有持额份金基的额份金基)%01 含(上以%01 额份总金基本有持计合或独单)11
                            ;会大人有持额份金基开召求要人管托金基或人理管金基)01
                                                                            ;序程会大人有持额份金基更变)9
                                                                    ;略策或围范、标目资投金基更变)8
                                                                                      ;并合的金基他其与金基本)7
                                                                                                        ;别类金基更变)6
                                                ;准标酬报的人管托金基、人理管金基高提)5
                                                                                                  ;式方作运金基换转)4
                                                                                                      ;人管托金基换更)3
                                                                                                      ;人理管金基换更)2
                                                                                                    ;》同合金基《止终)1
                  :会大人有持额份金基开召当应,的一之由事列下定决要需或现出当)1(
                                                                                                              由事开召.1
                                                      。权票投的等平有拥额份金基一每的有持人有持额
  份金基。成组同共表代权授法合的人有持额份金基或人有持额份金基由会大人有持额份金基
                                规规规规 则 和序程的
                                                决决决决表表表表及事议议议议、集集集集召召召召会大人有持额份金基)二(
                                             88
  系联其及关机证公的托委、式方讯通体具的取采所会大人有持额份金基次本明说中知通议会在并
,式方决表面书和式方讯通定决人集召议会由,下况情的决表行进并式方会开讯通取采)2(
                                                          。项事他其的知通要需人集召)7
                                          ;续手的行履须必和件文的备准须必者议会席出)6
                                                      ;话电系联及名姓人系联设常务会)5
                                                                                ;点地和间时
  达送、)等限期效有理代和限权理代,份身人理代于限不但括包(求要容内的书托委权授)4
                          ;日记登益权的人有持额份金基的会大人有持额份金基席出权有)3
                                              ;式形决表和序程事议、项事的议审拟议会)2
                                              ;式形议会和式方、点地、间时的开召议会)1
                              :容内下以明载少至应知通会大人有持额份金基。告公站网人理管
  金基及体媒定指家一少至在,天 04 前开召议会于应人集召,会大人有持额份金基开召)1(
                              式方知通、容内知通、间时知通的会大人有持额份金基开召.3
      。日记登益权和式方、点地、间时会开定确择选责负人集召的议会人有持额份金基)6(
                。扰干、碍阻得不,合配当应人管托金基、人理管金基,的会大人有持额份金基集
  召行自法依人有持额份金基。案备会监证国中报日 03 前提少至并,集召行自权有人有持额份金基
  的)%01 含(上以%01 额份金基表代计合或独单,的集召不都人管托金基、人理管金基而,会大人
  有持额份金基开召求要项事一同就人有持额份金基的)%01 含(上以%01 额份金基表代)5(
                          。开召内日 06 起日之定决面书具出自当应,的集召定决人管托金基;人
  理管金基和表代人有持额份金基的议提出提知告面书并,集召否是定决内日 01 起日之议提面书到
  收自当应人管托金基。议提面书出提人管托金基向当应,的开召要必有为认仍人有持额份金基的
)%01 含(上以%01 额份金基表代,集召不定决人理管金基;开召内日 06 起日之定决面书具出自当应
,的集召定决人理管金基。人管托金基和表代人有持额份金基的议提出提知告面书并,集召否是定
  决内日 01 起日之议提面书到收自当应人理管金基。议提面书出提人理管金基向当应,会大人有持
  额份金基开召求要面书项事一同就人有持额份金基的)%01 含(上以%01 额份金基表代)4(
                                              。集召行自人管托金基由当应,的开召要必有为认
  仍人管托金基,集召不定决人理管金基;开召内日 06 起日之定决面书具出自当应,的集召定决人
  理管金基。人管托金基知告面书并,集召否是定决内日 01 起日之议提面书到收自当应人理管金基
。议提面书出提人理管金基向当应,的会大人有持额份金基开召要必有为认人管托金基)3(
                          ;集召人管托金基由,时集召能不或集召定规按未人理管金基)2(
                                            89
                                         ;)%05 含(%05 的额份总金基日记登益权在于小不额
  份金基的有持所人有持额份金基,的见意面书具出表代人他权授或见意面书具出接直人本)3
          ;力效决表响影不,的见意决表面书取收加参不知通经人理管金基或人管托金基;见意
  决表面书的人有持额份金基取收式方的定规知通议会照按下督监的关机证公和)人理管金基为则
,人集召为人管托金基果如(人管托金基在人集召议会。督监行进票计的见意决表面书对点地定指
  到)人理管金基为则,人集召为人管托金基果如(人管托金基知通定规同合金基按人集召)2
                                                                                     ;告
  公性示提关相布公续连内日作工个 2 在,后知通议会布公定规》同合金基《按人集召议会)1
                                     :效有为视式方的会开讯通,时件条下以合符时同在
                          。决表行进式方面书以应会开讯通。址地的定指人集召至达送前以日
  至截决表在式形面书以票投的项事决表对其将人有持额份金基指系会开讯通。会开讯通)2(
                                         。)%05 含(%05 的额份总金基日记登益权在金基本于
  少不额份金基的效有,示显证凭的额份金基有持日记登利权在的示出者会到总汇,对核经)2
                                                ;符相料资记登的有持人理管金基与证凭的额
  份金基有持且并,定规的知通议会和》同合金基《、规法律法合符书托委权授票投理代的人托委及
  证凭的额份金基有持人托委的具出者议会席出托受、证凭的额份金基有持者议会席出自亲)1
                                                                                   :程议
  会大人有持额份金基行进以可,时件条下以合符时同会开场现。力效决表响影不,的席列表代派
  不人管托或人理管金基,会大人有持额份金基席列当应表代权授的人管托金基和人理管金基时会
  开场现,席出表代派委书托委权授票投理代以或席出人本人有持额份金基由。会开场现)1(
                                                                                     。开
  召式方会开场现以须必人管托金基和人理管金基换更但,定确人集召议会由式方开召的议会
                          。开召式方会开讯通或式方会开场现过通可会大人有持额份金基
                                                      式方的议会席出人有持额份金基.4
                                             。力效票计的见意决表响影不 ,的督监行进票计
  的见意决表面书对表代派不拒人管托金基或人理管金基。督监行进票计的见意决表面书对点地定
  指到人管托金基和人理管金基知通面书行另应则,人有持额份金基为人集召如;督监行进票计的
  见意决表面书对点地定指到人理管金基知通面书行另应则,人管托金基为人集召如;督监行进票
  计的见意决表面书对点地定指到人管托金基知通面书行另应还,人理管金基为人集召如)3(
                                   。式方取收和间时止截的交寄见意决表面书、人系联和式方
                                           90
额份金基请提题问性序程就以可人持主会大,的更变意同不人案提原;意同人案提原得征需,决
表并合或拆分行进案提将如。定决出做题问性序程的及涉案提对以可人集召会大。性序程)2
                                                。明说和释解行进上会大人有持额份金基次
该在当应,决表会大交提案提人有持额份金基将不定决人集召果如。议审会大人有持额份金基交
提不,的求要述上合符不于对;议审会大交提应,的围范权职会大人有持额份金基的定规》同合
金基《和规法律法出超不且并,系关接直有金基与项事及涉案提于对人集召会大。性联关)1
            :核审行进案提对则原下以照按当应人集召会大。告公前天 03 日开召会大在当应的
件条合符,核审行进案提时临的交提人有持额份金基和人管托金基、人理管金基于对人集召
                            。决表行进容内事议的告公先事未对得不会大人有持额份金基
                                                            。告公前天 03 日开召会大人有
持额份金基在当应改修的案提有原对,后知通的议会集召出发人集召的会大人有持额份金基
                                                    。告公人集召由并人集召交提前天 53 少
至日开召会大在当应案提时临,案提时临交提人集召会大向后出发知通议会在以可也;案提的决
表议审会大人有持额份金基由需交提人集召会大向前知通议会出发人集召会大在以可人有持额份
金基的上以)%01 含(%01 额份总金基日记登益权有持并合或独单、人管托金基、人理管金基
                    。项事他其的论讨会大人有持额份金基交提需为认人集召议会及以项事他其
的定规》同合金基《及规法律法、并合金基他其与、人管托金基换更、人理管金基换更、》同合金
基《止终定决、改修大重的》同合金基《如,项事大重的益利人有持额份金基系关为容内事议
                                                              权案提及容内事议)1(
                                                                  序程与容内事议.5
                                      。数总额份金基的表代所人有持额份金基的见意面书具
出入计当应但,决表权弃为视的盾矛互相或清不糊模见意决表,决表的效有为视即见意决表面书
的定规知通议会和规法律法合符面表;者资投的席出效有为视决表的件文份身者资投认确的定规
中知通议会合符交提则否,明证据证反相的分充有时票计在非除,时决表行进式方讯通取采
                                                。案备会监证国中报前布公知通议会)5
                                                                            ;定规的知通
议会和》同合金基《、规法律法合符书托委权授票投理代的具出人托委且并,符相录记构机册注记
登金基与并,定规的知通议会和》同合金基《、规法律法合符书托委权授票投理代的人托委及证凭
的额份金基有持人托委的具出人理代的见意面书具出托受、证凭的额份金基有持的交提时同,人
理代的见意面书具出人他表代托受或人有持额份金基的见意面书具出接直中项)3 第述上)4
                                             91
  终、人管托金基者或人理管金基换更、式方作运金基换转。出做可方过通)二之分三含(上以二
  之分三的权决表持所人理代其或人有持额份金基的会大加参经当应议决别特,议决别特)2(
                                                                       。过通式方的议决般
  一以均项事他其的外以项事过通议决别特以须的定规所项 2 第列下除;效有为方过通)%05 含(
  上以%05 的权决表持所人理代其或人有持额份金基的会大加参经须议决般一,议决般一)1(
                                     :议决别特和议决般一为分议决会大人有持额份金基
                                       。权决表票一有额份金基份每持所人有持额份金基
                                                                               决表.6
             。议决成形下督监关机证公在,决表效有部全计统人集召由下督监关机证公在内日作
  工个 2 后期日止截决表的知通所在,案提布公日 03 前提人集召由先首,下况情的会开讯通在
                                                                           会开讯通)2
  。项事等)称名位单或(名姓人托委、额份金基的权决表有表代或有持、址地所住、码号证份身
、)称名位单或(名姓员人议会加参明载册名签。册名签的员人议会席出作制当应人集召议会
                                                   。力效的议决的出作会大人有持额份金基响
  影不,会大人有持额份金基持主或席出不人管托金基和人理管金基。人持主的会大人有持额份金
  基次该为作人有持额份金基名一生产举选)%05 含(上以%05 的权决表持所人理代和人有持额份金
  基的会大席出由则,会大持主能未均表代权授人管托金基和表代权授人理管金基果如;持主表代
  的议会席出其权授人管托金基由,下况情的会大持主能未表代权授人理管金基在,表代的议会席
  出权授人理管金基为人持主会大。议决会大成形并,决表行进后论讨经,案提读宣人持主会大由
  后然,人票监布公和定确序程定规条七第列下照按人持主会大由先首,下式方的会开场现在
                                                                           会开场现)1
                                                                         序程事议)2(
                                                                     。期隔间的日 03 有期日
  告公与少至证保并延顺当应期日开召的议会,则否。告公日 03 前开召会大人有持额份金基在迟最
  当应,改修行进案提有原对要需果如,后知通的议会开召出发人集召的会大人有持额份金基
                                                     。外除定规有另规法律法。月个 6 于少不
  隔间间时其,议审会大人有持额份金基请提次再案提一同就,过通议审会大人有持额份金基获未
,案提的决表议审会大人有持额份金基交提人管托金基或人理管金基或,案提的决表议审会大人有
  持额份金基交提人有持额份金基的上以)%01 含(%01 额份总金基日记登利权有持并合或独单
                       。议审行进序程的定决会大人有持额份金基照按并,定决出做会大人有持
                                          92
站网人理管金基及体媒定指家一少至在内日作工个 2 起日之效生自议决会大人有持额份金基
      。效生起日之见意议异无具出者或准核法依会监证国中自议决的会大人有持额份金基
。案备者或准核会监证国中报内日 5 起日之过通自当应人集召,议决的会大人有持额份金基
                                                                     告公与效生.8
                                                                       。果结决表和票
计响影不,的督监行进票计的见意决表面书对表代派拒人管托金基或人理管金基。证公以予程过
票计其对关机证公由并,票计行进下督监的)表代权授人理管金基为则,集召人管托金基由若(
表代权授人管托金基在员督监名两的权授人集召会大由:为式方票计,下况情的会开讯通在
                                                                    会开讯通)2(
                                                                              。力效的
票计响影不,的会大席出不拒人管托金基或人理管金基,证公以予关机证公由应程过票计)4
                                       。果结点清新重布公场当当应人持主会大,后点清新
重。限为次一以点清新重,点清新重行进当应人票监。点清新重行进求要数票投所对即立后果结
决表布宣在以可,疑怀有果结决表的交提于对人理代或人有持额份金基或人持主议会果如)3
  。果结票计布公场当人持主会大由并点清行进即立后决表人有持额份金基在当应人票监)2
                                   。力效的票计响影不,的会大席出不人管托金基或人理管
金基。人票监任担表代人有持额份金基名三举选中人有持额份金基的议会席出在布宣后始开议会
在当应人持主的会大人有持额份金基,的会大席出未人管托金基或人理管金基是但,集召人管托
金基或人理管金基由然虽会大或集召行自人有持额份金基由会大如;人票监任担同共员督监名一
的权授人集召会大与表代人有持额份金基名两举选中人理代和人有持额份金基的议会席出在布宣
后始开议会在当应人持主的会大人有持额份金基,集召人管托金基或人理管金基由会大如)1
                                                                    会开场现)1(
                                                                           票计.7
。决表项逐、议审开分当应题议项各的列并内案提项一同或案提项各的会大人有持额份金基
                                                           。数总额份金基的表代所人有
持额份金基的见意面书具出入计当应但,决表权弃为视的盾矛互相或清不糊模见意决表,决表效
有为视见意决表面书的定规知通议会合符,者资投的席出效有为视决表的件文份身者资投认确的
定规中知通议会合符交提,明证据证反相的分充有时票计在非除,时决表行进式方讯通取采
                                     。决表票投行进式方名记取采会大人有持额份金基
                                               。效有为方过通议决别特以》同合金基《止
                                           93
                        ;外除的定规有另会监证国中或规法律法但,额份金基他其卖买)4
                                                        ;资投的任责限无担承事从)3
                                                          ;保担供提或款贷人他向)2
                                                                      ;券证销承)1
                          :为行列下事从止禁金基本,益权法合的人有持额份金基护维为
                                                                      为行止禁)1(
                                                                        制限资投、3
  。定规关相述上合符例比合组资投的金基使内月个 6 起日之效生同合金基自人理管金基本
                                                              。%02 的产资金基于高不例
比的产资类益收定固非于资投金基本。%5 的值净产资金基于低不券债府政的内以年一在日期到者
或金现,中其,%08 的产资金基于低不例比的产资类益收定固于资投,金基型券债为金基本
                                                                  。出卖内日易交个 03 的
起日之易交可其在应金基本,产资等证权和票股的有持因原述上因。种品类益收定固非他其的资
投许允会监证国中或规法律法及以,等证权的生产而券债离分可资投因及以证权的发派所票股持
所因、票股的成形所股转债转可因有持可并,股新发增或购申股新场市级一与参以可但,产资类
益权等证权、票股入买场市级二从接直不金基本。具工融金类益收定固非于资投可也金基本
                                                                            。围范资投
入纳其将以可,后序程当适行履在人理管金基,种品他其的资投金基许允后以构机管监或规法律
法如。)定规关相的会监证国中合符须但(具工融金他其的资投金基许允会监证国中或规法律法及
以券证持支产资、证权、具工场市币货、券债、)票股的市上准核会监证国中经他其及板业创、板
小中括包(票股的市上行发法依内国括包,具工融金的性动流好良有具为围范资投的金基本
                                                                        围范资投、2
        。益收资投的健稳求追析分化量及理管式动主过通,下提前的险风制控效有在金基本
                                                                        标目资投、1
                                                                  资投的金基)三(
                                                                                。力
束约有均人管托金基、人理管金基、人有持额份金基体全对议决会大人有持额份金基的效生
  。议决的会大人有持额份金基的效生行执当应人有持额份金基和人管托金基、人理管金基
                                                    。告公同一等名姓员证公、构机证公
、文全书证公将须必,时议决会大人有持额份金基告公在,决表行进式方讯通用采果如。告公上
                                            94
                                        ;十之分百的证权该过超得不,证权一同的有
持金基部全的理管司公本;%3 的值净产资金基过超得不值市其,证权部全的有持金基本 )11
                            ;量总的票股行发次本司公票股行发拟过超不量数票股的报
申所金基本,产资总的金基本过超不额金的报申所金基本,购申行发票股与参产财金基 )01
                                                                    。出卖部全以予
内月个 3 起日之布发告报级评在应,准标资投合符再不、降下级等用信其果如,间期券
证持支产资有持金基。券证持支产资的)BBB 含(上以 BBB 为级评别级用信于资投应金基本 )9
                                                  ;%01 的模规计合券证持支产资类各
其过超得不,券证持支产资类各的人益权始原一同于资投金基部全的理管人理管金基本 )8
                                                                         ;%01 的模
规券证持支产资该过超得不,例比的券证持支产资)别级用信一同指(一同的有持金基本 )7
                ;%02 的值净产资金基过超得不值市其,券证持支产资部全的有持金基本 )6
                                                                              ;%01
的值净产资金基过超得不,例比的券证持支产资类各的人益权始原一同于资投金基本 )5
                                                       ;%5 的值净产资金基于低不券
债府政的内以年一在日期到者或金现,%02 的值净产资金基过超不例比的券证类益权等票
股于资投,%08 的值净产资金基于低不例比的)券债权含括包(产资类券债于资投金基本 )4
;%04 的值净产资金基过超得不额余金资的购回券债行进场市业同间行银国全入进金基本 )3
        ;%01 的券证该过超不,券证的行发司公家一有持金基部全的理管人理管金基本 )2
                  ;%01 的值净产资金基过超不值市其,票股的司公市上家一有持金基本 )1
                                                     :制限下以循遵将合组资投的金基本
                                                                     制限合组资投)2(
                                                                                 。制限的定
规述上受不可后序程当适行履在人理管金基本,定规性止禁述上消取门部管监或规法律法如
            。为行他其的事从止禁定规》同合金基《及会监证国中、规法律法的效有时当)8
                            ;动活易交券证的当正不他其及格价券证纵操、易交幕内事从)7
                                      ;券证的销承内期销承者或券证的行发司公的系关害利大
重他其有人管托金基)人理管金基与者或东股的系关股控有人管托金基、人理管金基与卖买)6
  ;券债或票股的行发人管托金基)人理管金基其卖买者或资出人管托金基、人理管金基向)5
                                           95
                                                         。延顺期日付支,日息休、日假节
定法遇若,人管托金基给付支性次一中产财金基从内日作工个 3 起日首月次于后核复人管托金基
经,令指付划费管托金基送发人管托金基向人理管金基由。付支月按,提计日每费管托金基
                                                             值净产资金基日一前为 E
                                                         费管托金基的提计应日每为 H
                                                         数天年当÷率费管托年×E=H
    :下如法方算计。提计率费年%2.0 的值净产资金基日一前按费管托金基,下况情常通在
                                                               费管托的人管托金基、2
                                                         。延顺期日付支,日息休、日假节
定法遇若,人理管金基给付支性次一中产财金基从内日作工个 3 起日首月次于后核复人管托金基
经,令指付划费理管金基送发人管托金基向人理管金基由。付支月按,提计日每费理管金基
                                                             值净产资金基日一前为 E
                                                         费理管金基的提计应日每为 H
                                                         数天年当÷率费理管年×E=H
  :下如法方算计。提计率费年%56.0 的值净产资金基日一前按费理管金基,下况情常通在
                                                               费理管的人理管金基、1
                                                             收税与用费的金基)四(
                                                             收税与用费的金基)四(
                                                             收税与用费的金基)四(
                                                             收税与用费的金基)四(
                                                                             。始开起日
之效生同合金基本自查检与督监的例比资投的金基对人管托金基,外例比置配产资资投除。定约
                                                6
关有的同合金基合符例比合组资投的金基使内月个 起日之效生同合金基自当应人理管金基
                                                    3               10
                。更变其从,更变有如规法律法。月个 到长延日易交个 从限时整调将可后
                                                                               10
序程关相行履人理管金基,的定约同合金基于低例比资投券证致导而,形情的上以元亿 加增内
        10
日易交个 在模规产资净金基的起引动活销营续持中集等红分例比大、分拆额份金基因于对
                                                                                    。整
                 10
调行进内日易交个 在当应人理管金基,的例比资投定规述上合符不例比资投金基使致素因的外
之人理管金基等价对付支中革改置分权股、动变模规金基、并合司公市上、动波场市券证因
。制限关相受再不资投金基本则,金基本于用适如,制限述上消取门部管监或规法律法
。准为定规的后更变以,的更变行进制限例比合组资投定约同合金基本对规法律法果如 )31
                  ;%3 的值净产资金基本过超得不值价允公其,券证限受通流一同的有
持金基本;%01 的值净产资金基本过超得不值价允公其,券证限受通流有所的有持金基本 )21
                                           96
  分益收定制别分额份金基别类各对可人理管金基,同不所有能可益收配分可的应对别类额份金基
  各,费务服售销取收额份金基类 C 而,费务服售销取收不额份金基类 A 的金基本于由)2(
                  ;利红金现是式方配分益收的认默金基本,择选不人资投如,资投再行进额份
  金基为转动自值净额份金基的日投再按利红金现将或利红金现取获择选可人资投,资投再利红与
红分金现为分式方配分益收金基,间期放开;式方金现用采配分益收金基,间期闭封)1(
                                                                  则原配分益收金基、1
                                                    式方行执、则原配分益收金基)五(
                                                    式方行执、则原配分益收金基)五(
                                                    式方行执、则原配分益收金基)五(
                                                    式方行执、则原配分益收金基)五(
                        。务义税纳行履,定规的规法律法家国据根人有持额份金基和金基
                                                                          收税金基、6
                                   。付支中产财金基从不用费他其及以费师计会和费师律、费
  露披息信的生发所前效生同合金基。用费金基入列不等用费的生发项事的关无作运金基与理处及
  以,失损的产财金基或出支用费的致导务义行履全完未或行履未因人管托金基和人理管金基
                                                              目项的用费金基入列不、5
                                             。用费金基期当入摊或入列,付支额金出支用费
  按,定规的议协应相及规法关有他其据根人管托金基由,用费金基的外之费管托和费理管除
                                                                          用费他其、4
          。延顺期日付支,日息休、日假节定法遇若。构机售销金基各给付支别分人理管金基由
,构机记登册注给付支性次一中产财金基从内日作工个 3 起日首月次于后核复人管托金基经,令指
  付划费务服售销金基送发人管托金基向人理管金基由。付支月按,提计日每费务服售销金基
                                                  值净产资金基日一前额份金基类 C 为 E
                                              费务服售销的提计应日每额份金基类 C 为 H
                                                        数天年当÷率费务服售销×E=H
:下如法方算计。提计率费年%4.0 的值净产资金基类 C 日一前按费务服售销,下况情常通在
                                                              。明说项专作况情支列的用费
项该对中告报度年金基在将人理管金基,务服人有持额份金基类 C 为及以售销、广推场市金基类
  C 金基本于用门专将费务服售销。率费务服售销的提计额份金基级各类 C 对整调内围范的定约同
  合金基在以可人理管金基,书明说募招的后新更或告公金基本见参率费体具费务服售销,%4.0 过
  超不高最率费年费务服售销的提计额份金基类 C,费务服售销取收不额份金基类 A 的金基本
                              。费务服售销的提计中产财的金基额份金基类 C 从金基本、3
          。率费管托金基和率费理管金基整调况情展发金基据根可人管托金基和人理管金基
                                                    97
,组小算清立成内日作工个 03 起日之由事止终》同合金基《现出自:组小算清产财金基)1(
                                                                                    算清的产财金基.2
                                          。况情他其的定规会监证国中和规法律法关相)4(
                                                          ;形情他其的定约》同合金基《)3(
                                                                                                     ;的
  接承人管托金基新、人理管金基新有没内月个 6 在,止终责职人管托金基、人理管金基)2(
                                                        ;的止终定决会大人有持额份金基)1(
                                                :止终当应》同合金基《,的一之形情列下有
                                                                            止终的》同合金基《.1
                                 清清清           以以以 由由由 止止止终终终 除除除
                           式方算清产财金基及以序程、由事的止终和除解同合金基)六(
              。行执》则规务业《照依,法方算计的资投再利红。额份金基为转动自利红金现的
  人有持额份金基将可构机记登册注金基,时用费续手他其或账转行银付支于足不,额金定一于小
  利红金现的者资投当。担承行自者资投由用费续手他其或账转行银的生发所时配分益收金基
                                                                用费的生发中配分益收金基、4
                                                                                                  。日作
工个 51 过超得不间时的)日止截算计润利配分供可即(日准基配分益收离距日放发利红金基
                                                                                                。告公和
  案备定规关相规法律法据根并,核复人管托金基由,定拟人理管金基由案方配分益收金基本
                                                          施实与告公、定确的案方配分益收、3
                                                                                 。案方配分益收的同不定
  制应相可人理管金基,同不益收配分可的应对别类额份金基同不于由。容内等式方付支、式方配
  分、例比及额数配分、间时配分、则原配分、象对配分益收金基明载应中案方配分益收金基
                                                                                      案方配分益收、2
                                            。定规其从的定规有另构机管监或规法律法)5(
                                        ;值面于低能不后额金配分益收额份金基位单每去减值净
额份金基的日准基配分益收金基即,值面于低能不值净额份金基一每后配分益收金基)4(
                                                                                                  ;配分
  益收行进不可月个 3 满不效生》同合金基《若。%01 的润利配分供可日准基配分益收于低不例比
  配分次每,次 8 为多最数次配分益收年每金基本,下提前的件条红分金基关有合符在)3(
                                          ;权配分等同有享额份金基一每的内别类一同,案方配
                                              98
  仲,裁仲行进则规裁仲的效有时当会该据根会员委裁仲易贸济经际国国中交提应,的决解能未商
  协好友经如,议争切一的关有》同合金基《与或的生产而》同合金基《因,意同人事当方各
                                                                         决决决 议议议争争争
                                                                   式方决解议争)七(
                              。上以年 51 存保人管托金基由件文关有及册账算清产财金基
                                                      存保的件文及册账算清产财金基.6
                                。告公行进组小算清产财金基由内日作工个 5 后案备会监证国
  中报并止终》同合金基《于告公算清产财金基。告公并案备会监证国中报后书见意律法具出所务
  事师律由并计审所务事师计会经告报算清产财金基;告公时及须项事大重关有的中程过算清
                                                                 告公的算清产财金基.5
            。配分行进例比额份金基的有持人有持额份金基按,后务债金基偿清并款税欠所纳交
  、用费算清产财金基除扣产资余剩部全的后算清产财金基将,案方配分的算清产财金基据依
                                                        配分的产资余剩算清产财金基.4
                                                    。付支中产财金基从先优组小算清产财金
  基由用费算清,用费理合有所的生发中程过算清金基行进在组小算清产财金基指是用费算清
                                                                                    用费算清.3
                                                    。月个 6 为限期的算清产财金基)5(
                                                               ;配分行进产财金基对)7
                                                。告公并案备会监证国中报告报算清将)6
;书见意律法具出告报算清对所务事师律请聘,计审部外行进告报算清对所务事师计会请聘)5
                                                                     ;告报算清作制)4
                                                        ;现变和值估行进产财金基对)3
                                              ;认确和理清行进务债权债和产财金基对)2
                            ;金基管接一统组小算清产财金基由,后止终》同合金基《)1
                                                               :序程算清产财金基)4(
                                    。动活事民的要必行进法依以可组小算清产财金基。配分
和现变、价估、理清、管保的产财金基责负组小算清产财金基:责职组小算清产财金基)3(
                                                                       。员人作工的要必用聘
  以可组小算清产财金基。成组员人的定指会监证国中及以师律、师计会册注的格资务业关相券证
  事从有具、人管托金基、人理管金基由员成组小算清产财金基:成组组小算清产财金基)2(
                    。算清金基行进下督监的会监证国中在并组小算清产财金基织组人理管金基
                                                   99
                                                       币民人元亿 378.764:本资册注
                                                              司公限有份股:式形织组
                                                           日 7 月 4 年 7891:间时立成
                                                                   明振常:人表代定法
                                座 C 厦大华富号 8 街大北门阳朝区城东京北:址地公办
                                     座 C 厦大华富号 8 街大北门阳朝区城东京北:所住
                                   )”行银信中“称简(司公限有份股行银信中:称名
                                                                                           人管托金基.2
      务业他其的准批会员委理管督监券证国中及金基立设起发、务业理管金基:围范营经
                                                                   营经续持:间期续存
                                                                           元亿 1:本资册注
                                                              司公任责限有:式形织组
                      号 231]4002[字基监证会监证国中:号文立设准批及关机立设准批
                                                           日 2 月 9 年 4002:期日立成
                                                                   华少任:人表代定法
                                                                           531002:码编政邮
                                              号 972 路深源区新东浦市海上:址地公办
                                              号 972 路深源区新东浦市海上:址地册注
                                                         司公限有理管金基吴东:称名
                                                                                           人理管金基.1
                                                                            人事
                                                                     当当当当议议议议协协协协管托)一(
                              二十一、基金托管协议的内容摘要
                                                                          。准为本正
》同合金基《以应容内但,件印复或件制复》同合金基《买购费本工按可也者资投;阅查所场业
营和所场公办的构机销代、人管托金基、人理管金基在者资投供,册成制印可》同合金基《
                                  式方的同合金基得取者资投和地放存同合金基)八(
                                  式方的同合金基得取者资投和地放存同合金基)八(
                                  式方的同合金基得取者资投和地放存同合金基)八(
                                  式方的同合金基得取者资投和地放存同合金基)八(
                                                    。辖管律法国中受》同合金基《
      。担承方诉败由费裁仲,力束约有具人事当方各对并的性局终是决裁裁仲,京北为点地裁
                                                 100
交个 09 的起日之易交可其在应金基本,产资等证权和票股的有持因原述上因。种品类益收定固非
  他其的资投许允会监证国中或规法律法及以,等证权的生产而券债离分可资投因及以发派票股持
  所因、票股的成形所股转债转可因有持可并,股新发增或购申股新场市级一与参以可金基本
                                                                                           。围范资投
  入纳其将以可,后序程当适行履在人理管金基,种品他其的资投金基许允后以构机管监或规法律
法如。)定规关相的会监证国中合符须但(具工融金他其的资投金基许允会监证国中或规法律法及
  以券证持支产资、证权、具工场市币货、券债、)票股的市上准核会监证国中经他其及板业创、板
  小中括包(票股的市上行发法依内国括包,具工融金的性动流好良有具为围范资投的金基本
                                                                    :具工融金下以于资投将金基本
                                                                                       。督监行进象对
  资投、围范资投金基述下对,定约的》同合金基《和定规的规法律法关有据根人管托金基、1
                                        查查查查核核核核、督监务业的人理管金基对人管托金基)二(
          。务业他其的准批构机理管督监业行银院务国经;务业汇售、汇结理办;务业行银机手
  、行银上网、行银话电;务业卡行银;务业生衍融金汇外;卖买汇外客代、营自;券证价有币外
  的外以票股卖买理代或卖买、行发理代、行发;保担汇外;款借汇外;现贴和兑承据票汇外;收
  代口进及收托口出;换兑币外;款贷汇外;款存汇外;款贷团银加参或织组;务服问顾务财人个
、业企;诺承款贷;务业证见、询咨、查调信资;务业回赎和购申、购认、记登册注的金基式放开
;务业管托金年业企、金基资投券证;券债融金、券债府政卖买;券债融金行发;务服箱管保;务
业理代险保;)账转证银(务业算清金基资投券证理代;务业付代收代;券债府政付兑理代、销承
  理代、行发理代;务业售销理代;保担及务服证用信供提;算清金资理代;务业兑汇类各、现贴
  转、现贴、兑承据票理办;算结外内国;务业借拆业同、款贷、款存币民人理办:围范营经
                                                                              营经续持:间期续存
                                                                           moc.citice.knab:址网
                                                                                  85559:话电服客
                                                                              23805556-010:真传
                                                                          21865556-010:话电系联
                                                                                     韡方:人系联
                                号 521]4002[字基监证会监证国中:号文准批务业管托金基
                          号 41]7891[函办国厅公办院务国国和共民人华中:号文立设准批
                                                                              营经续持:间期续存
                                            101
  持金基部全的理管司公本;%3 的值净产资金基过超得不值市其,证权部全的有持金基本 )k
                                ;量总的票股行发次本司公票股行发拟过超不量数票股的
报申所金基本,产资总的金基本过超不额金的报申所金基本,购申行发票股与参产财金基 )j
                                                                        。出卖部全以
  予内月个 3 起日之布发告报级评在应,准标资投合符再不、降下级等用信其果如,间期券
证持支产资有持金基。券证持支产资的)BBB 含(上以 BBB 为级评别级用信于资投应金基本 )i
                                                      ;%01 的模规计合券证持支产资类
各其过超得不,券证持支产资类各的人益权始原一同于资投金基部全的理管人理管金基本 )h
                                                                            ;%01 的
  模规券证持支产资该过超得不,例比的券证持支产资)别级用信一同指(一同的有持金基本 )g
                  ;%02 的值净产资金基过超得不值市其,券证持支产资部全的有持金基本 )f
;%01 的值净产资金基过超得不,例比的券证持支产资类各的人益权始原一同于资投金基本 )e
                                                         ;%5 的值净产资金基于低不券
债府政的内以年一在日期到者或金现,%02 的值净产资金基过超不例比的券证类益权等票
  股于资投,%08 的值净产资金基于低不例比的)券债权含括包(产资类券债于资投金基本 )d
  ;%04 的值净产资金基过超得不额余金资的购回券债行进场市业同间行银国全入进金基本 )c
            ;%01 的券证该过超不,券证的行发司公家一有持金基部全的理管人理管金基本 )b
                    ;%01 的值净产资金基过超不值市其,票股的司公市上家一有持金基本 )a
      :制限资投下以循遵合组资投金基本,定约的》同合金基《及定规的规法律法据根)2(
                    。围范资投整调地理合时适规法律法的效有时届据依可并,围范资投入纳其将
  以可,后序程当适行履在人理管金基,种品他其资投金基本许允后以构机管监或规法律法如
                。定规其从,时定规有另规法律法。定限例比述上合符以,合组资投的金基整调内
  限期的理合在应人理管金基,的定规述上合符不合组资投致导素因等化变场市或模规金基因
                                    。%02 的产资金基于高不例比的产资类益收定固非于资投金基
本。产资类益权等证权或票股入买场市级二从接直不金基本。%5 的值净产资金基于低不券债府政
  的内以年一在日期到者或金现,中其,%08 的产资金基于低不例比的产资类益收定固于资投
            :为例比置配产资资投的金基本,定约的》同合金基《及定规的规法律法按)1(
                                                                                      :督
  监行进例比资融投金基述下对定约的》同合金基《及定规的规法律法关有据根人管托金基、2
        。具工资投的资投止禁》同合金基《及章规门部、规法、律法关相于资投得不金基本
                                                                              。出卖内日易
                                           102
  定规述上受不可后序程当适行履在人理管金基,定规性止禁述上消取门部管监或规法律法如
          。为行他其的事从止禁定规》同合金基《及会监证国中、规法律法的效有时当)8(
                          ;动活易交券证的当正不他其及格价券证纵操、易交幕内事从)7(
                                  ;券证的销承内期销承者或券证的行发司公的系关害利大重他
其有人管托金基、人理管金基与者或东股的系关股控有人管托金基、人理管金基与卖买)6(
;券债或票股的行发人管托金基、人理管金基其卖买者或资出人管托金基、人理管金基向)5(
                        ;外除的定规有另会监证国中或规法律法但,额份金基他其卖买)4(
                                              ;资投的任责限无担承金基使能可事从)3(
                                                          ;保担供提或款贷人他向)2(
                                                                      ;券证销承)1(
                  :为行列下事从止禁金基本,定约的》同合金基《及定规的规法律法据根
                                                                                   :督监
  行进为行止禁资投金基述下对定约的》同合金基《及定规的规法律法关有据根人管托金基、3
                      。始开起日之效生》同合金基《自查检和督监的资投金基对人管托金基
                                    。制限例比他其的定规章规门部或规法、律法关相)4(
                                      。券融资融行进定规关有的家国照按以可金基本)3(
                                                                              。始开起日
  之效生同合金基本自查检与督监的例比资投的金基对人管托金基,外例比置配产资资投除。定约
                                                 6
关有的同合金基合符例比合组资投的金基使内月个 起日之效生同合金基自当应人理管金基
                                                     3               10
                  。更变其从,更变有如规法律法。月个 到长延日易交个 从限时整调将可后
                                                                                10
序程关相行履人理管金基,的定约同合金基于低例比资投券证致导而,形情的上以元亿 加增内
         10
日易交个 在模规产资净金基的起引动活销营续持中集等红分例比大、分拆额份金基因于对
                                                                                     。整
                  10
调行进内日易交个 在当应人理管金基,的例比资投定规述上合符不例比资投金基使致素因的外
  之人理管金基等价对付支中革改置分权股、动变模规金基、并合司公市上、动波场市券证因
      。制限关相受再不资投金基本则,金基本于用适如,制限述上消取门部管监或规法律
法。准为定规的后更变以,的更变行进制限例比合组资投定约同合金基本对规法律法果如 )m
                    ;%3 的值净产资金基本过超得不值价允公其,券证限受通流一同的有
  持金基本;%01 的值净产资金基本过超得不值价允公其,券证限受通流有所的有持金基本 )l
                                          ;十之分百的证权该过超得不,证权一同的有
                                          103
  于利有的定约先事照按有没人理管金基现发人管托金基果如。易交行进式方算结易交的用适所手
  对易交该的定约中单名手对易交按需,时易交购回和卖买券现行进场市间行银在人理管金基
                    制控的式方易交的易交场市间行银与参人理管金基于对人管托金基)2(
                                    。会监证国中告报权有人管托,时形情种此生发,任责担
  承不人管托金基,的失损产资金基成造并易交行执仍人理管金基后醒提经,易交销撤人理管金基
  醒提时及应,易交行进手对易交场市间行银的内单名在不与人理管金基现发人管托金基果如
                                                        。算结行进议协照按应仍,易交的
  算结未尚但行进所手对易交的除剔次本与已前效生单名新,效生始开单名的整调认确被,后认确
  面书人管托金基到收人理管金基。新更行进单名对,后到收认确函回内日作工个 2 于人管托金基
,请申面书出提人管托金基向须时手对易交场市间行银少减或加增中单名,新更行进单名的手对易
  交购回及券现场市间行银对期定不或期定应人理管金基。单名该到收认确函回内日作工个 2 后单
  名到收在人管托金基。式方算结易交的用适所手对易交各定约中单名该在则原制控险风的慎审照
  按并,单名的手对易交场市间行银的准标业行及规法律法合符供提人管托金基向人理管金基
                                            。督监行进险风信资手对易交的临面时易交场市
  间行银与参人理管金基于对定约的》同合金基《和定规的规法律法关有据依人管托金基)1(
                                                                        。督监行进场市
  券债间行银与参人理管金基对定约的》同合金基《和定规的规法律法关有据依人管托金基、5
                  。任责和失损的成造此由担承不人管托金基,告报会监证国中向时同,算结行
  进定规的则规所易交和规法律法关相按应人管托金基,易交规违的交成已内场所易交于对。担承
  人理管金基由任责和失损的成造此由,告报会监证国中向权有人管托金基,时生发易交该止阻法
  无仍后施措要必取采人管托金基若,生发的易交该止阻施措要必取采人理管金基助协并醒提时及
  应人管托金基,时易交的事从金基止禁规法律法行进方系关与人理管金基现发人管托金基若
                。任责担承人理管金基由,的失损产资金基成造并,易交行进规违仍人理管金基
,程流督监了循遵格严中作运在人管托金基果如。更变的单名知已认确函回行进内日作工个 2 于人
  管托金基,人管托金基送发时及应人理管金基后更变单名。单名该新更时及责负并,面全、整完
  、实真的单名保确任责有人理管金基。性面全、性整完、性实真的单名供提所保确并,交提面书
  并章公盖加,新更其及单名司公的系关害利大重他其有构机本与或东股的系关股控有构机本与供
  提互相先事应人管托金基和人理管金基,定规的易交联关的事从止禁金基关有规法律法据根
                                                                                   。督
  监行进制限资投联关金基于对定约的》同合金基《和定规的规法律法关有据依人管托金基、4
                                                                               。制限的
                                           104
  料资述上为认人管托金基。息信面书关有的供提人理管金基核审并,督监行进况情案预置处险风
  性动流、度制制控险风、程流策决资投、规法律法守遵否是人理管金基对应人管托金基)4(
                                                                  。人管托金基至发面书息
  信述上将前令指资投行执拟于少至应并,整完、实真的息信述上证保应人理管金基。息信面书要
  必关有的求要规法律法合符供提人管托金基向应人理管金基,前券证限受通流资投金基)3(
                                                    。料资述上到收认确式方的可认方双他其
  或面书以,内日作工个两后料资述上到收在应人管托金基。核审行进间时的够足有人管托金基证
  保,人管托金基至发面书料资述上将日作工个两前之令指资投行执次首于少至应人理管金基
                                        。况情制控例比资投和度额资投的券证限受通流资投金
  基于限不但括包应料资述上。案预置处险风性动流的准批会事董人理管金基供提应还人理管金基
  ,票股行发开公非资投金基。度制制控险风、程流策决资投的券证限受通流资投金基关有的准批
  会事董人理管金基经供提人管托金基向,前券证限受通流资投次首金基在应人理管金基)2(
        。定规规法律法关有等》知通的题问关有券证限受通流等票股行发开公非资投金基于关《
、》知通急紧的为行券证行发开公非资投金基范规于关《守遵应,券证限受通流资投金基)1(
                                          督监的券证限受通流资投金基对人管托金基、7
                                                                            。整调行进单
  名行银款存心核于对况情场市的时当据根以可,后致一商协人管托金基与人理管金基。任责偿赔
  担承不,失损的起引险风用信行银款存于由于对则,程流督监述上循遵中程过作运在人管托金基
  果如,偿赔行进人任责关相求要权有后之,偿赔责负人理管金基由先,时失损的成造而险风用信
  行银款存于由现出款存行银的外以行银款存心核除资投金基本,等行银通交和行银业农国中、行
  银设建国中、行银国中、行银商工国中为单名行银款存心核金基本。险风的面方择选行银款存到
  及涉等力能付支的行银款存、级等用信的行银款存括包要主险风用信的款存行银资投金基本
                                    。督监行进行银款存择选人理管金基对人管托金基、6
                                                。任责偿赔担承不,失损的起引险风信资手对
  易交于由于对则,程流督监述上了循遵格严中作运在人管托金基果如,偿赔行进人任责关相求要
  权有后其,担承人理管金基由先失损的起引险风信资手对易交于由,时易交行进手对易交的外以
  手对易交心核与在,险风信资的手对易交制控任责有人理管金基。单名手对易交心核整调况情场
  市的时当据根以可,后致一商协人管托金基与人理管金基,等行银通交和行银业农国中、行银设
  建国中、行银国中、行银商工国中为手对易交心核的易交场市间行银与参人理管金基)3(
                  。任责担承不人管托金基,的失损产资金基成造时正改未仍后醒提经,式方易
  交定确新重手对易交与人理管金基醒提时及应人管托金基,时易交行进式方易交的制控险风用信
                                                                                                105
    。为行等作运资投金基督监和露披息信关相、收交算清理办令指人理管据根、值净额份金基
和值净产资金基的算计人理管金基核复、户账券证和户账金资的产财金基设开、产财金基管保全
安人管托金基于限不但括包项事查核,查核行进况情责职管托行履人管托金基对人理管金基
                                              查查查查核核核核务务务务业业业业的的的的人人人人管管管管托托托托金金金金基基基基对对对对人人人人理理理理管管管管金金金金基基基基))))三三三三((((
                                                                                                                            。会监证国中告报应人管托
金基,的正改不仍告警出提人管托金基经或重严节情,督监效有行进人管托金基碍妨段手等诈欺
、延拖取采或,权督监使行定规议协本据根人管托金基挠阻、绝拒,由理当正无人理管金基
                                                                                                                                                                                    。正纠期限
人理管金基知通时同,会监证国中告报即立应,为行规违大重有人理管金基现发人管托金基
            。等度制和料资据数关相供提合配极积应人理管金基,的告报督监金基送报会监证国
中向需求要规法照按人管托金基对,证举或释解行进义疑的人管托金基就,正改并人管托金基复
答内间时定规在须必于限不但括包,查核和督监的人管托金基助协和合配极积应人理管金基
        。会监证国中告报并,人理管金基知通即立当应,的定约》同合金基《反违者或,定规关
有他其和规法政行、律法反违令指资投的效生经已序程易交据依人理管金基现发人管托金基
                                  。告报会监证国中向并,人理管金基知通即立,行执绝拒当应
,的定约》同合金基《反违者或定规规法律法关反违令指资投的人理管金基现发人管托金基
                      。失损的受遭者资投使致而》同合金基《反违其因偿赔人理管金基求要务义
有人管托金基。会监证国中告报应人管托金基,的正纠内期限在能未项事规违的知通人管托金基
对人理管金基。正改人理管金基促督,查复行进项事知通对时随权有人管托金基,内期限在
        。证举或释解行进,函回出发人管托金基向式形面书以并,对核时及日作工个一下在应后
知通到收人理管金基,正纠期限人理管金基知通式形面书以时及应,时定规关有他其及议协管托
金基、》同合金基《、》法金基《反违作运他其及作运资投的人理管金基现发人管托金基)三(
                                。查核和督监行进等据数现表绩业金基载登中料材介推传宣金基
、露披息信关相、配分益收金基、定确入收及支开用费金基、账到金资收应、算计值净额份金基
、算计值净产资金基对,定约的》同合金基《及定规的规法律法关有据根应人管托金基)二(
                                                                                    。任责带连担承应人管托金基,险风现
出金基致导,责职督监行履实切有没人管托金基果如。任责何任担承不则,责职督监行履实切人
管托金基果如。决解求请会监证国中报上时及应,致一成达法无人管托金基和人理管金基如
                              。令指关有行执绝拒权有人管托金基,则否,明说面书充补行进施
措范防或除消的险风该就前券证限受通流资投在人理管金基求要权有,的险风现出金基致导能可
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  作运《、》法金基《合符数人人有持额份金基、额金集募金基、额总额份金基的集募,满期集募金
  基。理管并立开人理管金基由户账该。户专购认金基司公限有理管金基吴东的设开行银业商的格
  资管托有具在人理管金基入划金资购认将,定约的议协理代务服与售销按构机售销内期集募
                                                                         证验的金资集募.2
                                          。任责担承不此对人管托金基,失损的金基偿追人事
  当关有向责负应人理管金基,的失损成造金基给此由。收催行进施措取采人理管金基知通时及应
  人管托金基,的处人管托金基达到有没产财金基日账到,人管托金基知通并期日账到定确人事当
关有与责负人理管金基由应,产财收应的生产中程过资投金基、购)申(认金基因于对)5(
                              。立独与整完的产财金基保确,理管账分的格严行实务业管托的金
基他其和务业他其的人管托金基与,户账置设别分产财金基同不的管托所对人管托金基)4(
                            。户账券证和户账金资的产财金基设开定规照按人管托金基)3(
                                                                         。产财何任的金基配分
、分处、用运行自得不,令指当正的人理管金基经未。产财金基管保全安应人管托金基)2(
                              。产财有固的人管托金基、人理管金基于立独应产财金基)1(
                                                                  则原的管保产财金基.1
                                                                管保保保           ) (
                                                                管保的产财金基)四(
                                                                  。会监证国中告报应人理管
  金基,的正改不仍告警出提人理管金基经或重严节情,督监效有行进人理管金基碍妨段手等诈欺
  、延拖取采或,权督监使行定规议协本据根人理管金基挠阻、绝拒,由理当正无人管托金基
                      。正改并人理管金基复答内间时定规在,性实真和性整完的产财管托查核人
  理管金基供以料资关相交提:于限不但括包,为行查核的人理管金基合配极积应人管托金基
                                                            。正纠期限人管托金基知通时同
,构机理管督监业行银和会监证国中告报即立应,为行规违大重有人管托金基现发人理管金基
                                                                。失损的受遭所此因金基偿
  赔人管托金基求要务义有人理管金基。会监证国中告报应人理管金基,的正纠内期限在能未项事
  规违的知通人理管金基对人管托金基。合配助协予并,正改人管托金基促督,查复行进项事知通
  对时随权有人理管金基,内期限在。函回出发人理管金基向式形面书以并认确对核时及应后知通
  到收人管托金基,正纠期限人管托金基知通式形面书以时及应人理管金基,时定规关有他其及议
协管托本、》同合金基《、》法金基《反违等息信资投金基露泄、令指拨划金资人理管金基行执迟延
  故无或行执未、理管账分行实产财金基对未、产财金基用挪自擅人管托金基现发人理管金基
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他其的定约》同合金基《和定规规法律法合符事从许允被金基本,后之日立订议协管托本在