![Fund Manager: Shanxi Securities Co., Ltd. Fund Trustee: Bank of Communications Co., Ltd. Important Tips 1. The fundraising of Shanxi Securities ultra-short bond bond securities investment funds has been registered with the Securities Regulatory Commission License [2018] No. 1773 - DayDayNews](https://cdn-dd.lujuba.top/img/loading.gif)
Fund manager: Shanxi Securities Co., Ltd.
Fund custodian: Bank of Communications Co., Ltd.
Important reminder
1. The fundraising of Shanxi Securities Ultra-Short Bond Bond Securities Investment Fund (hereinafter referred to as "this fund") has been registered with the Securities Regulatory Commission License [2018] No. 1773 on 2018 [1]. The China Securities Regulatory Commission’s registration of this fund does not mean that the China Securities Regulatory Commission makes a substantial judgment, recommendation or guarantee on the risks and returns of this fund.
2. Shanxi Securities Ultra-Short Bond Bond Securities Investment Fund is a contractual open-end securities investment fund.
3. The fund manager and registration institution of this fund are Shanxi Securities Co., Ltd. (hereinafter referred to as "the fund manager"), and the fund custodian is Bank of Communications Co., Ltd.
4. This fund fund fundraising period will be sold publicly through fund sales outlets of various sales institutions from December 17, 2018 to January 16, 2019. The fundraising period of this fund shall not exceed 3 months and shall be calculated from the date of the fund's share issuance. The company may also appropriately extend or shorten the fund issuance time within the fundraising period based on the fund sales situation and make timely announcements.
5. Upper limit of fundraising scale This fund does not set an upper limit of the first fundraising scale.
6. If an investor wants to purchase this fund, he must open a fund account of Shanxi Securities Co., Ltd. During the issuance period of this fund share, each fund distribution agency outlet and direct sales agency handle the procedures for opening a fund account for investors at the same time.
7. Unless otherwise provided by laws and regulations, an investor can only open and use one fund account. Investors are not allowed to illegally use other people's accounts or funds to subscribe, nor are they allowed to raise funds in violation of regulations or help others to subscribe in violation of regulations. If the identity documents or identity documents submitted by investors have expired, please go through relevant update procedures in a timely manner to avoid affecting subscription.
8. This fund divides fund shares into different categories according to the different ways of charging subscription fees, subscription fees and sales service fees. Fund shares that charge subscription fees or subscription fees when investors subscribe/subscribe but do not accrue sales service fees from fund assets in this category are called Class A fund shares; fund shares that charge subscription fees or subscription fees when investors subscribe/subscribe are not charged, but fund shares that charge sales service fees from fund assets in this category are called Class C fund shares. Class A and Class C fund shares are set up separately to calculate and announce the net value of each type of fund shares and the cumulative net value of each type of fund shares. Investors can choose to subscribe or subscribe to fund share categories at their own discretion.
9. During the fund establishment period, the minimum limit for a single purchase of the investor's first-time subscription through an agency or Shanxi Securities Co., Ltd. is RMB 1,000 (including subscription fees, the same below), and the minimum limit for an additional subscription is RMB 1,000; the minimum limit for an investor's first-time subscription through a direct sales center counter is RMB 20,000, and the minimum limit for an additional subscription is RMB 1,000.
Investors may repeat subscriptions during the establishment of the fundraising period. In addition to the minimum limit limit for each subscription, if the Company accepts a certain or certain subscription application, the Company has the right to refuse such or certain subscription applications when a single investor accepts a certain subscription application that may result in the proportion of fund shares held by a single investor or exceed 50%, or evades the 50% concentration in disguise.
If an investor subscribes multiple times, the subscription fee for Class A fund shares shall be billed separately according to the rate level corresponding to the single subscription amount. Once the subscription application is accepted by the sales agency, it will be irrevocable.
10. This announcement only explains the relevant matters and regulations for the issuance of this fund. If investors want to know the details of this fund, please read the "Shanxi Securities Ultra-Short Bond Bond Securities Investment Fund Recruitment" published in Securities Daily; the fund contract, prospectus and this announcement will be published on the fund manager's public fund business website (http://publiclyfund.sxzq.com:8000).
11. Investors can call our company's customer service number (95573) to inquire about subscription matters.
12. Please consult each sales agency for details on sales outlets and account opening and subscription matters.
13. The manager of this fund may make appropriate adjustments to the issuance arrangements and other related matters during the fundraising period based on various circumstances. The Company has the final right to interpret the announcement of the share offering of this fund.
14. Risk warning
Securities Investment Fund (hereinafter referred to as "Fund") is a long-term investment tool. Its main function is to diversify investment and reduce the individual risks brought by investing in a single securities. Funds are different from financial instruments such as bank savings and bonds that can provide fixed income expectations. Investors who purchase funds may not only share the benefits generated by fund investments based on their holdings, but also bear the losses caused by fund investments.
funds may face various risks during their investment operations, including market risks, as well as the fund's own management risks and technical risks. Huge redemption risk is a risk unique to open-end funds, that is, when the net redemption application of the fund on a single trading day exceeds 10% of the total fund shares, investors may not be able to redeem all the fund shares they hold in time.
This fund is a bond fund, and its expected returns and risks are higher than those of money market funds, but lower than those of stock funds and mixed funds.
This fund is invested in the securities market. The net value of the fund will fluctuate due to factors such as the fluctuations in the securities market. Investors enjoy fund returns based on the fund shares they hold and bear corresponding investment risks. Before investing in this fund, investors must fully understand the product characteristics of the fund and bear various risks that arise in the fund investment, including: macro and microeconomic factors, national policies, market changes, industry changes, investors' risk-return preferences and market liquidity levels, and other factors that affect the securities market will affect the performance of the fund, thereby generating market risks, liquidity risks, fund management risks arising from fund managers during the implementation of fund management, risks of treasury bonds, risks of private bonds of small and medium-sized enterprises, risks of short-term corporate bonds of securities companies, specific risks of this fund, and other related risks, etc.
investment is risky. When subscribing (or subscribe to) the fund, investors should carefully read the prospectus of this fund and other information disclosure documents such as the fund contract, independently judge the investment value of the fund, fully understand the risk-return characteristics of the fund products, fully consider the investors' own risk tolerance, and make independent decisions on investment behaviors such as the willingness, timing, and quantity of the fund. The fund manager reminds investors of the principle of "buyers are responsible for" in fund investment. After investors make investment decisions, the investment risks caused by changes in the fund's operating status and the net value of the fund shall be borne by the investors themselves. The past performance of the
fund does not indicate its future performance. The performance of other funds managed by the fund manager does not constitute a guarantee of the performance of the new fund.
Fund managers manage and use fund assets in accordance with the principles of conscientious duties, honesty, trustworthiness, and prudence and diligence, but do not guarantee the fund's profits or the minimum return.
1. Basic information of this fundraising
(I) Fund name
Shanxi Securities Ultra-short bond bond securities investment fund
(II) Fund code
A Fund share code: 006626
C Fund share code: 006627
(II) Fund category
Bond securities investment fund
(IV) Fund operation mode
Contract open-end
(V) Fund duration
Irregular
(V) Fund expiration term
Indefinite
(V) Initial face value
Fund share issuance face value of RMB 1.00.
(VII) Fund investment targets
This fund strives to achieve stable returns exceeding the comparative benchmark while maintaining high liquidity of fund assets.
(8) Fund investment scope
This fund invests in financial instruments with good liquidity, including treasury bonds, local government bonds, central bank notes, financial bonds, corporate bonds, corporate bonds, medium-term notes, short-term financing bonds, ultra-short-term financing bonds, publicly issued subprime bonds, private bonds of small and medium-sized enterprises, short-term corporate bonds for securities companies, pure bond parts of separable trading convertible bonds, asset-backed securities, bond repurchase, bank deposits, interbank certificates of deposit, money market instruments, treasury futures and other laws and regulations, or other financial instruments allowed by the China Securities Regulatory Commission to invest in, but must comply with the relevant regulations of the China Securities Regulatory Commission.
This fund does not invest in stocks, warrants and other assets, nor does it invest in convertible bonds (except for the pure bond part that can be separated and traded convertible bonds) or convertible bonds.
If the laws and regulations or the China Securities Regulatory Commission allows funds to invest in other varieties in the future, the fund manager may include them in the investment scope after performing appropriate procedures, and its investment ratio follows the effective laws and regulations and relevant regulations at that time. The investment portfolio ratio of the fund is: the proportion of the fund invested in bond assets shall not be less than 80% of the fund assets, of which the assets invested in ultra-short bonds shall not be less than 80% of the non-cash fund assets; after deducting the transaction margin required for the treasury futures contract at the end of each trading day, cash shall not be less than 5% of the net value of the fund assets or government bonds within one year of maturity. The aforementioned cash assets shall not include settlement reserves, deposits, subscription receivables, etc.
Ultra-short bonds invested in this fund refer to bond assets with a remaining maturity of no more than 270 days, mainly including treasury bonds, local government bonds, central bank notes, financial bonds, corporate bonds, corporate bonds, medium-term notes, short-term financing bonds, ultra-short-term financing bonds, publicly issued subordinated bonds, private bonds of small and medium-sized enterprises, short-term corporate bonds for securities companies, pure bonds that can be separated and traded convertible bonds and other financial instruments.
(9) The offer target
Individual investors, institutional investors, qualified overseas institutional investors and RMB qualified overseas institutional investors who are in compliance with laws and regulations, as well as other investors who can invest in securities investment funds that are subject to laws and regulations or allowed by the China Securities Regulatory Commission to purchase securities investment funds.
(10) Sales Institution
Direct Sales Institution: Shanxi Securities Co., Ltd.
Sales Institution: See this announcement for details "Seven (Three) 2. Sales Institution"
If a new sales institution is added during this fundraising period, a separate announcement will be made.
(XI) Fundraising Scale
The total amount of shares raised by this fund is not less than 200 million shares, and the amount of funds raised by the fund is not less than 200 million yuan.
(Twelve) Release time schedule
The fundraising period of this fund shall not exceed 3 months, and shall be calculated from the date of the fund shares being issued.
This fund will be released from December 17, 2018 to January 16, 2019. If the fund registration conditions stipulated in this fund prospectus are not met during this period, that is, the total fundraising shares are not less than 200 million shares, the fundraising amount is not less than 200 million yuan, and the fund subscribers are not less than 200, the fund can continue to sell during the fundraising period until the fund registration conditions are met. The fund manager may appropriately extend or shorten the fundraising time during the fundraising period according to the subscription situation and make timely announcements. In addition, if an emergency occurs, the arrangements for the above fund fundraising period can also be adjusted appropriately.
2. Subscription method and related regulations
(I) During the fundraising period, this fund is for individual investors, institutional investors, qualified overseas institutional investors and qualified overseas institutional investors in securities investment funds that comply with laws and regulations, as well as other investors who can invest in securities investment funds that are qualified in RMB, as well as laws and regulations or other investors who are allowed to purchase securities investment funds by the China Securities Regulatory Commission.
(II) Subscription method
This fund adopts an amount subscription method. Investors must deposit the full amount of funds into the account designated by the sales institution during the issuance period before they can subscribe to the fund.
(III) Subscription fee
This fund Class A fund shares are charged for the fund front-end subscription fee when subscribing; Class C fund shares do not charge for subscription fees.
The subscription fee rate for subscribing to Class A fund shares of this fund through direct sales institutions is shown in the table below:
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The subscription fee for Class A fund shares of this fund is borne by investors and is not included in the fund assets. The subscription fee is used for various expenses incurred during the fund marketing, sales, registration and other fundraising periods.
1. Processing method of interest on raised funds
The interest generated by the valid subscription funds during the fundraising period will be converted into fund shares and belong to the fund share holders, and the specific amount of interest to shares shall be subject to the record of the registration agency.
2. Calculation of subscription shares
The subscription amount of this fund includes subscription fees and net subscription amount.
A fund share subscription shares calculation method is as follows:
1) When the subscription fee applies to the proportional fee rate, the subscription shares calculation method is as follows:
Net subscription amount = subscription amount/(1+subscription rate)
Subscription fee = subscription amount-net subscription amount
Subscription share = (net subscription amount + subscription interest)/Fund share issuance face value
2) When the subscription fee is a fixed amount, the subscription share calculation method is as follows:
m l1 subscription fee = fixed amount
net subscription amount = subscription amount - subscription fee
subscription share = (net subscription amount + subscription interest)/Fund share issuance face value
C fund shares The calculation method is as follows:
subscription share = (subscribe amount + subscription interest)/Fund share issuance face value
subscription share is calculated to be retained to 2 decimal places, and the part after 2 decimal places is rounded, and the income or losses generated by this error is borne by the fund property.
Example 1: An investor invested 5,000 yuan to subscribe to the A-class fund shares of this fund, corresponding to a fee rate of 0.30%. Assuming that the interest of the subscription funds is 5 yuan, the A-class fund shares available are:
net subscription amount = 5,000/(1+0.30%) = 4,985.04 yuan
Subscription fee = 5,000-4,985.04 = 14.96 yuan
Subscription share = (4,985.04 + 5) / 1.00 = 4,990.04
That is, the investor invested 5,000 yuan to subscribe to the A-class fund shares of this fund, and can obtain 4,990.04 Class A-class fund shares.
Example 2: An investor invests 5,000 yuan to subscribe to the C-class fund shares of this fund. Assuming that the interest on the subscription funds is 5 yuan, the C-class fund shares that can be obtained are:
Net subscription amount = 5,000 yuan
Subscription shares = (5,000 + 5)/1.00 = 5,005.00
That is, the investor invests 5,000 yuan to subscribe to the C-class fund shares of this fund, and can obtain 5,005.00 C-class fund shares.
(IV) Subscription confirmation
Fund sales agency accepts the subscription application, but does not mean that the application must be successful, but only means that the sales agency has indeed received the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration agency. Investors should promptly inquire and properly exercise their legal rights for the confirmation of subscription applications and types and quantity of subscription shares. After the fund contract takes effect, investors can print the transaction confirmation form at the sales agency that submitted the subscription application.
(V) Limitation of fund subscription amount
During the fund establishment period, the minimum limit for the first subscription of investors for online direct sales through agency or Shanxi Securities Co., Ltd. is RMB 1,000 (including subscription fees, the same below), and the minimum limit for additional subscription is RMB 1,000; the minimum limit for investors for first subscription through direct sales center counter is RMB 20,000, and the minimum limit for additional subscription is RMB 1,000.
Fund managers may adjust the quantity limit of subscription amounts according to market conditions. Fund managers must publish an announcement in the designated media at the latest two days before the adjustment and report it to the China Securities Regulatory Commission for filing.
III. Account opening and subscription procedures for individual investors
(I) Direct sales agency
Fund manager accepts account opening and subscription applications for individual investors at the direct sales counter.
1. Business acceptance time
(1) Account opening acceptance time: normal trading day;
(2) Subscription acceptance time: 9:30~17:00 on the fund issuance date (no acceptance on Saturdays, Sundays and statutory holidays).
2. Opening a fund account:
Individual investors should submit the following information when applying for opening a fund account:
(1) original and copy of the ID card (ID card, officer certificate, soldier certificate, police officer certificate, etc.);
(2) the investor's own bank current account;
(3) "Fund Account Business Application Form" filled out;
(4) "Customer Risk Tolerance Questionnaire (Applicable to Individual Customers)"
(5) other relevant information required by the administrator.
3. Subscription application:
Individual investors need to prepare the following information when applying for subscription application:
(1) Completed "Fund Trading Business Application Form";
(2) A copy of the bank payment voucher replies stamped with the bank acceptance seal;
(3) The original and copy of my valid ID card.
(4) Other relevant information required by the administrator.
Those who have not opened an account can go through the account opening and subscription procedures at the same time.
4. Payment method. Individual investors who subscribe through the direct sales counter need to pay the money through the full payment. The specific methods are as follows:
(1) Individual investors should transfer the full subscription funds to the "Shanxi Securities Co., Ltd. Direct Sales Account" opened by the fund manager at the Bank of Communications by reserved a bank account within the acceptance time on the day of subscribing the subscription application.
Account name: Shanxi Securities Co., Ltd.
Account opening bank: Shanxi Branch Branch Department of Bank of Communications Co., Ltd.
Account number: 141000601018170427503
Large-value payment system number: 301161000029
If an investor fails to pay the subscription amount in accordance with the above methods, resulting in invalid subscription, Shanxi Securities Co., Ltd. and the account opening bank of the direct sales account shall not bear any responsibility.
(2) until the end of the subscription period, the following situations will be deemed invalid subscription, and the funds will be returned to the fund settlement account designated by the investor:
investors transfer funds, but fail to complete the account opening procedures or fail to open an account;
investors transfer funds, but fail to apply for subscription or confirm that the subscription application is invalid;
investors transfer funds, which are less than the subscription amount they apply for;
other situations that lead to invalid subscription.
5. Notes
(1) Each individual investor can only open one fund account in the same registration institution;
(2) After an individual investor submits an account opening application on T-day, he can go to the fund manager's direct sales counter to check the results after T+2 (including T+2 days, if the outlet does not work on non-working days, it will be postponed);
(3) After an individual investor submits a subscription application on T-day, he can go to the fund manager's direct sales counter to check the subscription acceptance situation after T+2 days (including T+2 days, if the outlet does not work on non-working days, it will be postponed) to check the subscription acceptance situation. The subscription confirmation results can be checked at the direct sales counter of the fund manager after the fund contract takes effect;
(4) Individual investors do not accept cash when applying for subscription funds, individual investors must deposit sufficient subscription funds in the bank debit card/passbook or third-party payment account used to subscribe to the fund in advance;
(5) Reserved bank account refers to the settlement account reserved for redemption, dividend, and refund when an individual investor opens a fund account. The bank account should be the debit account of a domestic commercial bank opened by the individual investor himself, and the account name, certificate type and certificate number of the bank account and the fund account should be consistent with the information with the ID card.
(6) Application for individual investors to subscribe to funds must be processed within the announced individual investors subscription time. If the subscription funds of individual investors do not arrive at the direct sales account designated by the company before 17:00 on the day of subscription application, the application submitted on the same day will be postponed. The application acceptance date (i.e. the valid application date) shall be subject to the fund arrival date. Before 17:00 on the issuance deadline of this fund, if the investor's subscription funds do not reach the company's designated account, the subscription application submitted by the investor may be deemed invalid.
(II) Distribution Institution
Individual investors open a fund account and subscribe to the subscription procedures of each distribution institution shall prevail.
4. Account opening and subscription procedures for institutional investors
(I) Direct sales agency
Fund manager accepts account opening and subscription applications for institutional investors.
1. Business acceptance time
(1) Account acceptance time: normal trading day;
Institutional investors should submit the following information when applying for opening a fund account, stamp and sign as required: the "Fund Account Business Application Form" filled in
(1) and stamp with the unit's official seal, legal representative seal and person seal;
(2) "Institutional Investor Power of Attorney" filled in
(3) "Reserved Seal Card" filled in
(4) "Open-end Fund Fax Trading Agreement" filled in twelve copies (if the fax entrustment is not opened, it is not required);
(5) "Customer Risk Tolerance Questionnaire (Applicable to Institutional Customers)".
In addition to the above business forms, investors must also present the original copy of the following information and provide a copy of the official seal of the unit (color seal) stamped with:
(6) the latest annual inspection copy of the enterprise business license (or registration certificate issued by the civil affairs department, etc.), organization code certificate and tax registration certificate;
(7) the bank account certificate (the bank account that deals with our company's funds);
(8) the valid identity document of the person in charge;
(9) the valid identity document of the legal representative;
(10) other relevant information required by the administrator.
3. Institutional investors must submit the following materials when applying for subscription:
(1) Fill out the "Fund Trading Business Application Form";
(2) Return form for transfer voucher (it is only required if the subscription amount does not arrive at our company's corresponding account within the specified time).
(3) Other relevant information required by the administrator.
4. Payment method
Institutional investors who subscribe through the direct sales counter need to pay the money through full payment. The specific methods are as follows:
(1) Institutional investors should transfer the full subscription funds to the "Shanxi Securities Co., Ltd. Direct Sales Account" opened by the fund manager at the Bank of Communications through the acceptance time on the day of submitting the subscription application.
① Investors allocated funds but failed to complete the account opening procedures or failed to open an account;
② Investors allocated funds but failed to apply for subscription or confirmed invalidity;
③ Investors allocated funds less than the subscription amount they applied for;
④ Other situations that lead to invalidity of subscription.
5. Notes
(1) After an institutional investor submits an account opening application on T-day, he can go to the fund manager's direct sales counter to check the results after T+2 days (including T+2 days, if the outlet does not work on the non-working day, it will be postponed);
(2) After an institutional investor submits a subscription application on T-day, he can go to the fund manager's direct sales counter to check the subscription acceptance situation after T+2 days (including T+2 days, if the outlet does not work on the non-working day, it will be postponed) to check the subscription acceptance situation. The subscription confirmation results can be checked at the direct sales counter of the fund manager after the fund contract takes effect;
(3) Institutional investors do not accept cash when applying for subscription of funds, and institutional investors must deposit sufficient subscription funds in the bank debit card/passbook or third-party payment account used to subscribe to funds in advance;
(4) Reserved bank account refers to the settlement account reserved for redemption, dividend, and refund when an institutional investor opens a fund account. The bank account should be the debit account of a domestic commercial bank opened by an institutional investor;
(5) Institutional investor subscription application must be processed within the announced individual investor subscription time. If the subscription funds of individual investors do not arrive at the company's designated direct sales fund account before 17:00 on the day of subscription application, the application submitted on the same day will be postponed. The application acceptance date (i.e. the valid application date) shall be subject to the fund arrival date. Before 17:00 on the issuance deadline of this fund, if the investor's subscription funds do not reach the company's designated account, the subscription application submitted by the investor may be deemed invalid.
(II) Distribution Institution
Institutional investors open fund accounts and subscription procedures in distribution institutions shall be subject to the provisions of each distribution institution.
V. Liquidation and Delivery
(I) The interest generated by the valid subscription funds during the fundraising period will be converted into fund shares and belong to the fund share holders, and the specific amount of interest to shares shall be subject to the record of the registration agency.
(II) The funds raised during the fundraising period are deposited into a special account and are not allowed to use them before the fundraising behavior is over.
(III) After the fund is issued, the registration agency will complete the equity registration. Investors should check the actual subscription share after the fund contract takes effect.
6. Fund capital verification and fund contract take effect
This fund shall be subject to the conditions of the total fund raising shares not less than 200 million shares, the fund raising amount shall not be less than 200 million yuan and the number of fund subscribers shall not be less than 200 people, the fund raising period expires or the fund manager may decide to stop the fund issuance in accordance with laws and regulations and the prospectus, and hire a statutory capital verification institution to verify capital within 10 days, and complete the fund registration procedures with the China Securities Regulatory Commission within 10 days from the date of receipt of the capital verification report. If the fund raising meets the fund registration conditions, the fund contract shall take effect from the date when the fund manager completes the fund registration procedures and obtains written confirmation by the China Securities Regulatory Commission; otherwise the fund contract will not take effect. The fund manager announced the effective date of the fund contract on the day after receiving the confirmation document from the China Securities Regulatory Commission. The fund manager shall deposit the funds raised during the fund raising period into a special account, and no one shall use them before the fund raising behavior is over.
If the fundraising period expires and the conditions for fundraising registration are not met, the fund manager shall bear the following responsibilities:
1. Use its inherent property to bear the debts and expenses arising from the fundraising act;
2. Return the funds paid by the investor within 30 days after the fundraising period expires, and add interest on the bank's current deposits for the same period;
3. If the fundraising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration. All expenses paid by the fund manager, fund custodian and sales institution for the fund raising shall be borne by each party.
7. The party or intermediary institution of this sale
(I) Fund manager
Name: Shanxi Securities Co., Ltd.
Residence: Shanxi International Trade Center East Tower, No. 69 Fuxi Street, Taiyuan City, Shanxi Province
Office address: Shanxi International Trade Center East Tower, No. 69 Fuxi Street, Taiyuan City, Shanxi Province
Legal representative: Hou Wei
Approved to set up the machine The approval of the establishment document number: People's Bank of China Reply [1988] No. 315
Fund management business approval document number: Securities Regulatory Commission License No. [2014] No. 319
Business scope: securities brokerage; securities proprietary operation; securities asset management; securities investment consulting; financial advisors related to securities trading and securities investment activities; securities investment fund agency sales; provide intermediary introduction business for futures companies; margin financing and securities lending; sales of financial products; publicly raised securities investment fund management business.
Registered capital: RMB 2.82873 billion
Organizational form: Co., Ltd.
Period of existence: Continuing business
(II) Fund custodian
Name: Bank of Communications Co., Ltd.
Residence: No. 188 Yincheng Middle Road, China (Shanghai) Pilot Free Trade Zone
Office address: No. 188 Yincheng Middle Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Peng Chun
Approval establishment authority and approval establishment document number: Guofa (1986) of the State Council (81st 81st No. Document and the People's Bank of China Yinfa [1987] No. 40
Fund custody business approval number: China Securities Regulatory Commission's Securities Regulatory Bureau No. 25
Business scope: absorb public deposits; issue short-term, medium-term and long-term loans; handle domestic and foreign settlements; handle bill acceptance and discount; issue financial bonds; agent issuance, agency redemption, underwriting government bonds; buy and sell government bonds and financial bonds; engage in interbank lending; buy and sell foreign exchange; engage in bank card business; provide letter of credit services and guarantees; agency collection and payment business; provide safe box services; other businesses approved by the banking supervision and administration agency of the State Council; operate foreign exchange settlement and foreign exchange sales business.
Fund manager: Shanxi Securities Co., Ltd.
Fund custodian: Bank of Communications Co., Ltd.
Important reminder
1. The fundraising of Shanxi Securities Ultra-Short Bond Bond Securities Investment Fund (hereinafter referred to as "this fund") has been registered with the Securities Regulatory Commission License [2018] No. 1773 on 2018 [1]. The China Securities Regulatory Commission’s registration of this fund does not mean that the China Securities Regulatory Commission makes a substantial judgment, recommendation or guarantee on the risks and returns of this fund.
2. Shanxi Securities Ultra-Short Bond Bond Securities Investment Fund is a contractual open-end securities investment fund.
3. The fund manager and registration institution of this fund are Shanxi Securities Co., Ltd. (hereinafter referred to as "the fund manager"), and the fund custodian is Bank of Communications Co., Ltd.
4. This fund fund fundraising period will be sold publicly through fund sales outlets of various sales institutions from December 17, 2018 to January 16, 2019. The fundraising period of this fund shall not exceed 3 months and shall be calculated from the date of the fund's share issuance. The company may also appropriately extend or shorten the fund issuance time within the fundraising period based on the fund sales situation and make timely announcements.
5. Upper limit of fundraising scale This fund does not set an upper limit of the first fundraising scale.
6. If an investor wants to purchase this fund, he must open a fund account of Shanxi Securities Co., Ltd. During the issuance period of this fund share, each fund distribution agency outlet and direct sales agency handle the procedures for opening a fund account for investors at the same time.
7. Unless otherwise provided by laws and regulations, an investor can only open and use one fund account. Investors are not allowed to illegally use other people's accounts or funds to subscribe, nor are they allowed to raise funds in violation of regulations or help others to subscribe in violation of regulations. If the identity documents or identity documents submitted by investors have expired, please go through relevant update procedures in a timely manner to avoid affecting subscription.
8. This fund divides fund shares into different categories according to the different ways of charging subscription fees, subscription fees and sales service fees. Fund shares that charge subscription fees or subscription fees when investors subscribe/subscribe but do not accrue sales service fees from fund assets in this category are called Class A fund shares; fund shares that charge subscription fees or subscription fees when investors subscribe/subscribe are not charged, but fund shares that charge sales service fees from fund assets in this category are called Class C fund shares. Class A and Class C fund shares are set up separately to calculate and announce the net value of each type of fund shares and the cumulative net value of each type of fund shares. Investors can choose to subscribe or subscribe to fund share categories at their own discretion.
9. During the fund establishment period, the minimum limit for a single purchase of the investor's first-time subscription through an agency or Shanxi Securities Co., Ltd. is RMB 1,000 (including subscription fees, the same below), and the minimum limit for an additional subscription is RMB 1,000; the minimum limit for an investor's first-time subscription through a direct sales center counter is RMB 20,000, and the minimum limit for an additional subscription is RMB 1,000.
Investors may repeat subscriptions during the establishment of the fundraising period. In addition to the minimum limit limit for each subscription, if the Company accepts a certain or certain subscription application, the Company has the right to refuse such or certain subscription applications when a single investor accepts a certain subscription application that may result in the proportion of fund shares held by a single investor or exceed 50%, or evades the 50% concentration in disguise.
If an investor subscribes multiple times, the subscription fee for Class A fund shares shall be billed separately according to the rate level corresponding to the single subscription amount. Once the subscription application is accepted by the sales agency, it will be irrevocable.
10. This announcement only explains the relevant matters and regulations for the issuance of this fund. If investors want to know the details of this fund, please read the "Shanxi Securities Ultra-Short Bond Bond Securities Investment Fund Recruitment" published in Securities Daily; the fund contract, prospectus and this announcement will be published on the fund manager's public fund business website (http://publiclyfund.sxzq.com:8000).
11. Investors can call our company's customer service number (95573) to inquire about subscription matters.
12. Please consult each sales agency for details on sales outlets and account opening and subscription matters.
13. The manager of this fund may make appropriate adjustments to the issuance arrangements and other related matters during the fundraising period based on various circumstances. The Company has the final right to interpret the announcement of the share offering of this fund.
14. Risk warning
Securities Investment Fund (hereinafter referred to as "Fund") is a long-term investment tool. Its main function is to diversify investment and reduce the individual risks brought by investing in a single securities. Funds are different from financial instruments such as bank savings and bonds that can provide fixed income expectations. Investors who purchase funds may not only share the benefits generated by fund investments based on their holdings, but also bear the losses caused by fund investments.
funds may face various risks during their investment operations, including market risks, as well as the fund's own management risks and technical risks. Huge redemption risk is a risk unique to open-end funds, that is, when the net redemption application of the fund on a single trading day exceeds 10% of the total fund shares, investors may not be able to redeem all the fund shares they hold in time.
This fund is a bond fund, and its expected returns and risks are higher than those of money market funds, but lower than those of stock funds and mixed funds.
This fund is invested in the securities market. The net value of the fund will fluctuate due to factors such as the fluctuations in the securities market. Investors enjoy fund returns based on the fund shares they hold and bear corresponding investment risks. Before investing in this fund, investors must fully understand the product characteristics of the fund and bear various risks that arise in the fund investment, including: macro and microeconomic factors, national policies, market changes, industry changes, investors' risk-return preferences and market liquidity levels, and other factors that affect the securities market will affect the performance of the fund, thereby generating market risks, liquidity risks, fund management risks arising from fund managers during the implementation of fund management, risks of treasury bonds, risks of private bonds of small and medium-sized enterprises, risks of short-term corporate bonds of securities companies, specific risks of this fund, and other related risks, etc.
investment is risky. When subscribing (or subscribe to) the fund, investors should carefully read the prospectus of this fund and other information disclosure documents such as the fund contract, independently judge the investment value of the fund, fully understand the risk-return characteristics of the fund products, fully consider the investors' own risk tolerance, and make independent decisions on investment behaviors such as the willingness, timing, and quantity of the fund. The fund manager reminds investors of the principle of "buyers are responsible for" in fund investment. After investors make investment decisions, the investment risks caused by changes in the fund's operating status and the net value of the fund shall be borne by the investors themselves. The past performance of the
fund does not indicate its future performance. The performance of other funds managed by the fund manager does not constitute a guarantee of the performance of the new fund.
Fund managers manage and use fund assets in accordance with the principles of conscientious duties, honesty, trustworthiness, and prudence and diligence, but do not guarantee the fund's profits or the minimum return.
1. Basic information of this fundraising
(I) Fund name
Shanxi Securities Ultra-short bond bond securities investment fund
(II) Fund code
A Fund share code: 006626
C Fund share code: 006627
(II) Fund category
Bond securities investment fund
(IV) Fund operation mode
Contract open-end
(V) Fund duration
Irregular
(V) Fund expiration term
Indefinite
(V) Initial face value
Fund share issuance face value of RMB 1.00.
(VII) Fund investment targets
This fund strives to achieve stable returns exceeding the comparative benchmark while maintaining high liquidity of fund assets.
(8) Fund investment scope
This fund invests in financial instruments with good liquidity, including treasury bonds, local government bonds, central bank notes, financial bonds, corporate bonds, corporate bonds, medium-term notes, short-term financing bonds, ultra-short-term financing bonds, publicly issued subprime bonds, private bonds of small and medium-sized enterprises, short-term corporate bonds for securities companies, pure bond parts of separable trading convertible bonds, asset-backed securities, bond repurchase, bank deposits, interbank certificates of deposit, money market instruments, treasury futures and other laws and regulations, or other financial instruments allowed by the China Securities Regulatory Commission to invest in, but must comply with the relevant regulations of the China Securities Regulatory Commission.
This fund does not invest in stocks, warrants and other assets, nor does it invest in convertible bonds (except for the pure bond part that can be separated and traded convertible bonds) or convertible bonds.
If the laws and regulations or the China Securities Regulatory Commission allows funds to invest in other varieties in the future, the fund manager may include them in the investment scope after performing appropriate procedures, and its investment ratio follows the effective laws and regulations and relevant regulations at that time. The investment portfolio ratio of the fund is: the proportion of the fund invested in bond assets shall not be less than 80% of the fund assets, of which the assets invested in ultra-short bonds shall not be less than 80% of the non-cash fund assets; after deducting the transaction margin required for the treasury futures contract at the end of each trading day, cash shall not be less than 5% of the net value of the fund assets or government bonds within one year of maturity. The aforementioned cash assets shall not include settlement reserves, deposits, subscription receivables, etc.
Ultra-short bonds invested in this fund refer to bond assets with a remaining maturity of no more than 270 days, mainly including treasury bonds, local government bonds, central bank notes, financial bonds, corporate bonds, corporate bonds, medium-term notes, short-term financing bonds, ultra-short-term financing bonds, publicly issued subordinated bonds, private bonds of small and medium-sized enterprises, short-term corporate bonds for securities companies, pure bonds that can be separated and traded convertible bonds and other financial instruments.
(9) The offer target
Individual investors, institutional investors, qualified overseas institutional investors and RMB qualified overseas institutional investors who are in compliance with laws and regulations, as well as other investors who can invest in securities investment funds that are subject to laws and regulations or allowed by the China Securities Regulatory Commission to purchase securities investment funds.
(10) Sales Institution
Direct Sales Institution: Shanxi Securities Co., Ltd.
Sales Institution: See this announcement for details "Seven (Three) 2. Sales Institution"
If a new sales institution is added during this fundraising period, a separate announcement will be made.
(XI) Fundraising Scale
The total amount of shares raised by this fund is not less than 200 million shares, and the amount of funds raised by the fund is not less than 200 million yuan.
(Twelve) Release time schedule
The fundraising period of this fund shall not exceed 3 months, and shall be calculated from the date of the fund shares being issued.
This fund will be released from December 17, 2018 to January 16, 2019. If the fund registration conditions stipulated in this fund prospectus are not met during this period, that is, the total fundraising shares are not less than 200 million shares, the fundraising amount is not less than 200 million yuan, and the fund subscribers are not less than 200, the fund can continue to sell during the fundraising period until the fund registration conditions are met. The fund manager may appropriately extend or shorten the fundraising time during the fundraising period according to the subscription situation and make timely announcements. In addition, if an emergency occurs, the arrangements for the above fund fundraising period can also be adjusted appropriately.
2. Subscription method and related regulations
(I) During the fundraising period, this fund is for individual investors, institutional investors, qualified overseas institutional investors and qualified overseas institutional investors in securities investment funds that comply with laws and regulations, as well as other investors who can invest in securities investment funds that are qualified in RMB, as well as laws and regulations or other investors who are allowed to purchase securities investment funds by the China Securities Regulatory Commission.
(II) Subscription method
This fund adopts an amount subscription method. Investors must deposit the full amount of funds into the account designated by the sales institution during the issuance period before they can subscribe to the fund.
(III) Subscription fee
This fund Class A fund shares are charged for the fund front-end subscription fee when subscribing; Class C fund shares do not charge for subscription fees.
The subscription fee rate for subscribing to Class A fund shares of this fund through direct sales institutions is shown in the table below:
■
The subscription fee for Class A fund shares of this fund is borne by investors and is not included in the fund assets. The subscription fee is used for various expenses incurred during the fund marketing, sales, registration and other fundraising periods.
1. Processing method of interest on raised funds
The interest generated by the valid subscription funds during the fundraising period will be converted into fund shares and belong to the fund share holders, and the specific amount of interest to shares shall be subject to the record of the registration agency.
2. Calculation of subscription shares
The subscription amount of this fund includes subscription fees and net subscription amount.
A fund share subscription shares calculation method is as follows:
1) When the subscription fee applies to the proportional fee rate, the subscription shares calculation method is as follows:
Net subscription amount = subscription amount/(1+subscription rate)
Subscription fee = subscription amount-net subscription amount
Subscription share = (net subscription amount + subscription interest)/Fund share issuance face value
2) When the subscription fee is a fixed amount, the subscription share calculation method is as follows:
m l1 subscription fee = fixed amount
net subscription amount = subscription amount - subscription fee
subscription share = (net subscription amount + subscription interest)/Fund share issuance face value
C fund shares The calculation method is as follows:
subscription share = (subscribe amount + subscription interest)/Fund share issuance face value
subscription share is calculated to be retained to 2 decimal places, and the part after 2 decimal places is rounded, and the income or losses generated by this error is borne by the fund property.
Example 1: An investor invested 5,000 yuan to subscribe to the A-class fund shares of this fund, corresponding to a fee rate of 0.30%. Assuming that the interest of the subscription funds is 5 yuan, the A-class fund shares available are:
net subscription amount = 5,000/(1+0.30%) = 4,985.04 yuan
Subscription fee = 5,000-4,985.04 = 14.96 yuan
Subscription share = (4,985.04 + 5) / 1.00 = 4,990.04
That is, the investor invested 5,000 yuan to subscribe to the A-class fund shares of this fund, and can obtain 4,990.04 Class A-class fund shares.
Example 2: An investor invests 5,000 yuan to subscribe to the C-class fund shares of this fund. Assuming that the interest on the subscription funds is 5 yuan, the C-class fund shares that can be obtained are:
Net subscription amount = 5,000 yuan
Subscription shares = (5,000 + 5)/1.00 = 5,005.00
That is, the investor invests 5,000 yuan to subscribe to the C-class fund shares of this fund, and can obtain 5,005.00 C-class fund shares.
(IV) Subscription confirmation
Fund sales agency accepts the subscription application, but does not mean that the application must be successful, but only means that the sales agency has indeed received the subscription application. The confirmation of subscription shall be subject to the confirmation result of the registration agency. Investors should promptly inquire and properly exercise their legal rights for the confirmation of subscription applications and types and quantity of subscription shares. After the fund contract takes effect, investors can print the transaction confirmation form at the sales agency that submitted the subscription application.
(V) Limitation of fund subscription amount
During the fund establishment period, the minimum limit for the first subscription of investors for online direct sales through agency or Shanxi Securities Co., Ltd. is RMB 1,000 (including subscription fees, the same below), and the minimum limit for additional subscription is RMB 1,000; the minimum limit for investors for first subscription through direct sales center counter is RMB 20,000, and the minimum limit for additional subscription is RMB 1,000.
Fund managers may adjust the quantity limit of subscription amounts according to market conditions. Fund managers must publish an announcement in the designated media at the latest two days before the adjustment and report it to the China Securities Regulatory Commission for filing.
III. Account opening and subscription procedures for individual investors
(I) Direct sales agency
Fund manager accepts account opening and subscription applications for individual investors at the direct sales counter.
1. Business acceptance time
(1) Account opening acceptance time: normal trading day;
(2) Subscription acceptance time: 9:30~17:00 on the fund issuance date (no acceptance on Saturdays, Sundays and statutory holidays).
2. Opening a fund account:
Individual investors should submit the following information when applying for opening a fund account:
(1) original and copy of the ID card (ID card, officer certificate, soldier certificate, police officer certificate, etc.);
(2) the investor's own bank current account;
(3) "Fund Account Business Application Form" filled out;
(4) "Customer Risk Tolerance Questionnaire (Applicable to Individual Customers)"
(5) other relevant information required by the administrator.
3. Subscription application:
Individual investors need to prepare the following information when applying for subscription application:
(1) Completed "Fund Trading Business Application Form";
(2) A copy of the bank payment voucher replies stamped with the bank acceptance seal;
(3) The original and copy of my valid ID card.
(4) Other relevant information required by the administrator.
Those who have not opened an account can go through the account opening and subscription procedures at the same time.
4. Payment method. Individual investors who subscribe through the direct sales counter need to pay the money through the full payment. The specific methods are as follows:
(1) Individual investors should transfer the full subscription funds to the "Shanxi Securities Co., Ltd. Direct Sales Account" opened by the fund manager at the Bank of Communications by reserved a bank account within the acceptance time on the day of subscribing the subscription application.
Account name: Shanxi Securities Co., Ltd.
Account opening bank: Shanxi Branch Branch Department of Bank of Communications Co., Ltd.
Account number: 141000601018170427503
Large-value payment system number: 301161000029
If an investor fails to pay the subscription amount in accordance with the above methods, resulting in invalid subscription, Shanxi Securities Co., Ltd. and the account opening bank of the direct sales account shall not bear any responsibility.
(2) until the end of the subscription period, the following situations will be deemed invalid subscription, and the funds will be returned to the fund settlement account designated by the investor:
investors transfer funds, but fail to complete the account opening procedures or fail to open an account;
investors transfer funds, but fail to apply for subscription or confirm that the subscription application is invalid;
investors transfer funds, which are less than the subscription amount they apply for;
other situations that lead to invalid subscription.
5. Notes
(1) Each individual investor can only open one fund account in the same registration institution;
(2) After an individual investor submits an account opening application on T-day, he can go to the fund manager's direct sales counter to check the results after T+2 (including T+2 days, if the outlet does not work on non-working days, it will be postponed);
(3) After an individual investor submits a subscription application on T-day, he can go to the fund manager's direct sales counter to check the subscription acceptance situation after T+2 days (including T+2 days, if the outlet does not work on non-working days, it will be postponed) to check the subscription acceptance situation. The subscription confirmation results can be checked at the direct sales counter of the fund manager after the fund contract takes effect;
(4) Individual investors do not accept cash when applying for subscription funds, individual investors must deposit sufficient subscription funds in the bank debit card/passbook or third-party payment account used to subscribe to the fund in advance;
(5) Reserved bank account refers to the settlement account reserved for redemption, dividend, and refund when an individual investor opens a fund account. The bank account should be the debit account of a domestic commercial bank opened by the individual investor himself, and the account name, certificate type and certificate number of the bank account and the fund account should be consistent with the information with the ID card.
(6) Application for individual investors to subscribe to funds must be processed within the announced individual investors subscription time. If the subscription funds of individual investors do not arrive at the direct sales account designated by the company before 17:00 on the day of subscription application, the application submitted on the same day will be postponed. The application acceptance date (i.e. the valid application date) shall be subject to the fund arrival date. Before 17:00 on the issuance deadline of this fund, if the investor's subscription funds do not reach the company's designated account, the subscription application submitted by the investor may be deemed invalid.
(II) Distribution Institution
Individual investors open a fund account and subscribe to the subscription procedures of each distribution institution shall prevail.
4. Account opening and subscription procedures for institutional investors
(I) Direct sales agency
Fund manager accepts account opening and subscription applications for institutional investors.
1. Business acceptance time
(1) Account acceptance time: normal trading day;
Institutional investors should submit the following information when applying for opening a fund account, stamp and sign as required: the "Fund Account Business Application Form" filled in
(1) and stamp with the unit's official seal, legal representative seal and person seal;
(2) "Institutional Investor Power of Attorney" filled in
(3) "Reserved Seal Card" filled in
(4) "Open-end Fund Fax Trading Agreement" filled in twelve copies (if the fax entrustment is not opened, it is not required);
(5) "Customer Risk Tolerance Questionnaire (Applicable to Institutional Customers)".
In addition to the above business forms, investors must also present the original copy of the following information and provide a copy of the official seal of the unit (color seal) stamped with:
(6) the latest annual inspection copy of the enterprise business license (or registration certificate issued by the civil affairs department, etc.), organization code certificate and tax registration certificate;
(7) the bank account certificate (the bank account that deals with our company's funds);
(8) the valid identity document of the person in charge;
(9) the valid identity document of the legal representative;
(10) other relevant information required by the administrator.
3. Institutional investors must submit the following materials when applying for subscription:
(1) Fill out the "Fund Trading Business Application Form";
(2) Return form for transfer voucher (it is only required if the subscription amount does not arrive at our company's corresponding account within the specified time).
(3) Other relevant information required by the administrator.
4. Payment method
Institutional investors who subscribe through the direct sales counter need to pay the money through full payment. The specific methods are as follows:
(1) Institutional investors should transfer the full subscription funds to the "Shanxi Securities Co., Ltd. Direct Sales Account" opened by the fund manager at the Bank of Communications through the acceptance time on the day of submitting the subscription application.
① Investors allocated funds but failed to complete the account opening procedures or failed to open an account;
② Investors allocated funds but failed to apply for subscription or confirmed invalidity;
③ Investors allocated funds less than the subscription amount they applied for;
④ Other situations that lead to invalidity of subscription.
5. Notes
(1) After an institutional investor submits an account opening application on T-day, he can go to the fund manager's direct sales counter to check the results after T+2 days (including T+2 days, if the outlet does not work on the non-working day, it will be postponed);
(2) After an institutional investor submits a subscription application on T-day, he can go to the fund manager's direct sales counter to check the subscription acceptance situation after T+2 days (including T+2 days, if the outlet does not work on the non-working day, it will be postponed) to check the subscription acceptance situation. The subscription confirmation results can be checked at the direct sales counter of the fund manager after the fund contract takes effect;
(3) Institutional investors do not accept cash when applying for subscription of funds, and institutional investors must deposit sufficient subscription funds in the bank debit card/passbook or third-party payment account used to subscribe to funds in advance;
(4) Reserved bank account refers to the settlement account reserved for redemption, dividend, and refund when an institutional investor opens a fund account. The bank account should be the debit account of a domestic commercial bank opened by an institutional investor;
(5) Institutional investor subscription application must be processed within the announced individual investor subscription time. If the subscription funds of individual investors do not arrive at the company's designated direct sales fund account before 17:00 on the day of subscription application, the application submitted on the same day will be postponed. The application acceptance date (i.e. the valid application date) shall be subject to the fund arrival date. Before 17:00 on the issuance deadline of this fund, if the investor's subscription funds do not reach the company's designated account, the subscription application submitted by the investor may be deemed invalid.
(II) Distribution Institution
Institutional investors open fund accounts and subscription procedures in distribution institutions shall be subject to the provisions of each distribution institution.
V. Liquidation and Delivery
(I) The interest generated by the valid subscription funds during the fundraising period will be converted into fund shares and belong to the fund share holders, and the specific amount of interest to shares shall be subject to the record of the registration agency.
(II) The funds raised during the fundraising period are deposited into a special account and are not allowed to use them before the fundraising behavior is over.
(III) After the fund is issued, the registration agency will complete the equity registration. Investors should check the actual subscription share after the fund contract takes effect.
6. Fund capital verification and fund contract take effect
This fund shall be subject to the conditions of the total fund raising shares not less than 200 million shares, the fund raising amount shall not be less than 200 million yuan and the number of fund subscribers shall not be less than 200 people, the fund raising period expires or the fund manager may decide to stop the fund issuance in accordance with laws and regulations and the prospectus, and hire a statutory capital verification institution to verify capital within 10 days, and complete the fund registration procedures with the China Securities Regulatory Commission within 10 days from the date of receipt of the capital verification report. If the fund raising meets the fund registration conditions, the fund contract shall take effect from the date when the fund manager completes the fund registration procedures and obtains written confirmation by the China Securities Regulatory Commission; otherwise the fund contract will not take effect. The fund manager announced the effective date of the fund contract on the day after receiving the confirmation document from the China Securities Regulatory Commission. The fund manager shall deposit the funds raised during the fund raising period into a special account, and no one shall use them before the fund raising behavior is over.
If the fundraising period expires and the conditions for fundraising registration are not met, the fund manager shall bear the following responsibilities:
1. Use its inherent property to bear the debts and expenses arising from the fundraising act;
2. Return the funds paid by the investor within 30 days after the fundraising period expires, and add interest on the bank's current deposits for the same period;
3. If the fundraising fails, the fund manager, the fund custodian and the sales institution shall not request remuneration. All expenses paid by the fund manager, fund custodian and sales institution for the fund raising shall be borne by each party.
7. The party or intermediary institution of this sale
(I) Fund manager
Name: Shanxi Securities Co., Ltd.
Residence: Shanxi International Trade Center East Tower, No. 69 Fuxi Street, Taiyuan City, Shanxi Province
Office address: Shanxi International Trade Center East Tower, No. 69 Fuxi Street, Taiyuan City, Shanxi Province
Legal representative: Hou Wei
Approved to set up the machine The approval of the establishment document number: People's Bank of China Reply [1988] No. 315
Fund management business approval document number: Securities Regulatory Commission License No. [2014] No. 319
Business scope: securities brokerage; securities proprietary operation; securities asset management; securities investment consulting; financial advisors related to securities trading and securities investment activities; securities investment fund agency sales; provide intermediary introduction business for futures companies; margin financing and securities lending; sales of financial products; publicly raised securities investment fund management business.
Registered capital: RMB 2.82873 billion
Organizational form: Co., Ltd.
Period of existence: Continuing business
(II) Fund custodian
Name: Bank of Communications Co., Ltd.
Residence: No. 188 Yincheng Middle Road, China (Shanghai) Pilot Free Trade Zone
Office address: No. 188 Yincheng Middle Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Peng Chun
Approval establishment authority and approval establishment document number: Guofa (1986) of the State Council (81st 81st No. Document and the People's Bank of China Yinfa [1987] No. 40
Fund custody business approval number: China Securities Regulatory Commission's Securities Regulatory Bureau No. 25
Business scope: absorb public deposits; issue short-term, medium-term and long-term loans; handle domestic and foreign settlements; handle bill acceptance and discount; issue financial bonds; agent issuance, agency redemption, underwriting government bonds; buy and sell government bonds and financial bonds; engage in interbank lending; buy and sell foreign exchange; engage in bank card business; provide letter of credit services and guarantees; agency collection and payment business; provide safe box services; other businesses approved by the banking supervision and administration agency of the State Council; operate foreign exchange settlement and foreign exchange sales business.
Registered capital: RMB 74.262 billion
(III) Fund sales institution
1, direct sales institution
Company name: Shanxi Securities Co., Ltd.
Residence and office address: East Tower of Shanxi International Trade Center, No. 69 Fuxi Street, Taiyuan City, Shanxi Province
Legal representative: Hou Wei
Secretary to the Board: Wang Yili
Telephone: 0351-8686966
Fax: 0351-8686918
Customer Service Tel: 95573
Website: www.i618.com.cn
2. Sales agency:
(1) Beijing Sina Cangshi Fund Sales Co., Ltd.
Registration address: Room 906, No. 58, Beisi Ring West Road, Haidian District, Beijing
Office address: 12th Floor, Taipeng Building, No. 10, Haidian North Second Street, Haidian District, Beijing
Legal representative: Zhang Qi
Contact person: Fu Wenhong
Customer service phone: 010-62675369
Website: http://www.xincai.com/
(2) Bank of Communications Co., Ltd.
Registration address: No. 188 Yincheng Middle Road, Pudong New District, Shanghai
Office address: No. 188 Yincheng Middle Road, Pudong New District, Shanghai
Legal representative: Peng Chun
Contact person: Wang Jing
Customer service phone: 95559
Website: http://www.bankcomm.com/
(3) Jinshang Bank Co., Ltd.
Registration address: Block A, Lihua Building, No. 1 Changfeng West Street, Wanbailin District, Taiyuan City, Shanxi Province
Office address: Block A, Lihua Building, No. 1 Changfeng West Street, Wanbailin District, Taiyuan City, Shanxi Province
Legal representative: Yan Junsheng
Contact: Dong Jiawen
Customer service phone number: 9510-5588
Website: www.jshbank.com
(4) Shanghai Changliang Fund Sales and Investment Consulting Co., Ltd.
Registration address: Room 220, Building 2, No. 526 Gaoxiang Road, Pudong New District, Shanghai
Office address: 11th Floor, No. 1267 Dongfang Road, Pudong New District, Shanghai
Legal representative: Zhang Yuewei
Contact person: Miao Ming
Customer service phone number: 800-820-2899
Website: www.erichfund.com
(5) Shanghai Haomai Fund Sales Co., Ltd.
Registration address: No. 41, 2nd Floor, Building 26, No. 196 Ouyang Road, Hongkou District, Shanghai
Office address: Room 903~906, Ordos International Building, No. 1118 Pudong South Road, Shanghai
Legal representative: Yang Wenbin
Contact person: Zhang Ru
Customer service phone: 4007009665
Website: www.ehowbuy.com
(6) Beijing Zhanheng Fund Sales Co., Ltd.
Registration address: No. 6 Anfu Street, Houshayu Town, Shunyi District, Beijing
Office address: 1 Anyuan Road, Chaoyang District, Beijing 5-1 Post and Telecommunications News Building 2nd Floor
Legal representative: Yan Zhenjie
Contact person: Zhai Wen
Customer service phone: 4008188000
Website: www.myfund.com
(7) Noah Zhengxing Fund Sales Co., Ltd.
Registration address: Room 3724, No. 9, Lane 360, Feihong Road, Hongkou District, Shanghai
Office address: Building 2, No. 1687, Changyang, Yangpu District, Shanghai
Legal representative: Wang Jingbo
Contact person: Zhangyu
Customer service phone: 400-821-53 99
Website: www.noah-fund.com
(8) Shanghai Tiantian Fund Sales Co., Ltd.
Registration address: 2nd Floor, Building 2, No. 190 Longtian Road, Xuhui District, Shanghai
Office address: 26th Floor, Oriental Fortune Building, No. 88 Wanping South Road, Xuhui District, Shanghai
Legal representative: In fact,
Contact person: Huang Nijuan
Customer service phone: 4001818188
Website: www.1234567.com.cn
(9) Shenzhen Zhonglu Fund Sales Co., Ltd.
Registration address: 8th Floor, 8th Floor, Liyuan Road Material Holding Land Building, Luohu District, Shenzhen 801
Office address: 4th Floor, HALO Plaza, Liyuan Road, Luohu District, Shenzhen
Legal representative: Xue Feng
Contact: Tong Caiping
Customer service phone: 4006-788-887
Website: http://www.zlfund.cn
(10) Shanghai Lide Fund Sales Co., Ltd.
Registration address: Room 1033, No. 5475 Yunchuan Road, Baoshan District, Shanghai
Office address: Building 10, No. 61, Lane 91, Eshan Road, Pudong New District, Shanghai 2nd Floor
Legal representative: Shen Jiwei
Contact: Chen Ziming
Customer service phone: 400-067-6266
Website: http://a.leadfund.com.cn
(11) Beijing Hengtian Mingze Fund Sales Co., Ltd.
Registration address: Room 5122, 5th Floor, No. 10, Hongda North Road, Beijing Economic and Technological Development Zone
Office address: 6th Floor, Building C, First Shanghai Center, No. 39, Liangmaqiao Road, Chaoyang District, Beijing
Legal representative: Li Yue
Contact: Zhang Ye
Customer service phone: 4007868868
Website: http://www.chtfund.com
(12) Datai Jinshi Fund Sales Co., Ltd.
Registration address: Room 2105, Modern Five-Event Museum, Nanjing Olympic Sports Center, No. 222 Jiangdong Middle Road, Jianye District, Nanjing
Office address: 15th Floor, Dongfang Chunyi Building, No. 505 Eshan Road, Pudong New District, Shanghai
Legal Agency Cousin: Yuan Guming
Contact: Wang Hua
Customer Service Tel: 400-92-82266
Website: https://www.dtfunds.com
(13) Shanghai Lufax Fund Sales Management Co., Ltd.
Registration address: Unit 09, 14th Floor, No. 1333 Lujiazui Ring Road, Pudong New District, Shanghai
Office address: 15th Floor, No. 1333 Lujiazui Ring Road, Pudong New District, Shanghai
Legal representative: Bao Donghua
Contact person: Ning Boyu
Customer service phone: 4008219031
Website: www.lufunds.com
(14) Beijing Huicheng Fund Sales Co., Ltd.
Registration address: No. 1108, 11th Floor, Zhongguancun Street, Haidian District, Beijing
Office address: No. 1108, 11th Floor, Zhongguancun Street, Haidian District, Beijing
Legal representative: Wang Weigang
Contact: Xiong Xiaoman
Customer service phone number: 400-619-9059
Website: www.hcjijin.com
(15) Tonghua Fortune (Shanghai) Fund Sales Co., Ltd.
Registration address: Room 201, No. 107, Lane 667, Tongfeng Road, Hongkou District, Shanghai
Office address: 9th Floor, Building 3, No. 799, Yanggao South Road, Lujiazui Century Financial Plaza, Pudong New District, Shanghai
Legal representative: Ma Gang
Contact: Yang Xuting
Customer service phone number: 4006695156
Website: https://www.tonghuafund.com/
(16) Ant (Hangzhou) Fund Sales Co., Ltd.
Registration address: Room 202, Building 1, No. 1, Wenyi West Road, Cangqian Street, Yuhang District, Hangzhou
Office address: Building B, Huanglong Times Square, No. 18 Wantang Road, Xihu District, Hangzhou
Legal representative: Chen Baiqing
Contact person: Han Aibin
Customer service phone: 400-766-123
Website: http://www.fund123.cn
(17) China Everbright Bank Co., Ltd.
Registration address: No. 25 Taipingqiao Street, Xicheng District, Beijing, China Everbright Center
Office address: No. 25 Taipingqiao Street, Xicheng District, Beijing, China Everbright Center
Postal code: 100033
Legal representative: Li Xiaopeng
Contact person: Zhu Hong
Customer service phone: 95595
Website: http://www.cebbank.com/
Fund managers may choose other institutions that meet the requirements as new issuance institutions of this fund according to the requirements of relevant laws and regulations, and make timely announcements.
(IV) Registration agency
Contact number: 0351-8686966
Website: www.i618.com.cn
(V) Law firm
Name: Shanghai Yuantai Law Firm
Residence: 14th Floor, China Bank Building, No. 256, Pudong South Road, Pudong New District, Shanghai
Person in charge: Liao Hai
Phone: (021) 51150298
Fax: (021) 51150398
Lawyer in charge: Liu Jia, Jiang Yaping
Contact person: Liu Jia
(VI) Accounting Firm that audits fund property
Name: Zhongxi Accounting Firm (Special General Partnership)
Residence: 11th Floor, Building A, Xincheng Cultural Building, No. 11, Chongwenmenwai Street, Chongwen District, Beijing
Office Address: 11th Floor, Building A, Xincheng Cultural Building, No. 11, Chongwenmenwai Street, Chongwen District, Beijing
Legal Representative: Zhang Zenggang
Phone: 010-68085873
Certified Public Accountant: Baiyinquan, Wudan
Contact: Wudan
Shanxi Securities Co., Ltd.
December 13, 2018
(IV) Registration agency
Contact number: 0351-8686966
Website: www.i618.com.cn
(V) Law firm
Name: Shanghai Yuantai Law Firm
Residence: 14th Floor, China Bank Building, No. 256, Pudong South Road, Pudong New District, Shanghai
Person in charge: Liao Hai
Phone: (021) 51150298
Fax: (021) 51150398
Lawyer in charge: Liu Jia, Jiang Yaping
Contact person: Liu Jia
(VI) Accounting Firm that audits fund property
Name: Zhongxi Accounting Firm (Special General Partnership)
Residence: 11th Floor, Building A, Xincheng Cultural Building, No. 11, Chongwenmenwai Street, Chongwen District, Beijing
Office Address: 11th Floor, Building A, Xincheng Cultural Building, No. 11, Chongwenmenwai Street, Chongwen District, Beijing
Legal Representative: Zhang Zenggang
Phone: 010-68085873
Certified Public Accountant: Baiyinquan, Wudan
Contact: Wudan
Shanxi Securities Co., Ltd.
December 13, 2018
