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Yingda Pure Bond A: Yingda Pure Bond Bond Securities Investment Fund Prospectus (Update) Summary (No. 1 of 2020)

Time: January 9, 2020 13:21:17 China Finance Network
Original title: Yingda Pure Debt A : Yingda Pure Debt Bond Securities Investment Fund Prospectus (Update) Summary (No. 1 of 2020)
























Yingda Pure Bond Bond Securities Investment Fund

Prospectus (updated) summary

(
2020
Year
1
number)




















Fund Manager: Yingda Fund Management Co., Ltd.

Fund Custodian: China Construction Bank Corporation

January 2020








important hint


Yingda Pure Bond Bond Securities Investment Fund (hereinafter referred to as "the Fund") has been approved by the China Securities Regulatory Commission
2013
year
2
month
6
Japan's "Review of Approval of the Proceeds of the British University Pure Bond Bond Securities Investment Fund" (License of the Securities Regulatory Commission [
2013
A
126
Number)
Open call for permission. The Fund's fund contract
2013
year
4
month
twenty four
Effective formally, the fund manager will manage the fund from that day.



Yingda Fund Management Co., Ltd. (hereinafter referred to as the "fund manager" or "manager") guarantees that the contents of the prospectus are true, accurate and complete. This prospectus is registered by the China Securities Regulatory Commission, but the registration of the fundraising by the China Securities Regulatory Commission does not indicate that it makes substantial judgments or guarantees on the value and income of the Fund, nor does it indicate that there is no risk in investing in the Fund.



The fund invests in the securities market. The fund's net value will fluctuate due to fluctuations in the securities market and other factors. Before investing in the fund, please read this prospectus carefully, fully understand the risk-return characteristics and product characteristics of the fund's products, and fully consider itself Risk tolerance, rational judgment of the market,
/
Or make independent decisions on investment behaviors such as the willingness, timing, and amount of fund purchases to obtain fund investment income, and also bear various risks in fund investment. The risks that may be encountered when investing in the Fund include, but are not limited to: systemic risks caused by the overall environment of the securities market, non-systemic risks unique to individual securities, liquidity risks caused by large redemptions or plunges, and credits generated by investing in bank deposits Risks and liquidity risks, operational risks arising from the fund's investment process, credit risks arising from settlement defaults and investment bonds, and specific risks arising from the fund's investment targets and investment strategies. This fund is a bond fund. This type of fund is a relatively low-risk investment product. Its expected risk and expected return are higher than those of money market funds and lower than those of hybrid funds and stock funds. Fund managers remind investors of the "buyer's own conceit" principle of fund investment. After investors make investment decisions, investment risks caused by changes in fund operating conditions and fund net worth are borne by investors themselves.



The Fund's fund shares are divided into Class A and C. Class A fund shares receive subscription (application) purchase fees; Class C fund shares do not receive subscription (application) purchase fees, but sales service fees are provided; Class A and C fund shares apply Different redemption rates.


Fund managers manage and use fund assets in accordance with the principles of due diligence, honesty, and prudence and diligence.
However, there is no guarantee that the fund will be profitable, nor will it guarantee a minimum return.



The fund's past performance 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 fund.




Investment is risky. Investors should read the fund's prospectus and fund contract carefully before making investment decisions.



The deadline for content contained in this prospectus is
2020
year
1
month
6
, The deadline for relevant financial data and net worth performance data is
2019
year
9
month
30
(Financial data unaudited). This prospectus has been reviewed by the fund custodian.









































































I. Fund Manager

(I) Overview of Fund Manager


Name: Yingda Fund Management Co., Ltd.


Company residence: East Third Ring Road, Chaoyang District, Beijing
1
World Financial Center West Tower
twenty two
floor
2201


Office Address: Middle East Third Ring Road, Chaoyang District, Beijing
1
World Financial Center West Tower
twenty two
floor
2201


Postal code:
100020


Legal representative:
Ma Xiaoyan


Contact:
Gu Shi


contact number:
400
-
890
-
5288 010
-
57835666


Established:
2012
year
8
month
17
day


Approval of establishment and approval of establishment number: CSRC license
[
2012] 759
number


Form of organization: limited liability company


Registered capital:
3.16
100 million yuan


Duration: continuing operations


(II) Basic information of fund managers


Yingda Fund Management Co., Ltd. (hereinafter referred to as the "Company") was established in
2012
year
8
Month is a national public fund management company established with the approval of the China Securities Regulatory Commission. Its business scope covers fund raising, fund sales, specific client asset management, asset management and other businesses permitted by the China Securities Regulatory Commission.



Company registered capital
3.16
100 million yuan, of which State Grid Yingda International Holdings Group Co., Ltd. holds shares
67.7%
,
China Communications Construction Co., Ltd.
22.8%
, Aerospace Science and Industry Finance Co., Ltd. holds shares
9.5%
, A wholly-owned subsidiary, Beijing Yingda Capital Management Co., Ltd., is mainly engaged in asset management of specific customers and other businesses permitted by laws and regulations and the China Securities Regulatory Commission.



(3) The situation of key personnel


1
Board members of fund managers


Ms. Ma Xiaoyan:
Chairman, since
2019
year
5
month
twenty two
Serving from now on,
Bachelor degree, senior accountant.

He is currently a director, deputy general manager and party member of State Grid Yingda International Holdings Group Co., Ltd. Part-time director of China Power Finance Corporation, director of Yingda International Trust Co., Ltd., and supervisor of Yingda Changan Insurance Brokerage Co., Ltd.



Chairman of the committee, executive director and general manager of China Guangdong Nuclear Power Industry Investment Fund Co., Ltd., and director of Huaxia Bank Co., Ltd. He successively served as the chief financial officer of Henan Electric Power Company, the chief accountant and chief financial officer of Henan Electric Power Industry Group Corporation, the deputy director of the audit department of Henan Electric Power Company, the chief accountant of Yingda Changan Insurance Brokers Co., Ltd.,
Member of the Party Group, Director of the Financial Assets Division of the Financial Asset Management Department of State Grid Corporation, Chief Accountant of Yingda International Holdings Group Co., Ltd., Chief Accountant and Member of the Party Committee of State Grid Yingda International Holdings Group Co., Ltd.



Mr. Zhang Tongyu: Director,
from
20
1
9
year
8
month
25
Serving from now on,
Master of Economics, University of International Business and Economics, senior accountant. Currently he is the director of Asset Management Business Department of State Grid Yingda International Holdings Group Co., Ltd.

He is also a director of Yingda International Trust Co., Ltd. and a director of Shanghai Diweixing Real Estate Development Co., Ltd. Served as the staff of the Finance Division of the Fourth Engineering Company of the Northeast Electricity Administration Bureau, the Special Funds Division of the Finance Department of Northeast Electric Power Group Corporation, the Assets and Funds Division of the Finance Department of Liaoning Province Electric Power Company, the General Division of the Finance Department of the State Power Corporation, and the Financial Management of the State Power Grid Corporation Deputy Chief of the Division, Deputy Chief of the Budget Division, Deputy Chief and Chief of the Audit Division of the Financial Asset Management Department, Chief of the Compliance and Risk Division of State Grid Asset Management Co., Ltd., and Director of the Legal Compliance Department of Yingda International Holdings Group Co., Ltd. ,
Director of Risk Management Department, Director of Risk Management Department of State Grid Yingda International Holdings Group Co., Ltd.



Mr. Wang Lisheng: Director,
from
20
14
year
9
month
18
Starting today, MBA from South China University of Technology,
Senior engineer, senior economist, national registered first-level architect. He is currently the Deputy General Manager of CCCC Investment Co., Ltd.

He successively served as the project manager and deputy general manager of the Third Engineering Company of CCCC Fourth Aviation Bureau, and the general manager of the Investment Division of CCCC Fourth Navigation Engineering Bureau Co., Ltd.



Mr. Tan Xin: Director,
from
20
19
year
8
month
25
Serving from now on,
Master of Management Economics from Nanyang Technological University, Singapore. The current director of the financial market department of Aerospace Science and Industry Finance Co., Ltd. Second Research Institute of the Ministry of Space
699
Factory, aerospace measurement and control company employees, sales manager of Hangyuan Electromechanical Equipment Company sales manager, assistant manager, deputy general manager and deputy director of the board office of aerospace science and industry finance limited liability company, deputy general manager of the capital department and deputy director of the board office (chair Work), Deputy Minister of Finance Innovation (presides work), Minister.



Ms. Ma Xiaolin:
Independent director,
from
20
17
year
11
month
29
Serving from now on,
Master of Business Administration, Senior Economist, Guanghua School of Management, Peking University.

Currently serves as the risk management director of the financial leasing risk department of Xinxing Jihua Financial Leasing Co., Ltd.

Former technical trade interpreter of Shougang Company Automation Institute,
China International Trade Center Management Department Manager,
China International Futures Brokerage Co., Ltd. is an international trader and account manager, deputy director of the Asset Management Division of the Investment Banking Department of the Industrial and Commercial Bank of China, deputy director of the Investment Bank Research Center, and senior manager of the research and development department.



Mr. Liu Shaojun: Independent director,
from
20
14
year
9
month
18
Starting post, China University of Political Science and Law, Economic Law



Dr. He is currently the director of the Financial Law Research Center of China University of Political Science and Law, the director of the Institute of Finance, Taxation and Financial Law of the School of Civil and Commercial Economics Law, a professor and a doctoral supervisor. Vice Chairman of the Banking Law Research Society of China Law Society, and Director of the Academic Committee.

Served as deputy director and associate professor of the financial business teaching and research office of the School of Finance and Economics of Shanxi University of Finance and Economics (formerly the Department of Finance and Finance of Shanxi University of Finance and Economics).



Ms. Yin Huifang: Independent director,
from
20
14
year
9
month
18
From now on, he holds a college degree and is a senior accountant.

from
2009
year
3
She officially left the job month and is now retired. He has successively served as accountant, deputy director, director, deputy chief accountant, chief accountant, director and chief accountant of the financial department of Nanjing Chenguang Group Co., Ltd .; director of Aerospace Chenguang Co., Ltd.



2
. Member of the Supervisory Board of Fund Managers


Mr. Li Jinming: Chairman of the Supervisory Board,
from
201
4
year
9
month
18
Starting post, Master of Accounting, Peking University,
senior accountant. The current director and chief accountant of CCCC Investment Co., Ltd. He successively served as the accountant of the Finance Section of the Tianjin Viaduct Project Manager Department of the First Highway Engineering Corporation of the Ministry of Communications, the chief accountant of the construction headquarters of the Huangshi Yangtze River Bridge of China Road and Bridge (Group) Corporation, and the chief accountant of Kigali Office of China Road and Bridge (Group) Corporation , Manager of Finance Department, China Road and Bridge (Group) Corporation, Kenya Nairobi Office, Manager of Finance Department of China Road and Bridge (Group) Corporation, Project Manager of China Road and Bridge (Group) Corporation Listing Office, and Finance Department of Road and Bridge International Construction Co., Ltd. Deputy manager and manager, China Road and Bridge Group (Hong Kong) Co., Ltd. Finance Department Manager, Chief Financial Officer, Deputy General Manager and Chief Financial Officer, China Communications Highway Planning and Design Institute Co., Ltd.
Chief accountant and general counsel.



Ms. Song Furong:
Supervisor,
from
201
7
year
3
month
29
Serving from now on,
University degree, senior accountant.

He is currently the director of the Audit Department of State Grid Yingda International Holdings Group Co., Ltd. He successively served as the cashier and accounting director of the Finance Department of Guizhou Electric Power Construction First Engineering Company, the director of capital and electricity prices of the Financial Assets Department of Guizhou Electric Power Company, the director of the electricity fee room of the North Power Supply Bureau of Guiyang City, Guizhou Province, the financial director of Changan Insurance Brokers Co., Ltd. The member of the financial and accounting group of the preparatory group of the China Grid Life Insurance Company, the director of the financial management department and the assistant to the director of the financial accounting department of Yingda Taihe Life Insurance Co., Ltd., the staff of the financial assets department of Yingda International Holdings Group Co., Ltd.,
Assistant to the Director, Assistant to the Director of the Financial Assets Department of State Grid Yingda International Holdings Group Co., Ltd., Assistant to the Director of the Audit Department,
Deputy Director of the Audit Department.



Mr. Geng Fan:
Employee supervisor, since
2018
year
1
month
8
Serves as of today. University degree, Bachelor of Management,
Bachelor of Laws, double degree, currently Deputy General Manager and Human Resources Leader of General Management Department of Yingda Fund Management Co., Ltd.



people. He has been responsible for human resources in the general department of Luneng Jinsui Futures Brokerage Co., Ltd., responsible for the human resources department of Yingda Futures Co., Ltd., and director and senior executive of the human resources department of State Grid Yingda International Holdings Group Co., Ltd.



3
Senior company executives


Mr. Zhu Zhi, General Manager, since
2017
year
7
month
25
Serving from now on,
2019
year
9
month
26
Since then, he has also served as executive director of Beijing Yingda Capital Management Co., Ltd. He graduated from the Department of International Finance of Fudan University, a bachelor's degree, and a senior economist. Successively served as project manager of China Power Finance Corporation and State Grid Asset Management Co., Ltd., manager, assistant director and deputy director of Development Planning Department of State Grid Yingda International Holdings Group Co., Ltd., and deputy director of insurance business department of State Grid Yingda International Holdings Group Co., Ltd. , Deputy General Manager of Yingda Fund Management Co., Ltd.



Mr. Fan Yuhui, Deputy General Manager, since
2018
year
12
month
12
He is currently serving as a postgraduate degree.

Successively served as Deputy Manager and Manager of the Trading Department of the Tianjin Securities Business Department of China Power Trust and Investment Co., Ltd., Deputy General Manager of the Tianjin Securities Business Department, Deputy General Manager of the Beijing Securities Business Department, Deputy Director of the Bond Fund Department of China Power Finance Co., Ltd.,
Deputy Director of the Investment Banking Department, General Manager of Shanghai Guodian Investment Co., Ltd., Director of the Supervision Office of China Power Finance Corporation, Director of the Investment Banking Department, Director of the Investment Management Department, and General Manager of North China Branch.



Mr. Zhang Dayuan, Assistant General Manager (Director of Investment) and General Manager of Fixed Income Department,
2019
year
6
month
28
Began to perform senior management positions, master degree. Former senior analyst of BOCI Securities Co., Ltd., deputy general manager of fixed income department and deputy general manager of asset management department of China International Capital Corporation,
Assistant General Manager of Morgan Stanley Huaxin Fund Management Co., Ltd., Director of Fixed Income Investment Department, Minsheng Fund Management Co., Ltd.
(
Raise
)
vice president.

4
Inspector


Mr. Liu Kangxi, Chief Inspector, since
201
9
year
10
month
twenty four
Serves as of today.

Master degree.

He once worked in the Discipline Inspection Commission, Supervision Bureau of Huairou District of Beijing, Beijing Legal Aid Center, and Beijing Supervision Bureau of China Securities Regulatory Commission.

2018
year
1
Joined Yingda Fund Management Co., Ltd.
Former Deputy General Manager of the Supervision and Audit Department (chairing the work),
General manager.



5
Fund Manager


Mr. Zhang Dayuan, MBA from The Chinese University of Hong Kong. He successively served as senior analyst of BOCI Securities Limited, deputy general manager of fixed income department and deputy general manager of asset management department of China International Capital Corporation, assistant general manager of Morgan Stanley Huaxin Fund Management Co., Ltd., and director of fixed income investment department Minsheng Fund Management Co., Ltd.
(
Raise
)
vice president.

2019
year
5
He joined Anglo-Fund in May, and is currently the assistant general manager (investment director) and general manager of the fixed income department.



Fund manager of a securities investment fund.



Mr. Yi Qikun, Bachelor of Science from Peking University. Former Huanfu Investment Consulting (Shanghai) Co., Ltd. was a derivative trader.

2013
year
10
He joined Yingda Fund Management Co., Ltd. in the past month, and successively served as a trader in the transaction management department and a deputy general manager in the transaction management department. The current yingda cash treasure money market fund, yingda flexible configuration hybrid initiated securities investment fund,
Fund manager of Ying Datong Ying Pure Bond Bond Securities Investment Fund.



Ms. Zhang Linna, former fund manager, since
2014
year
12
month
10
Day to
2017
year
12
month
29
Japan as the fund manager of the fund.



6
List of members of the Investment Decision Committee


The names and positions of members of the company's investment decision-making committee are as follows:


Chairman: Zhu Zhi


Executive Committee:
Zhang Dazhen


Members:
Liu Jiarui, Yi Qikun,
Zheng Zhonghua


secretary:
Zhang Yuan


There is no close relationship between the above persons.



(4) Rights and obligations of fund managers


1
Fund managers' rights


According to the Fund Law and other relevant laws and regulations, the rights of fund managers are:


(
1
) From the effective date of this fund contract, independently use the fund property in accordance with relevant laws and regulations and the provisions of this fund contract;


(
2
) Obtain fund management fees and other income required by laws and regulations or approved by the regulatory authority in accordance with the fund contract;


(
3
) Offer fund shares;


(
4
) Exercising the rights arising from the investment of fund assets in securities in accordance with relevant regulations;


(
5
) Subject to relevant laws and regulations, formulate and adjust relevant fund subscriptions, subscriptions, redemptions,
The rules for business operations such as conversion, non-transaction transfer, and custody transfer shall determine and adjust the fund's relevant fee structure and charging method in addition to increasing the custody fee rate and management fee rate within the scope prescribed by laws and regulations and the Fund Contract;


(
6
) Supervising the Fund Custodian in accordance with the Fund Contract and relevant regulations, and for the Fund Custodian's violation of the Fund Contract or relevant laws and regulations, causing significant losses to the fund property and the interests of other parties



The situation of the company shall be reported to the China Securities Regulatory Commission in a timely manner and necessary measures shall be taken to protect the interests of the fund and related parties;


(
7
) Within the scope agreed in the fund contract, refuse or suspend acceptance of purchase and redemption applications;


(
8
) As long as the laws and regulations allow, fund raising and securities lending for the fund according to law for the benefit of the fund;


(
9
) Acting as or selecting or replacing a registration agency, obtaining the register of fund unit holders, and conducting necessary supervision and inspection on the agency behavior of the registration agency;


(
10
) Select and replace agency sales agencies, and in accordance with the fund sales service agency agreement and relevant laws and regulations,
The necessary supervision and inspection of their actions;


(
11
) Selecting or replacing law firms, accounting firms, securities brokers or other external agencies that provide services to the fund;


(
12
) Nominate a new fund custodian when the fund custodian is replaced;


(
13
) Convene a meeting of fund share holders in accordance with the law;


(
14
) Other rights provided by laws and regulations and fund contracts.



2
Fund managers' obligations


According to the Fund Law and other relevant laws and regulations, the obligations of a fund manager are:


(
1
) Raising funds in accordance with the law, and handling or entrusting other institutions recognized by the China Securities Regulatory Commission to handle the sale, purchase, redemption and registration of fund shares on their behalf;


(
2
) Go through the formalities of fund registration;


(
3
) Since the effective date of the fund contract, the fund assets shall be managed and used in good faith, diligence and due diligence;


(
4
) Equip sufficient qualified personnel to carry out fund investment analysis and decision-making, and manage and operate fund assets in a professional manner;


(
5
) Establish and improve internal risk control, supervision and auditing, financial management and personnel management systems to ensure that the assets of the funds under management and the assets of the managers are independent of each other, separately manage the different funds under management, keep separate accounts, and invest in securities;


(
6
) Except in accordance with the Fund Law, fund contracts and other relevant regulations, you must not seek benefits for yourself and any third party, and you must not entrust a third party to operate the fund property;


(
7
) Accept the supervision of the fund custodian according to law;


(
8
) Calculate and announce the fund's net worth information, determine the fund unit purchase and redemption prices;



(
9
) Take appropriate and reasonable measures to make the method of calculating the price of subscription, purchase, redemption and cancellation of fund shares in line with the provisions of legal documents such as fund contracts;


(
10
) Accept purchase and redemption applications in accordance with regulations, and pay redemptions in a timely and full amount;


(
11
) Perform fund accounting and prepare fund financial accounting reports;


(
12
) Preparation quarter,
Interim and annual fund reports;


(
13
) In strict accordance with the Fund Law, fund contracts and other relevant regulations, perform information disclosure and reporting obligations;


(
14
) Keep the fund's trade secrets confidential, and must not disclose the fund's investment plan, investment intention, etc., except for the Fund Law,
Unless otherwise stipulated in the fund contract and other relevant regulations, it shall be kept secret before the fund information is publicly disclosed, and shall not be disclosed to others;


(
15
) Determine the fund income distribution plan in accordance with the agreement of the fund contract, and distribute the income to the fund share holders in a timely manner;


(
16
) Convening a meeting of fund unit holders or cooperating with fund custodians and fund unit holders in accordance with the Fund Law, fund contracts and other relevant regulations;


(
17
) Keep records, accounts, statements and other relevant information of the fund property management business activities;


(
18
) In the name of the fund manager, exercise litigation rights or perform other legal acts on behalf of the fund unit holders' interests;


(
19
) Organize and participate in the fund property liquidation team, participate in the custody, liquidation, valuation, realization and distribution of fund property;


(
20
) Loss of fund property or damage to the legal rights and interests of fund unit holders due to violation of the fund contract,
Shall bear liability for compensation, and its liability for compensation shall not be waived for his retirement;


(
twenty one
) When the fund custodian violates the fund contract and causes loss of fund property, it shall recover from the fund custodian for the benefit of the fund unit holder;


(
twenty two
) Provide the Fund Custodian with the Fund Unit Holder Roster information as required;


(
twenty three
) In the event of dissolution, cancellation in accordance with law or bankruptcy declared in accordance with law, report to the CSRC in time and notify the fund custodian;


(
twenty four
) Implementation of the resolutions of the fund unit holders in force;


(
25
) Do not engage in any activities that harm the interests of the fund and other fund parties;



(
26
) Exercise shareholder rights for the invested company for the benefit of the fund in accordance with laws and regulations, and exercise the rights arising from the investment of the fund's assets in securities for the benefit of the fund, without seeking to control and directly manage the listed company;


(
27
) Other obligations under laws and regulations, China Securities Regulatory Commission and fund contracts.



(V) Fund Manager's Commitment


1
2. The fund manager promises not to engage in violations of the Securities Law of the People's Republic of China, and promises to establish a sound internal control system and take effective measures to prevent violations of the Securities Law of the People's Republic of China


2
2. The fund manager promises not to engage in the following acts in violation of the Fund Law, the Operating Measures and the Sales Measures, and promises to establish a sound internal risk control system and take effective measures to prevent the following actions:


(
1
) Mix its inherent property or other person's property with fund property for securities investment;


(
2
) Unfairly treat different fund assets under its management;


(
3
) Use the property of the fund to obtain benefits for a third party other than the holder of the fund share;


(
4
) Illegal commitment to gains or losses to fund unit holders;


(
5
) Use the fund for the following investments or activities:


1
) Underwriting securities;


2
) Loans or guarantees to others in violation of regulations;


3
) Engage in investments with unlimited liability;


4
) Buy and sell other fund shares, except as otherwise provided by the State Council;


5
) Contribute to its fund manager and fund custodian;


6
) Engaging in insider trading, manipulation of securities trading prices and other improper securities trading activities;


7
) Other activities prohibited by laws, administrative regulations and the CSRC.



The use of fund property to buy and sell fund managers, fund custodians, their controlling shareholders, actual controllers, or securities issued by companies with other significant interests, or securities underwritten during the underwriting period, or engage in other major related transactions, shall follow the fund The principle of giving priority to the interests of share holders, preventing conflicts of interest, complying with the regulations of the securities regulatory authority of the State Council, and fulfilling the obligation of information disclosure.



3
Fund managers promise to strengthen personnel management, strengthen professional ethics, urge and restrict employees to comply with relevant national laws, regulations and industry norms, be honest, diligent and responsible, and do not engage in the following activities:


(
1
) Unauthorized or illegal operation;



(
2
) Violation of fund contract or custody agreement;


(
3
) Deliberately damage the legitimate rights and interests of fund share holders or other fund-related institutions;


(
4
) Fraudulent in the materials submitted to the CSRC;


(
5
) Refuse, interfere, obstruct or seriously affect the supervision of the China Securities Regulatory Commission according to law;


(
6
) Neglect of duty and abuse of authority;


(
7
) Disclose information about securities, fund commercial secrets, fund investment content and fund investment plans that have not been made public according to law during his tenure;


(
8
) In addition to investing in fund operations in accordance with the company's system, directly or indirectly investing in other stocks;


(
9
) Assisting, accepting entrustment or conducting securities transactions for other organizations or individuals in any other form;


(
10
) Violating the business rules of securities trading venues, using counter-knockouts, and liquidation to manipulate market prices and disrupt market order;


(
11
) Depreciate peers to improve themselves;


(
12
) Intentionally contains false, misleading, and fraudulent elements in public information disclosure and advertising;


(
13
) Seeking business development by improper means;


(
14
) It violates social morality and damages the image of securities investment fund personnel;


(
15
) Other acts prohibited by laws and administrative regulations.



4
Fund managers promise:


(
1
) Pursuant to the relevant laws, regulations and fund contract, in accordance with the principle of prudence, to maximize the benefits for fund unit holders;


(
2
) To gain advantage for yourself, the employee or any third party without using the post;


(
3
) Don't divulge information about the securities and funds' trade secrets learned during his tenure, and the fund's investment content, fund investment plan and other information that have not been made public according to law;


(
4
) Do not trade securities for other organizations or individuals in any way.



(6) Risk management and internal control system of fund managers


1
, Risk management philosophy and goals


(
1
) Ensure legal and compliant operations;


(
2
) Prevent and mitigate risks;


(
3
) Improve operating efficiency;



(
4
) Protect the legitimate rights and interests of investors and shareholders.



2
Risk management measures


(
1
) Establish and improve the organizational structure of the company;


(
2
) Establish the authority and independence of the supervision and audit function;


(
3
) Strengthen internal control training to cultivate risk management awareness and supervision culture for all employees;


(
4
) Establishing employee behavior standards and disciplinary procedures;


(
5
) Establish a post separation system;


(
6
) Establish crisis management and disaster recovery plans.



3
Of risk management and internal control


(
1
) Comprehensive principle: The company's risk management must cover all departments and positions of the company and penetrate all business processes and business links;


(
2
) Independence principle: the responsibilities of each company's institutions, departments and posts should be kept relatively independent, and the operation of the company's fund assets, its own assets and other assets should be separated;


(
3
) Mutual restriction principle: The company and each department should form a mutual restriction mechanism in the design of the internal organizational structure, and establish a system of checks and balances between different positions;


(
4
) The principle of combining qualitative and quantitative: establish a complete risk management index system to make risk management more objective and operational;


(
5
) Firewall principle: The operation of fund assets, company-owned assets, and other assets should be strictly separated and independently accounted for.



4
Internal control system


I
Organization structure of internal control


1
) Board of Directors Risk Management and Audit Committee: responsible for checking and evaluating the legality and compliance of the company's business management and fund business operations; evaluating the effectiveness of the company's supervision and auditing system; monitoring the company's financial status and auditing the company's financial Statements to evaluate the company's financial performance,
Ensure that the company's financial operations comply with legal requirements and common accounting standards; evaluate the company's risk management system, draft the company's risk management strategy, check the implementation of the company's risk management system, and assess the company's risk management status.



2
) Risk Control Committee:
Risk control committee: a deliberative body that assists the general manager in controlling the company's risk, formulates the company's risk management system and policies under the leadership of the general manager's office, and uniformly leads and coordinates the company



Risk control and compliance work, comprehensive discussion and decision on the risk assessment report submitted by the supervision and audit department, so that the risk policy is effectively implemented.



3
) Investment decision-making committee: The investment decision-making committee is the highest decision-making body of the company's investment management. It consists of the company's general manager, deputy general managers, investment managers, investment department managers, senior fund managers, and research department managers.
The Inspector General attended the meeting. The main responsibilities of the investment decision-making committee are: to formulate the company's investment decision-making procedures and authority settings; to formulate the fund's investment principles, investment objectives and investment concepts; to formulate the fund's asset allocation ratio, to formulate and periodically adjust the overall investment plan; Industry configuration and investment varieties that exceed the authority of the fund manager and investment director; approve the annual investment plan of the fund manager and evaluate its implementation; regularly check and adjust investment restrictive indicators.



4
) Chief Inspector: The Chief Inspector adheres to principles, is independent and objective, and takes the protection of the interests of fund share holders as the fundamental starting point and treats all investors fairly. The main duties of the chief inspector are: internal monitoring and inspection of the company's operations and management, fund operation compliance, and risk control; monitoring and inspection of the legal compliance of the company's various systems and the implementation of the company's internal control system ; Report the problems found in the above monitoring and inspection to the management and put forward suggestions for rectification and treatment; submit work reports to the board of directors regularly; review the work report of the supervision and audit department.



5
) Supervision and Audit Department: Responsible for the company's management and assist the chief inspector in carrying out his work. The Supervision and Audit Department conducts independent re-supervision on the basis of self-inspection by each department in accordance with the prescribed duties and powers and working procedures, manages and monitors the risks of the company's operating laws and regulations, and maintains a relatively independent relationship with each department of the company. The Supervision and Audit Department is mainly responsible for checking the legal compliance of the company's system, supervising the implementation of various systems, monitoring the risks of possible violations of laws and regulations, reporting in a timely manner, and making suggestions and suggestions for improvement.



II
Principles of Internal Control


The company's internal control follows the following principles
:


(1)
Principle of soundness: Internal control should include the company's various businesses, departments or institutions and personnel at all levels, and cover all aspects of decision-making, implementation, supervision, feedback, etc .;


(2)
Effectiveness principle: Through scientific internal control methods and methods, establish reasonable internal control procedures and maintain the effective implementation of the internal control system;


(3)
Independence principle: The company has established an independent law, supervision and audit department, which maintains a high degree of independence and authority, and is responsible for auditing and inspecting the risk control work of various departments of the company;



(4)
The principle of mutual restriction: the establishment of internal departments and positions of the company should have clear powers and responsibilities, and check and balance each other;


(5)
Cost-benefit principle: The company uses scientific management methods to reduce operating costs, improve economic benefits, and achieve the best internal control results with reasonable cost control.



The company's internal control system follows the following principles:


(
1
) Principle of legal compliance: the internal control system of the company shall comply with national laws, regulations, rules and regulations;


(
2
) Comprehensiveness principle: The internal control system covers all aspects of company management, and there must be no gaps or loopholes in the system;


(
3
) The principle of prudence: the establishment of an internal control system should be based on prudent management, prevention and mitigation of risks;


(
4
) Timeliness principle: The formulation of the internal control system should be modified or improved in a timely manner with the adjustment of relevant laws and regulations and changes in the internal and external environment such as the company's business strategy, business policy, and business philosophy.



III
Internal risk control measures


Establish a scientific and reasonable internal control system with strict control and efficient operation and a sound internal control system.

Since the establishment of the company, in accordance with the requirements of the China Securities Regulatory Commission, a scientific and reasonable internal control organizational structure, control procedures and control measures, and control responsibilities have been established to operate an efficient and strict internal control system. Through continuous modification of the internal control system, the company has initially formed a relatively complete internal control system.



Established and improved management systems and business rules: The company has established basic management systems including risk management systems, investment management systems, fund accounting systems, information disclosure systems, supervision and auditing systems, information technology management systems, and company financial systems, including job settings, Job responsibilities, business processes including operational manuals,
Regulations, etc., to control risks from basic management systems and business processes.



Established an internal control mechanism for separation of posts and mutual checks and balances: The company adopted a strict separation system in the establishment of posts, and realized separation of funds investment and trading, trading and settlement, corporate accounting and fund accounting, and formed different positions. The mechanism of mutual checks and balances reduces and prevents operational and ethical risks from the setting of posts.



Establishing and perfecting the post responsibility system: The company has established and perfected the post responsibility system so that each employee can clarify his own post responsibilities and risk management responsibilities.



Building a risk management system: By establishing risk assessment, early warning, reporting and control, and oversight procedures,



And through appropriate control processes, regularly, or in real time, assess, warn and supervise risks, so as to identify, assess and warn risks related to company management and fund operation, and conduct smooth supervision and management of risk issues through smooth reporting channels. And control to enable departments and management to grasp the risk situation in a timely manner and quickly make risk control decisions. Establishing an automated supervision and control system: The company has enabled electronic investment and trading systems to limit investment proportions, which will effectively prevent compliance operation risks and operational risks.



Use of quantitative risk management methods: use quantitative and technical risk control methods to establish a quantitative risk management model so that companies can take effective measures in a timely manner to diversify, avoid and control risks.
Minimize losses.



Provide adequate training: developed a complete training plan to provide adequate and appropriate training for all employees,
Make employees have higher professional standards, and control the risks brought about by professionalization issues from the perspective of training professional financial management teams.



5
2. Statement of Fund Manager on Internal Compliance Control


The company promises that the above disclosure on internal control is true and accurate;


The company is committed to continuously improve its internal control system and internal control system based on market changes and company development.







Fund Custodian

(I) Fund Custodian


1.
basic situation


Name: China Construction Bank Corporation
(
Abbreviation: China Construction Bank
)


Address: Financial Street, Xicheng District, Beijing
25
number


Office address: Naoshikou Street, Xicheng District, Beijing
1
House
1
Building


Legal representative: Tian Guoli


Established:
2004
year
09
month
17
day


Organization form: joint stock company


Registered Capital: Wu Wuyi, Yiyi, Yili, Shiji, Wanjisi, Luyuanzhen


Duration: continuing operations


Fund Custody Qualification Approval and Document Number: China Securities Regulatory Commission
[1998] 12
number


Contact: Tian Qing


contact number:
(010) 6759 5096


China Construction Bank was established in
1954
year
10
Is a leading domestic and internationally known large-scale joint-stock commercial bank with headquarters in Beijing. This bank at
2005
year
10
Listed on the Hong Kong Stock Exchange
(
Stock code
939)
,to
2007
year
9
Listed on the Shanghai Stock Exchange
(
Stock code
601939)
.



2018
Group assets at the end of the year
23.22
Trillion yuan, an increase over the previous year
4.96%
.

2018
In the year, the group achieved net profit
2,556.26
100 million yuan, an increase over the previous year
4.93%
; Average return on assets and weighted average return on net assets are
1.13%
with
14.04%
; NPL ratio
1.46%
To maintain stability and decrease; capital adequacy ratio
17.19%
To stay ahead of the industry.



2018
The Group was awarded the "Asian Banker" in Singapore in "
2018
China's Best Large Retail Bank Award ","
2018
China Comprehensive Risk Management Achievement Award "; US" Global Finance "" Global Trade Finance Most Innovative Bank "," Banker ""
2018
"Best Financial Innovation Award", "Financial Times"
2018
Golden Dragon Award —
"Best Inclusive Financial Services Bank of the Year" and many other important awards. The Group also won the British "Banker", Hong Kong "Asia Currency" magazine "
2018
"China's Best Bank" title and the China Banking Association
2018
In the "Gyro" evaluation, it ranked first among national commercial banks.




China Construction Bank's head office has an asset custody business department, which includes an integrated and compliance management office, a fund market office,
证券保险资产市场处、理财信托股权市场处、养老金托管处、全球托管处、新兴业务处、运营管理处、托管应用系统支持处、跨境托管运营处、合规监督处等
11
个职能处室,在安徽合肥设有托管运营中心,在上海设有托管运营中心上海分中心,共有员工
300
余人。 from
2007
年起,托管部连续聘请外部会计师事务所对托管业务进行内部控制审计,并已经成为常规化的内控工作手段。



2.
主要人员情况


蔡亚蓉,资产托管业务部总经理,曾先后在中国建设银行总行资金计划部、信贷经营部、公司业务部以及中国建设银行重组改制办公室任职,并在总行公司业务部担任领导职务。长期从事公司业务,具有丰富的客户服务和业务管理经验。



龚毅,资产托管业务部资深经理(专业技术一级),曾就职于中国建设银行北京市分行国际部、营业部并担任副行长,长期从事信贷业务和集团客户业务等工作,
具有丰富的客户服务和业务管理经验。



黄秀莲,资产托管业务部资深经理(专业技术一级),曾就职于中国建设银行总行会计部,长期从事托管业务管理等工作,具有丰富的客户服务和业务管理经验。



郑绍平,资产托管业务部副总经理,曾就职于中国建设银行总行投资部、委托代理部、战略客户部,长期从事客户服务、信贷业务管理等工作,具有丰富的客户服务和业务管理经验。



原玎,资产托管业务部副总经理,曾就职于中国建设银行总行国际业务部,长期从事海外机构及海外业务管理、境内外汇业务管理、国外金融机构客户营销拓展等工作,具有丰富的客户服务和业务管理经验。



3.
基金托管业务经营情况


作为国内首批开办证券投资基金托管业务的商业银行,中国建设银行一直秉持“以客户为中心”的经营理念,不断加强风险管理和内部控制,严格履行托管人的各项职责,切实维护资产持有人的合法权益,为资产委托人提供高质量的托管服务。

经过多年稳步发展,中国建设银行托管资产规模不断扩大,托管业务品种不断增加,
已形成包括证券投资基金、社保基金、保险资金、基本养老个人账户、
(R)QFII
,
(R)QDII
、企业年金、存托业务等产品在内的托管业务体系,是目前国内托管业务品



种最齐全的商业银行之一。 As of
2019
年二季度末,中国建设银行已托管
924
只证券投资基金。中国建设银行专业高效的托管服务能力和业务水平,赢得了业内的高度认同。中国建设银行先后
9
次获得《全球托管人》“中国最佳托管银行”、
4
次获得《财资》“中国最佳次托管银行”、连续
5
年获得中债登“优秀资产托管机构”等奖项,并在
2016
年被《环球金融》评为中国市场唯一一家“最佳托管银行”、在
2017
年荣获《亚洲银行家》“最佳托管系统实施奖”。



(二)基金托管人的内部控制制度


1.
内部控制目标


作为基金托管人,中国建设银行严格遵守国家有关托管业务的法律法规、行业监管规章和本行内有关管理规定,守法经营、规范运作、严格监察,确保业务的稳健运行,保证基金财产的安全完整,确保有关信息的真实、准确、完整、及时,保护基金份额持有人的合法权益。



2.
内部控制组织结构


中国建设银行设有风险与内控管理委员会,负责全行风险管理与内部控制工作,
对托管业务风险控制工作进行检查指导。资产托管业务部配备了专职内控合规人员负责托管业务的内控合规工作,具有独立行使内控合规工作职权和能力。



3.
内部控制制度及措施


资产托管业务部具备系统、完善的制度控制体系,建立了管理制度、控制制度、
岗位职责、业务操作流程,可以保证托管业务的规范操作和顺利进行;业务人员具备从业资格;业务管理严格实行复核、审核、检查制度,授权工作实行集中控制,
业务印章按规程保管、存放、使用,账户资料严格保管,制约机制严格有效;业务操作区专门设置,封闭管理,实施音像监控;业务信息由专职信息披露人负责,防止泄密;业务实现自动化操作,防止人为事故的发生,技术系统完整、独立。



(三)基金托管人对基金管理人运作基金进行监督的方法和程序


1.
监督方法


依照《基金法》及其配套法规和基金合同的约定,监督所托管基金的投资运作。

利用自行开发的“新一代托管应用监督子系统”,严格按照现行法律法规以及基金合同规定,对基金管理人运作基金的投资比例、投资范围、投资组合等情况进行监督。




在日常为基金投资运作所提供的基金清算和核算服务环节中,对基金管理人发送的投资指令、基金管理人对各基金费用的提取与开支情况进行检查监督。



2.
监督流程


(
1
)每工作日按时通过新一代托管应用监督子系统,对各基金投资运作比例控制等情况进行监控,如发现投资异常情况,向基金管理人进行风险提示,与基金管理人进行情况核实,督促其纠正,如有重大异常事项及时报告中国证监会。



(
2
)收到基金管理人的划款指令后,对指令要素等内容进行核查。



(
3
)通过技术或非技术手段发现基金涉嫌违规交易,电话或书面要求基金管理人进行解释或举证,如有必要将及时报告中国证监会。































三、相关服务机构

(一)基金份额发售机构


1
、直销机构


名称:英大基金管理有限公司


公司住所:北京市朝阳区东三环中路
1
号环球金融中心西塔
twenty two

2201


办公地址:北京市朝阳区东三环中路
1
号环球金融中心西塔
twenty two

2201


Postal code:
100020


Legal representative:
Ma Xiaoyan


Established:
2012
year
8
month
17
day


批准设立机关及批准设立文号:中国证监会证监许可
[
2012]759
number


组织形式:有限责任公司


Registered capital:
3.16
100 million yuan


存续期间:持续经营


客户服务电话:
400
-
890
-
5288


传真:(
010
)
59112222


Contact:
顾诗


URL:
www.ydamc.com


2
、代销机构:


(
1
)中国建设银行股份有限公司


住所:北京市西城区金融大街
25
number


办公地址:北京市西城区金融大街
25
number


法定代表人:田国立


客户服务电话:
95533


URL:
www.ccb.com


(
2
)
广发银行股份有限公司


residence:
广州市越秀区东风东路
713
number


office address:
广州市越秀区东风东路
713
number



Legal representative:
杨明生


客户服务电话:
4008308003


URL:
www.cgbchina.com.cn


(
3
华夏银行股份有限公司


residence:
北京市东城区建国门内大街
twenty two
number


office address:
北京市东城区建国门内大街
twenty two
number


Legal representative:
李民吉


客户服务电话:
95577


URL:
www.hxb.com.cn


(
4
)
中国光大银行股份有限公司


住所:北京市西城区太平桥大街
25
号中国光大中心


办公地址:北京市西城区太平桥大街
25
号中国光大中心


法定代表人:李晓鹏


客户服务电话:
95595


URL:
www.cebbank.com


(
5
)英大证券有限责任公司


住所:深圳市福田区深南中路华能大厦三十、三十一层


办公地址:深圳市福田区深南中路华能大厦三十、三十一层


Legal representative:
吴骏


客户服务电话:
4000188688


URL:
www.ydsc.com.cn


(
6
中信证券股份有限公司


住所:广东省深圳市福田区中心三路
8
号卓越时代广场
(
二期
)
北座


办公地址:北京市朝阳区亮马桥路
48
中信证券大厦


法定代表人:张佑君


客户服务电话:
95548


URL:
www.cs.ecitic.com


(
7
国泰君安证券股份有限公司



residence:
中国(上海)自由贸易试验区商城路
618
number


办公地址:上海市浦东新区银城中路
168
上海银行大厦
29



法定代表人:杨德红


客户服务电话:
95521


URL:
www.gtja.com


(
8
中国银河证券股份有限公司


住所:北京市西城区金融大街
35
number
2
-
6
Floor


办公地址:北京市西城区金融大街
35
号国际企业大厦
C
seat


Legal representative:
陈共炎


客户服务电话:
95551


URL:
www.chinastock.com.cn


(
9
中信建投证券股份有限公司


住所:北京市朝阳区安立路
66
number
4
号楼


办公地址:北京市朝阳门内大街
188
number


法定代表人:王常青


客户服务电话:
95587


URL:
www.csc108.com


(
10
)中国民生银行股份有限公司


注册地址:北京市西城区复兴门内大街
2
number


办公地址:北京市西城区复兴门内大街
2
number


法定代表人:洪崎


客户服务电话:
95568


URL:
www.cmbc.com.cn


(
11
招商证券股份有限公司


住所:深圳市福田区福田街道福华一路
1
11
号层


办公地址:深圳市福田区益田路江苏大厦
A
seat
40
Floor


法定代表人:霍达


客户服务电话:
95565



URL:
www.newone.com.
cn


(
12
海通证券股份有限公司


residence:
上海市广东路
689
number


office address:
上海市广东路
689
海通证券大厦


Legal representative:
Zhou Jie


客户服务电话:
95553


URL:
www.htsec.com


(
13
)湘财证券股份有限公司


住所:长沙市天心区湘府中路
198
号新南城商务中心
A

11



办公地址:长沙市天心区湘府中路
198
号新南城商务中心
A

11



Legal representative:
Lin Junbo


客户服务电话:
95351


URL:
www.xcsc.com


(
14
)
Ping An Securities
Company limited by shares


住所:深圳市福田区益田路
5
033
号平安金融中心
6
1
Floor
-
64
Floor


办公地址:深圳市福田中心区金田路
4036
号荣超大厦
16
-
20



法定代表人:何之江


客户服务电话:
95511
-
8


URL:
www.stock.pingan.com


(
15
中信证券 (山东)有限责任公司


residence:
青岛市崂山区深圳路
222
number
1
号楼
2001


办公地址:青岛市崂山区深圳路
222
号青岛国际金融广场
1
号楼第
20
Floor


Legal representative:
姜晓林


客户服务电话:
95548


URL:
www.zxwt.com.cn


(
1
6
)
开源证券股份有限公司


residence:
陕西省西安市高新区锦业路
1
号都市之门
B
seat
5
Floor


office address:
陕西省西安市高新区锦业路
1
号都市之门
B
seat
5
Floor



Legal representative: Li Gang


客户服务电话:
95325


URL:
www.kysec.cn


(
1
7
)
Datong Securities Co., Ltd.


residence:
大同市城区迎宾街
1
5
号桐城中央
2
1
Floor


办公地址:山西省太原市小店区长治路世贸中心
12
Floor


法定代表人:董祥


客户服务电话:
400
-
712
-
1212


URL:
www.dtsbc.com.cn


(
1
8
)
兴业银行股份有限公司


住所:福州市湖东路
154
number


办公地址:福州市湖东路
154
number


法定代表人:高建平


客户服务电话:
95561


URL:
www.cib.com.cn


(
19
)
CITIC Futures Co., Ltd.


residence:
广东省深圳市福田区中心三路
8
号卓越时代广场(二期)北座
13
Floor
1301
-
1305
室、
14
Floor


office address:
广东省深圳市福田区中心三路
8
号卓越时代广场(二期)北座
13
Floor
1301
-
1305
室、
14
Floor


法定代表人:张皓


客户服务电话:
400
-
990
-
8826


URL:
www.citicsf.com


(
20
)
万联证券股份有限公司


住所:广州市天河区珠江东路
11
number
18
,
19
楼全层


办公地址:广东省广州市天河区珠江东路
11
号高德置地广场
F
seat
18
,
19
Floor


法定代表人:张建军


客户服务电话:
95322



URL:
www.wlzq.cn


(
twenty one
)北京展恒基金销售股份有限公司


住所:北京市顺义区后沙峪镇安富街
6
number


office address:
北京市朝阳区安苑路
15
-
1
号邮电新闻大厦
2
Floor


法定代表人:闫振杰


客户服务电话:
400
-
818
-
8000


(
twenty two
)
蚂蚁(杭州)基金销售有限公司


residence:
杭州市余杭区仓前街道文一西路
1218
number
1
Building
202



办公地址:杭州市西湖区万塘路
18
号黄龙时代广场
B
seat
6



法定代表人:陈柏青


客户服务电话:
4000
-
766
-
123


URL:
www.fund123.cn


(
twenty three
)上海长量基金销售投资顾问有限公司


住所:上海市浦东新区高翔路
526
number
2
Building
220



办公地址:上海市浦东新区浦东大道
555
号裕景国际
B
seat
16
Floor


法定代表人:张跃伟


客户服务电话:
400
-
820
-
2899


Official website
:
www.erichfund.com


(
2
4
)深圳众禄基金销售股份有限公司


住所:深圳市罗湖区梨园路物资控股置地大厦
8



办公地址:深圳市罗湖区梨园路物资控股置地大厦
8



法定代表人:薛峰


客户服务电话:
4006
-
788
-
887


Official website
:
www.zlfund.cn


(
25
)
北京中期时代基金销售有限公司


住所:北京市朝阳区建国门外光华路
14
number
1
Building
11
Floor
1103
number


office address:
北京市朝阳区光华路
16
号中期大厦
A
seat
8
Floor


Legal representative:
田宏莉



客户服务电话:
95162;400-8888-160


Official website
:
http://www.cifcofund.com


(
26
)上海天天基金销售有限公司


住所:上海市徐汇区龙田路
190
number
2
号楼
2
Floor


office address:
上海市徐汇区宛平南路
88
number


法定代表人:其实


客户服务电话:
400
-
1818
-
188


Official website
:http://1234567.com.cn


(
27
)上海好买基金销售有限公司


住所:上海市虹口区欧阳路
196
number
26
号楼
2

41
number


办公地址:上海市浦东新区浦东南路
1118
鄂尔多斯国际大厦
903
~
906



法定代表人:杨文斌


客户服务电话:
400
-
700
-
9665


Official website
:
www.howbuy.com


(
28
)和讯信息科技有限公司


住所:北京市朝阳区朝外大街
twenty two
号泛利大厦
10
Floor


办公地址:北京市朝阳区朝外大街
twenty two
号泛利大厦
10
Floor


法定代表人:王莉


客户服务电话:
400
-
920
-
0022


和讯理财客官网
:
http://licaike.hexun.com


(
29
)北京增财基金销售有限公司


住所:北京市西城区南礼士路
66
号建威大厦
1208
number


办公地址:北京市西城区南礼士路
66
号建威大厦
1208
-
1209
number


法定代表人:罗细安


客户服务电话:
400
-
001
-
8811


URL:
www.zcvc.com.cn


(
30
)北京懒猫金融信息服务有限公司


住所:北京市石景山区石景山路
31
号院盛景国际广场
3
号楼
1119



office address:
北京市朝阳区安联大厦
715


法定代表人:许现良


客户服务电话:
4001
-
500
-
882


URL:
www.lanmao.com


(
31
)北京汇成基金销售有限公司


住所:北京市海淀区中关村大街
11
number
11
Floor
1108
number


办公地址:北京市海淀区中关村大街
11
number
11
Floor


法定代表人:王伟刚


客户服务电话:
400
-
619
-
9059


URL:
www.hcjijin.com


(
3
2
)北京蛋卷基金销售有限公司


住所:北京市朝阳区阜通东大街
1
号院
6
号楼
2
unit
twenty one
Floor
222507


办公地址:北京市朝阳区阜通东大街
1
号院
6
号楼
2
unit
twenty one
Floor
222507


法定代表人:钟斐斐


客户服务电话:
4000
-
618
-
518


URL:
www.danjuanapp.com


(
33
)大连网金基金销售有限公司


住所:辽宁省大连市沙河口区体坛路
twenty two
号诺德大厦
2
Floor
202



办公地址:辽宁省大连市沙河口区体坛路
twenty two
号诺德大厦
2
Floor
202



法定代表人:樊怀东


客户服务电话:
4000
-
899
-
100


URL:
www.yibaijin.com


(
34
)泰诚财富(大连)基金销售有限公司


住所:辽宁省大连市沙市河口区星海中龙园
3
number


办公地址:辽宁省大连市沙市河口区星海中龙园
3
number


法定代表人:林卓


客户服务电话:
400
-
6411
-
999


URL:
www.taichengcaifu.com



(
35
)珠海盈米基金销售有限公司


住所:珠海市横琴新区宝华路
6
number
105

-
3491


办公地址:广州市珠海区琶洲大道东
1
号保利国际广场南塔
12

1201
-
1203



法定代表人:肖雯


客户服务电话:
020
-
89629066


URL:
www.yingmi.cn


(
36
)北京唐鼎耀华基金销售有限公司


住所:北京市延庆区延庆经济开发区百泉街
10
number
2

236



办公地址:北京市海淀区中关村大街
11
number
11
Floor
1108
number


法定代表人:张冠宇


客户服务电话:
400
-
819
-
9868


URL:
www.tdyhfund.com


(
37
)南京苏宁基金销售有限公司


住所:南京市玄武区苏宁大道
1
-
5
number


办公地址:南京市玄武区苏宁大道
1
number


法定代表人:王锋


客户服务电话:
95177


URL:
www.snjijin.com


(
38
)
中证金牛(北京)投资咨询有限公司


住所:北京市丰台区东管头
1
number
2
号楼
2
-
45



办公地址:北京市宣武门外大街甲
1
号新华社第三工作区
5F


法定代表人:钱昊旻


客户服务电话:
4008
-
909
-
998


URL:
www.jnlc.com


(
39
)
深圳盈信基金销售有限公司


residence:
深圳市福田区莲花街道商报东路英龙商务大厦
8

A
-
1(811
-
812)


办公地址:辽宁省大连市中山区人民东路
52
号民生金融中心
twenty two
Floor



法定代表人:苗宏升


客户服务电话:
4007
-
903
-
688


URL:
www.fundying
.com


(
4
0
)北京植信基金销售有限公司


注册地址:北京市密云区兴盛南路
8
号院
2
号楼
106

-
67


法定代表人:于龙


客户服务电话:
400
-
680
-
2123


URL:
www.zhixin
-
inv.com


(
41
)联储证券有限责任公司


注册地址:深圳市福田区福田街道岗厦社区深南大道南侧金地中心大厦
9



办公地址:深圳市福田区福田街道岗厦社区深南大道南侧金地中心大厦
9



法定代表人:吕春卫


客户服务电话:
400
-
620
-
6868


URL:
www.lczq.com


(42)上海基煜基金销售有限公司

注册地址:上海市崇明县长兴镇路潘园公路1800 号2 号楼6153 室(上海泰和经济发展区)

法定代表人:王翔

客户服务电话:400-820-5369

网址:www.jiyufund.com.cn

(
4
3
)阳光人寿保险股份有限公司


Registered address
:
海南省三亚市迎宾路
360
-
1
号三亚阳光金融广场
16
Floor


法定代表人:李科


客户服务电话:
95510


URL:
www.sinosig.com


(44)上海陆金所基金销售有限公司

注册地址:上海市浦东新区陆家嘴环路1333 号14 楼09 单元

法定代表人:王之光


客户服务电话:4008219031

网址:www.lufunds.com

(45)嘉实财富管理有限公司

注册地址:上海市浦东新区世纪大道8 号上海国金中心办公楼二期53 层
5312-15 单元

办公地址:北京市朝阳区建国路91 号金地中心A 座6 层

法定代表人:赵学军

客户服务电话:400-021-8850

网址:www.harvestwm.cn

(46)上海联泰基金销售有限公司

注册地址:中国(上海)自由贸易试验区富特北路277 号3 层310 室

办公地址:上海市长宁区福泉北路518 号8 座3 层

法定代表人:尹彬彬

客户服务电话:400-118-1188

网址:www.66liantai.com

(47)北京恒天明泽基金销售有限公司

注册地址:北京市经济技术开发区宏达北路10号五层5122室

办公地址:北京市朝阳区东三环北路甲19号SOHO嘉盛中心30层

法定代表人:周斌

客户服务电话:400-8980-618

网址:pof.chtfund.com

(48) 兴业银行股份有限公司

注册地址:福州市湖东路154 号中山大厦

办公地址:上海市浦东新区银城路167 号17 楼

法定代表人:陶以平(代为履行法定代表人职权)

客户服务电话:40018-95561

网址:i.yypt.com本基金将根据业务发展需要及时增加代销机构并进行公告。



(二)注册登记机构



名称:英大基金管理有限公司


住所:北京市朝阳区环球金融中心西塔
twenty two

2201


Legal representative:
Ma Xiaoyan


phone:
010
-
57835666


fax:
010
-
59112222


Contact:
张艺颖


(三)出具法律意见书的律师事务所


名称:北京市中银律师事务所

地址:北京市朝阳区东三环中路39号建外SOHO东区A座31层

负责人:崔炳全


电话:(010)58698899

传真:(010)58699666

经办律师:刘振宇、罗为

(四)审计基金财产的会计师事务所


name:
毕马威华振会计师事务所
(
特殊普通合伙
)


address:
北京市东长安街
1
号东方广场东
2
座办公楼
8
Floor


principal:
左艳霞


contact number:
(010)
85087246


经办注册会计师:
左艳霞、
刘珊珊


四、基金的名称

英大纯债债券型证券投资基金


五、基金的类型

Bond type



六、基金的投资目标

本基金投资于固定收益类资产,在有效控制投资组合风险的前提下力争获取高于业绩比较基准的投资收益,追求长期稳定的投资回报。



七、基金的投资范围

本基金投资于具有良好流动性的金融工具,包括国内依法发行和上市交易的国债、金融债、央行票据、企业(公司)债、可转换债券(含分离型可转换债券)、资产支持证券、中票、债券回购、短期融资券、银行存款、 中小企业私募债券以及经中国证监会批准的允许基金投资的其他金融工具,但需符合中国证监会的相关规定。

如法律法规或监管机构以后允许基金投资其他品种,基金管理人在履行适当程序后,
可以将其纳入投资范围。



本基金投资组合的比例范围为:本基金投资于固定收益类资产
(
含可转换债券和
中小企业私募债券
)
的比例不低于基金资产的
80%
;持有现金或者到期日在一年以内的政府债券的比例不低于基金资产净值的
5%
,
本基金所指的现金不包括结算备付金、
存出保证金、应收申购款等。



八、基金的投资策略

本基金依据宏观经济运行数据、货币政策、财政政策、以及债券市场收益特征,
分析判断市场利率水平变动趋势,并预测下一阶段的利率水平,结合各类别资产的收益性、风险性和流动性特征,进行大类资产配置。



1.
久期策略


基金管理人将通过预期市场利率变化趋势,确定投资组合的久期。



基金管理人密切跟踪最新发布的宏观经济数据和金融运行数据,分析宏观经济运行的可能情景,预测财政政策、货币政策等政府宏观经济政策取向,分析金融市场资金供求状况变化趋势,在此基础上预测市场利率水平变动趋势,以及收益率曲线变化趋势。在预期市场利率水平将上升时,降低组合的久期;预期市场利率将下



降时,提高组合的久期。



2.
期限结构策略


基金管理人根据收益率曲线变化趋势,根据收益率曲线变化情况制定相应的债券组合期限结构策略如骑乘策略息差策略和利差策略。



(
1
)骑乘策略。当收益率曲线比较陡峭时,也即相邻期限利差较大时,可以买入期限位于收益率曲线陡峭处的债券,也即收益率水平处于相对高位的债券,随着持有期限的延长,债券的剩余期限将会缩短,从而此时债券的收益率水平将会较投资期初有所下降,通过债券的收益率的下滑,进而获得资本利得收益。



(
2
)息差策略。利用回购利率低于债券收益率的情形,通过正回购将所获得资金投资于债券以获取超额收益。



(
3
)利差策略。对两个期限相近的债券的利差进行分析,从而对利差水平的未来走势做出判断,从而进行相应的债券置换。当预期利差水平缩小时,可以买入收益率高的债券同时卖出收益率低的债券,通过两债券利差的缩小获得投资收益;当预期利差水平扩大时,可以买入收益率低的债券同时卖出收益率高的债券,通过两债券利差的扩大获得投资收益。



3.
类属资产配置策略


根据金融债、企业(公司)债、分离交易可转债债券部分等品种与同期限国债或央票之间收益率利差的扩大和收窄的分析,主动地增加预期利差将收窄的债券类属品种的投资比例,降低预期利差将扩大的债券类属品种的投资比例,以获取不同债券类属之间利差变化所带来的投资收益。



4.
辅助策略


(1)
套利策略。利用回购利率低于债券收益率的情形,通过正回购将所获得资金投资于债券以获取超额收益。



(2)
其他辅助策略


其他辅助策略包括可转债投资策略和中小企业私募债券投资策略。



通过分析可转债股性和债性的相对价值,对可转债转股溢价率和
Delta
系数的度量,筛选出股性或债性较强的品种作为下一阶段的投资重点。



在严格控制风险的前提下
,
通过严谨的研究
,
综合考虑中小企业私募债券的安全



性、收益性和流动性等特征
,
并与其他投资品种进行对比后
,
选择具有相对优势的类属和个券进行投资。 Simultaneously
,
通过期限和品种的分散投资降低基金投资中小企业私募债券的信用风险、利率风险和流动性风险。基金管理人将根据审慎原则,制定严格的投资决策流程、风险控制制度,以防范信用风险、流动性风险等各种风险。



九、基金的业绩比较基准

本基金的业绩比较基准为:中债综合指数


中债综合指数的样本具有广泛的市场代表性,涵盖主要交易市场、不同发行主体和期限,能够很好地反映中国债券市场总体价格水平和变动趋势,适合作为本基金的业绩比较基准。



如果今后由于本基金业绩比较基准中所使用的指数暂停或终止发布、市场中有更科学客观的业绩比较基准、外部投资环境或法律法规发生变化等情形发生,本基金管理人可以在征得基金托管人同意并报中国证监会备案后,适当调整业绩比较基准并及时公告。



十、基金的风险收益特征

本基金为债券型基金,该类基金长期平均风险水平和预期收益率低于股票型基金和混合型基金,但高于货币市场基金,属于中低风险和收益水平的投资品种。



十一、基金的投资组合报告

本投资组合报告所载数据截至
9
2019
year
9
month
30
日,本报告所列财务数据未经审计。



1 报告期末基金资产组合情况

Amount of unit: RMB

Serial number


project


Amount (yuan)


占基金总资产的比例(
%
)


1


Equity investment


-


-


2


其中:股票


-


-


3


基金投资


-


-





4


Fixed income investment


3,025,660,000.00


93.79


5


其中:债券


3,025,660,000.00


93.79


6


资产支持证券


-


-


7


Precious metals investment


-


-


8


金融衍生品投资


-


-


9


买入返售金融资产


150,000,545.00


4.65


1
0


其中:买断式回购的买入返售金融资产


-


-


11


银行存款和结算备付金合计


2,359,298.98


0.07


12


其他资产


47,896,131.83


1.48


13


total


3,225,915,975.81


100.00




2 报告期末按行业分类的股票投资组合

本基金本报告期末未持有股票。




3 报告期末按公允价值占基金资产净值比例大小排序的前十名股票投资明细

本基金本报告期末未持有股票。




4 报告期末按债券品种分类的债券投资组合

Amount of unit: RMB

Serial number


债券品种


公允价值(元)


占基金资产净值比例(%)


1


国家债券


179,524,000.00


5.57


2


央行票据


-


-


3


Financial bond


2,615,090,000.00


81.14


4


其中:政策性金融债


2,228,582,000.00


69.15


5


企业债券


180,878,000.00


5.61


6


企业短期融资券


30,174,000.00


0.94


7


Medium-term notes


19,994,000.00


0.62





8


可转债
(可交换债)


-


-


9


同业存单


-


-


10


other


-


-


11


total


3,025,660,000.00


93.88






5 报告期末按公允价值占基金资产净值比例大小排序的前五名债券投资明细

Amount of unit: RMB

Serial number


Bond code


Bond name


数量(张)


公允价值(元)


占基金资产净值比例(%)


1


190203


19
国开
03


4,400,000


438,372,000.00


13.60


2


190210


19
国开
10


3,800,000


381,482,000.00


11.84


3


190205


19
国开
05


3,500,000


343,875,000.00


10.67


4


190406


19
农发
06


1,800,000


179,694,000.00


5.58


5


190208


19
国开
08


1,300,000


130,234,000.00


4.04






6 报告期末按公允价值占基金资产净值比例大小排序的前十名资产支持证券投资明细

本基金本报告期末未持有资产支持证券。


7 报告期末按公允价值占基金资产净值比例大小排序的前五名贵金属投资明细

本基金本报告期末未持有贵金属。




8 报告期末按公允价值占基金资产净值比例大小排序的前五名权证投资明细

本基金本报告期末未持有权证。




9 报告期末本基金投资的股指期货交易情况说明

9.1 报告期末本基金投资的股指期货持仓和损益明细

本基金本报告期末无股指期货投资。



9.2 本基金投资股指期货的投资政策

本基金本报告期末无股指期货投资。




10 报告期末本基金投资的国债期货交易情况说明

10.1 本期国债期货投资政策

本基金本报告期内未参与国债期货投资,报告期末无国债期货持仓。



10.2 报告期末本基金投资的国债期货持仓和损益明细

本基金本报告期内未参与国债期货投资,报告期末无国债期货持仓。





10.3 本期国债期货投资评价

本基金本报告期内未参与国债期货投资,报告期末无国债期货持仓。





11 投资组合报告附注

11.1 本基金投资的前十名证券的发行主体本期受到调查以及处罚的情况的说明


经查询上海证券交易所、深圳证券交易所、中国货币网等公开信息披露平台,
本基金投资的前十名证券的发行主体本期未出现被监管部门立案调查,或在本报告编制日前一年内受到公开谴责、处罚的情形。



11.2 本基金本报期末无股票持仓。



11.3 期末其他各项资产构成

单位:人民币元

Serial number

name

Amount (yuan)

1

存出保证金

-


2

应收证券清算款

-


3

Dividends receivable

-


4

Interest receivable

47,727,207.53


5

应收申购款

168,924.30


6

Other receivables

-


7

Prepaid expenses

-





8

other

-


9

total

47,896,131.83






11.4 报告期末持有的处于转股期的可转换债券明细

注:本基金本报告期末未持有处于转股期的可转换债券。



11.5 报告期末前十名股票中存在流通受限情况的说明

本基金本报告期末无股票持仓。



11.6 投资组合报告附注的其他文字描述部分

由于四舍五入的原因,分项之和与合计项之间可能存在尾差。


十二、基金的业绩

基金管理人承诺以恪尽职守、诚实信用、勤勉尽责的原则管理和运用基金财产,
但不保证基金一定盈利,也不向投资者保证最低收益。基金的过往业绩并不代表其未来表现。投资有风险,投资者在作出投资决策前应仔细阅读本基金的招募说明书。



本基金合同生效日为
2013
year
4
month
twenty four
日,基金合同生效以来(截至
2019
year
9
month
30
日)的投资业绩及同期基准的比较如下表所示:





stage

(英大纯债债券A)

份额净值增长率①

份额净值增长率标准差②

业绩比较基准收益率③

业绩比较基准收益率标准差④

①-③

②-④

2013年04月24日-2013
年12月31日

-4.52%

0.17%

-4.71%

0.10%

0.19%

0.07%

2014年01月01日-2014
年12月31日

14.01%

0.20%

6.54%

0.11%

7.47%

0.09%

2015年01月01日-2015
年12月31日

10.73%


0.10%


4.19%


0.08%


6.54%


0.02%


2016年01月01日-2016
年12月31日

5.93%


0.12%


-
1.63%


0.09%


7.56%


0.03%





2017年01月01日-2017
年12月31日

2.36%


0.03%


-
3.38%


0.06%


5.74%


-
0.03%


2018年01月01日-2018
年12月31日

8.09%


0.12%


4.79%


0.07%


3.30%


0.05%


2019年01月01日-2019
年06月30日

0.54%


0.11%


0.24%


0.06%


0.30%


0.05%


2019年07月01日-2019
年09月30日

1.27%


0.11%


0.46%


0.04%


0.81%


0.07%


stage

(英大纯债债券C)

份额净值增长率①

份额净值增长率标准差②

业绩比较基准收益率③

业绩比较基准收益率标准差④

①-③

②-④

2013年04月24日-2013
年12月31日

-4.81%

0.16%

-4.71%

0.10%

-0.10%

0.06%

2014年01月01日-2014
年12月31日

13.49%

0.20%

6.54%

0.11%

6.95%

0.09%

2015年01月01日-2015
年12月31日

10.27%


0.10%


4.19%


0.08%


6.08%


0.02%


2016年01月01日-2016
年12月31日

3.65%


0.05%


-
1.63%


0.09%


5.28%


-
0.04%


2017年01月01日-2017
年12月31日

1.94%


0.03%


-
3.38%


0.06%


5.32%


-
0.03%


2018年01月01日-2018
年12月31日

7.63
%


0.12
%


4.79
%


0.07
%


2.84
%


0.05
%


2019年01月01日-2019
年06月30日

0.39%


0.11%


0.24%


0.06%


0.15%


0.05%


2019年07月01日-2019
年09月30日

1.19%


0.11%


0.46%


0.04%


0.73%


0.07%




注:①本基金合同于
2013
year
4
month
twenty four
日生效。



②本基金的业绩比较基准是中债综合指数




十三、基金的费用和税收

(
One
)
基金费用的种类


1.
基金管理人的管理费;


2.
基金托管人的托管费;


3.C
类基金份额的销售服务费;


4.
基金财产拨划支付的银行费用;


5.
基金合同生效后的基金信息披露费用;


6.
基金份额持有人大会费用;


7.
基金合同生效后与基金有关的会计师费和律师费;


8.
基金的证券交易费用;


9.
基金的开户费用、账户维护费用;


10.
依法可以在基金财产中列支的其他费用。



(
two
)
上述基金费用由基金管理人在法律规定的范围内参照公允的市场价格确定,
法律法规另有规定时从其规定。



(
three
)
基金费用计提方法、计提标准和支付方式


1.
基金管理人的管理费


在通常情况下,基金管理费按前一日基金资产净值的
0.
3
%
年费率计提。计算方法如下:


H


年管理费率÷
当年天数


H
为每日应计提的基金管理费


E
为前一日基金资产净值


基金管理费每日计提,按月支付。由托管人根据与管理人核对一致的财务数据,
自动在月初五个工作日内、按照指定的账户路径进行资金支付,管理人无需再出具资金划拨指令。若遇法定节假日、休息日等,支付日期顺延。费用自动扣划后,管理人应进行核对,如发现数据不符,及时联系托管人协商解决。



2.
基金托管人的托管费


在通常情况下,基金托管费按前一日基金资产净值的
0.
1
%
年费率计提。计算方



法如下:


H


年托管费率÷
当年天数


H
为每日应计提的基金托管费


E
为前一日基金资产净值


基金托管费每日计提,按月支付。由托管人根据与管理人核对一致的财务数据,
自动在月初五个工作日内、按照指定的账户路径进行资金支付,管理人无需再出具资金划拨指令。若遇法定节假日、休息日等,支付日期顺延。费用自动扣划后,管理人应进行核对,如发现数据不符,及时联系托管人协商解决。



3. C
类基金份额的销售服务费


本基金的
A
类基金份额不收取销售服务费,
C
类基金份额的销售服务费年费率为
0.
3
0%
.在通常情况下,
C
类基金份额的销售服务费按前一日
C
类基金资产净值的
0.
3
0%
年费率计提。计算方法如下:


H


年销售服务费率÷
当年天数


H
for
C
类基金份额每日应计提的基金销售服务费


E
for
C
类基金份额前一日基金资产净值


销售服务费每日计提,按月支付。由基金托管人根据与基金管理人核对一致的财务数据,自动在月初
5
个工作日内按照指定的账户路径进行资金支付,基金管理人无需再出具资金划拨指令。若遇法定节假日、休息日等,支付日期顺延。费用自动扣划后,基金管理人应进行核对,如发现数据不符,应及时联系基金托管人协商解决。

C
类基金份额的销售服务费主要用于本基金的持续销售以及基金份额持有人的服务。



4.
除管理费、托管费和销售服务费之外的基金费用,由基金托管人根据其他有关法规及相应协议的规定,按费用支出金额支付,列入或摊入当期基金费用。



(
Fives
)
基金管理人和基金托管人可根据基金发展情况调整基金管理费率和基金托管费率。基金管理人必须最迟于新的费率实施日
2
日前在指定媒介上刊登公告。



(
six
)
基金税收


基金和基金份额持有人根据国家法律法规的规定,履行纳税义务。




十四、对招募说明书更新部分的说明

本基金管理人依据《中华人民共和国证券投资基金法》、《证券投资基金运作管理办法》、《证券投资基金销售管理办法》、《证券投资基金信息披露管理办法》及其它有关法律法规的要求
,
对本基金招募说明书进行了更新,
主要更新的内容如下:


1.
在“封面、目录、重要提示”部分,更新了有关信息。



2
.
在“三、基金管理人”部分,更新了相关信息。



3
.
在“五、相关服务机构”部分,更新了相关信息。



4
.
in"
二十二、
其他应披露事项”

部分,
更新了相关信息。




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