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Anglo-Flexible Allocation A: Anglo-Flexible Allocation of Hybrid Proposed Securities Investment Fund Prospectus (Updated) Summary (No. 1 of 2020)

Time: January 9, 2020 13:21:18 China Finance Network
Original title: Anglo-U Flexible Configuration A: Anglo-U Flexible Configuration of Hybrid Initiating Securities Investment Fund Prospectus (Updated) Summary (No. 1 of 2020)










Anglo-Flexible Configuration of Hybrid Initiating Securities Investment Fund


Recruitment Brochure (Updated)
Summary


(
20
20
Year
1
number)


























Fund Manager:
Yingda Fund Management Co., Ltd.


Fund Custodian:
Agricultural Bank of China Co., Ltd.


Date: Two
0
two
0
January












[
important hint】





Anglo-Flexible Configuration of Hybrid Initiating Securities Investment Fund (hereinafter referred to as "the Fund")
On April 23, 2010, the fundraising was approved by the China Securities Regulatory Commission (CSRC) [2015] No. 687.


The Fund Fund Contract came into effect on May 7, 2015, and the Fund Manager will start to manage the Fund from that date.


The fund manager guarantees that the content of the prospectus is true, accurate and complete. This prospectus has been approved by the China Securities Regulatory Commission, but the approval by the China Securities Regulatory Commission of the Fund does not indicate that it makes a substantial judgment or guarantee on the value and income of the Fund, or that there is no risk in investing in the Fund.


The fund manager manages and uses fund assets in accordance with the principles of due diligence, honesty, prudence and diligence. The fund manager does not guarantee a certain profit of the fund, nor does it guarantee a minimum return. The fund's past performance does not indicate future performance.


The Fund invests in the securities market. The fund's net value will fluctuate due to factors such as fluctuations in the securities market.
Before investing in the Fund, investors should fully understand the product characteristics of the Fund, fully consider their own risk tolerance, rationally judge the market, make independent decisions on investment behaviors such as the willingness, timing, and quantity of fund subscriptions, and obtain fund investment income It also bears various risks in fund investment, including: systemic risks caused by the overall political, economic, social and other environmental factors affecting the price of securities, and non-systemic risks unique to individual securities. Liquidity risks arising from redemption of funds, fund management risks generated by fund managers during the implementation of fund management, specific risks of the fund, etc.


The funds that the Fund has promised to use when subscribing can be redeemed after 3 years from the effective date of the Fund Contract.


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 January 6, 2020, and the deadline for relevant financial data and net worth performance data is September 30, 2019 (financial data has not been audited). This prospectus has been reviewed by the fund custodian.






I. Fund Manager

(I) Overview of Fund Manager


Company 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. holds shares
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
Starting today, bachelor degree, senior accountant. Currently serves as the director, deputy general manager and party member of State Grid Yingda International Holdings Group Co., Ltd., and concurrently serves as a director of China Power Finance Co., Ltd., a director of Yingda International Trust Co., Ltd., and a Changan Insurance



Chairman of the Supervisory Board of Brokerage Co., Ltd., Executive Director of CGNPC Phase II Industrial Investment Fund Co., Ltd.,
General Manager, Director of Hua Xia 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 and a member of the party group of Yingda Changan Insurance Brokers Co., Ltd., and the financial asset management of State Grid Corporation of China Director of the Financial Assets Department of the Ministry of Finance, 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, since
2019
year
8
month
25
Starting today, he holds a master's degree in economics from the University of International Business and Economics and is a 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. 2. Director of Risk Management Department, Director of Risk Management Department of State Grid Yingda International Holdings Group Co., Ltd.



Mr. Wang Lisheng: Director, since
2014
year
9
month
18
Serving from now on,
Master of Business Administration of South China University of Technology, Senior Engineer, Senior Economist, National Registered 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, since
2019
year
8
month
25
Starting today, he holds a master's degree in 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 department,
Aerospace Science and Industry Finance Co., Ltd. Manager Assistant Assistant, Deputy General Manager and Deputy Director of the Board Office,
Deputy General Manager of the Treasury Department and Deputy Director of the Board of Directors Office (chairing the work), Deputy Minister of Financial Innovation (chairing the work), Minister.



Ms. Ma Xiaolin: Independent Director, since
2017
year
11
month
29
Starting today, he holds an MBA and senior economist from 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. Successively served as technical trade translator of Shougang Company ’s Automation Research Institute, manager of China International Trade Center Management Department, international trader and account manager of China International Futures Brokerage Co., Ltd., China



Deputy Director of the Asset Management Department 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, since
2014
year
9
month
18
From now on, he holds a doctorate degree in economic law from China University of Political Science and Law. 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. Successive School of Finance and Finance of Shanxi University of Finance and Economics (formerly Department of Finance and Finance of Shanxi University of Finance and Economics)
Deputy director and associate professor of the financial business teaching and research office.



Ms. Yin Huifang: Independent Director, since
2014
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
2
.
Member of the fund manager's supervisory board.



Mr. Li Jinming: Chairman of the Supervisory Board,
from
201
4
year
9
month
18
Starting today, he holds a master's degree in accounting from Peking University and is a 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 of China Road and Bridge (Group) Corporation, Nairobi Office, Kenya,
Manager of the Finance Department of China Road and Bridge (Group) Corporation, Project Manager of the Listing Office of China Road and Bridge (Group) Corporation, Deputy Manager and Manager of the Finance Department of Road and Bridge International Construction Co., Ltd., and Manager of the Finance Department of China Road and Bridge (Hong Kong) Co., Ltd. ,
Chief Financial Officer, Deputy General Manager and Chief Financial Officer, Chief Accountant, Chief Accountant and General Counsel of CCCC Highway Planning and Design Institute Co., Ltd.



Ms. Song Furong: Supervisor,
from
201
7
year
3
month
29
From now on, he holds a bachelor's degree and is a 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 and assistant to the director of the financial assets department of Yingda International Holdings Group Co., Ltd. , State Grid Yingda International Holdings Group Co., Ltd. Assistant Director of Financial Assets Department, Assistant Director of Audit Department, Deputy Director of Audit Department and other positions.




Mr. Geng Fan: Employee Supervisor, since
2018
year
1
month
8
Serves as of today. University degree, bachelor degree in management, bachelor degree in law, double deputy general manager and head of human resources of ING Fund Management Co., Ltd. Formerly responsible for human resources of the Comprehensive Department of Luneng Jinsui Futures Brokerage Co., Ltd.
Senior executives and other positions.



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. Graduated from Fudan University, Department of International Finance, Bachelor,
Senior economist. Former project manager of China Power Finance Co., Ltd. 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., Deputy Director of Insurance Business Department of State Grid Yingda International Holdings Group Co., Ltd., and 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 the Deputy Manager and Manager of the Trading Department of the Tianjin Securities Business Department of China Power Trust and Investment Co., Ltd., the Deputy General Manager of the Tianjin Securities Business Department, the Deputy General Manager of the Beijing Securities Business Department, the Deputy Director of the Bond Fund Department of China Electric Power Finance Co., Ltd. Director, General Manager of Shanghai Guodian Investment Co., Ltd., Director of the Supervision Office of China Power Finance Co., Ltd., 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. He successively served as 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., and director of fixed income investment department. Minsheng Fund Management Co., Ltd.
(
Raise
)
vice president.



4
.
Inspector general


Mr. Liu Kangxi, Chief Inspector, since
201
9
year
10
month
14
Serving from now on,
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.
He once served as the deputy general manager (in charge of the work) and general manager of the supervision and auditing department.



5
Fund Manager


Mr. Zhang Dayuan, MBA from The Chinese University of Hong Kong. Successively served as BOCI Securities Limited



Senior Analyst of the Company, Deputy General Manager of the Fixed Income Department of China International Capital Corporation, Deputy General Manager of the Asset Management Department, Assistant General Manager of Morgan Stanley Huaxin Fund Management Co., Ltd., and Director of the Fixed Income Investment Department,
Minsheng Fund Management Co., Ltd.
(
Raise
)
vice president.

2019
year
5
He joined Yingda Fund in May. He is currently the assistant general manager (investment director) and general manager of the fixed income department. She is a fund manager of Yingda's pure debt bond securities investment fund and Yingda's strategically preferred hybrid 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.

Currently serving as a UK-based pure bond bond securities investment fund,
Fund manager of Anglo Cash Money Market Fund.



Mr. Zheng Zhonghua,
PhD degree,
PhD in Economics, graduated from Central University of Finance and Economics,
He has been the business director of AIA Beijing Co., Ltd., and a macro and strategic researcher at the Research Division of the Investment Banking Department of Industrial Bank Headquarters
2017
year
5
Joined the equity investment department of Yingda Fund Management Co., Ltd.
As a macro researcher,
Currently, he is the fund manager of Yingda's leading return-type hybrid securities investment fund.



Ms. Zhang Linna, former fund manager,
from
2015
year
7
month
15
Day to
2017
year
12
month
29
Japan as the fund manager of the fund.

Mr. Yuan Zhongwei, since
201
5
year
5
month
7
Day to
2019
year
11
month
25
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 member: Zhang Dazhen


General members: Liu Jiarui, Yi Qikun, Zheng Zhonghua


Secretary: Zhang Yuan


There is no close relative between the above persons.



(4) Rights and obligations of fund managers


1
According to the Fund Law, the Operational Measures and other relevant regulations, the rights of fund managers include, but are not limited to:


(
1
) Raising funds according to law;


(
2
) From the effective date of the Fund Contract, independently use and manage fund assets in accordance with laws and regulations and the Fund Contract;



(
3
) Collect fund management fees and other fees as required by laws and regulations or approved by the China Securities Regulatory Commission in accordance with the Fund Contract;


(
4
) Sales fund shares;


(
5
) Convene a meeting of fund unit holders in accordance with regulations;


(
6
) Supervising fund custodians in accordance with the Fund Contract and relevant laws Interests;


(
7
) Nominate a new fund custodian when the fund custodian is replaced;


(
8
) Select and replace fund sales agencies, and supervise and deal with relevant behaviors of fund sales agencies;


(
9
) Acting or entrusting other qualified institutions as fund registration agencies to handle fund registration business and obtain the fees stipulated in the Fund Contract;


(
10
) Determine the distribution plan of the fund's income in accordance with the "Fund Contract" and relevant laws and regulations;


(
11
) Within the scope stipulated in the Fund Contract, refuse or suspend the acceptance of purchase and redemption applications;


(
12
) Exercise shareholder rights against the investee company for the benefit of the fund in accordance with laws and regulations, and exercise the rights arising from the fund's investment in securities for the benefit of the fund;


(
13
) 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;


(
14
) In the name of the fund manager, exercise litigation rights or perform other legal acts on behalf of the fund unit holder's interests;


(
15
) Selecting or replacing law firms, accounting firms, securities brokers or other external agencies that provide services to the fund;


(
16
) Subject to relevant laws and regulations, formulate and adjust relevant fund subscriptions, subscriptions,
Business rules for redemption, conversion and non-trading transfers;


(
17
) Laws and regulations and other rights stipulated by the China Securities Regulatory Commission and stipulated in the Fund Contract.



2
According to the Fund Law, the Operational Measures and other relevant regulations, the obligations of the fund manager include, but are not limited to:


(
1
) Raising funds in accordance with the law, 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
,
Manage and apply with integrity, prudence and diligence



Fund property


(
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 systems for internal risk control, supervision and audit, financial management and personnel management,
Guarantee the independence of the fund property under management and the property of the fund manager
,
Manage different funds separately, keep separate accounts, and invest in securities;


(
6
) Except in accordance with the Fund Law, the Fund Contract and other relevant regulations
,
Do not use the fund assets to seek benefits for yourself and any third party, or entrust a third party to operate the fund assets;


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


(
8
) Take appropriate and reasonable measures to make the method of calculating the fund unit subscription, purchase, redemption and cancellation price consistent with the provisions of legal documents such as the Fund Contract, calculate and announce the net asset value of the fund in accordance with relevant regulations, and determine the fund unit purchase and redemption. price;


(
9
) Perform fund accounting and prepare fund financial accounting reports;


(
10
) Preparation of quarterly, semi-annual and annual fund reports;


(
11
) In strict accordance with the "Fund Law", "Fund Contract" and other relevant regulations, perform information disclosure and reporting obligations;


(
12
) Keep the fund's business secrets, and do not disclose the fund's investment plan, investment intention, etc. Except as otherwise provided in the Fund Law, the Fund Contract and other relevant regulations, the fund information shall be kept confidential before being disclosed to the public and not disclosed to others;


(
13
) Determine the fund income distribution plan according to the provisions of the "Fund Contract", and distribute fund income to fund unit holders in a timely manner;


(
14
) Accept purchase and redemption applications in accordance with regulations and pay redemptions in a timely and full amount;


(
15
) Convening a meeting of fund unit holders or cooperating with fund custodians and fund unit holders in accordance with the Law in accordance with the Fund Law, the Fund Contract and other relevant regulations;


(
16
) Keep the accounting books, statements, records and other relevant information of the fund property management business activities as required
15
More than years


(
17
) Ensure that all documents or information required to be provided to fund investors are issued at the prescribed time, and that investors can access the public information related to the fund at any time and at a reasonable cost in accordance with the time and method specified in the "Fund Contract" Get a copy of the relevant information under the conditions;


(
18
) Organize and participate in the fund property liquidation team
,
Participate in the custody, liquidation, valuation,



Realisation and distribution


(
19
) 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;


(
20
) When the violation of the Fund Contract results in the loss of fund property or damages to the legal rights and interests of fund unit holders, it shall bear the liability for compensation, and its liability for compensation shall not be waived due to his retirement;


(
twenty one
) To supervise the fund custodian's performance of its obligations in accordance with laws and regulations and the Fund Contract,
When the fund custodian violates the Fund Contract and causes loss of fund property, the fund manager shall recover from the fund custodian for the benefit of fund unit holders;


(
twenty two
) When the fund manager entrusts its obligations to a third party for processing, it shall be liable for the third party's actions in relation to fund affairs;


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


(
twenty four
) The fund manager failed to meet the record filing conditions of the fund during the fundraising period, and the Fund Contract could not take effect. The fund manager shall bear all the fundraising expenses, and the funds raised shall be added to the bank's current deposit interest at the end of the fundraising period
30
Refund the fund subscribers within the day;


(
25
) To implement the resolutions of the fund unit holders' meeting in force;


(
26
) Establish and maintain a roster of fund unit holders;


(
27
) Laws and regulations and other obligations stipulated by the China Securities Regulatory Commission and agreed in the Fund Contract.



(V) Fund Manager's Commitment


1
2. The fund manager promises not to engage in acts that violate the Securities Law of the People's Republic of China, and promises to establish and improve the internal control system and take effective measures to prevent violations of the Securities Law of the People's Republic of China.
The occurrence of behavior.



2
Fund managers promise not to engage in the following violations of the Fund Law, the Operational Measures, and the Sales Measures
And promised 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;



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 or fund custodian or buy or sell stocks or bonds issued by its fund manager or fund custodian;



6
) Buying or selling securities issued by a company that has a controlling relationship with its fund manager or fund custodian, or securities that have other significant interests with its fund manager or fund custodian, or securities underwritten during the underwriting period;



7
) Engaging in insider trading, manipulation of securities trading prices and other improper securities trading activities;


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.



Laws, administrative regulations or regulatory authorities cancel the aforementioned prohibition. If it applies to the Fund, after the fund manager performs appropriate procedures, the investment of the Fund will no longer be subject to relevant restrictions.



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
) Violate the business rules of securities trading venues and manipulate market prices by means of knock-out or liquidation,
Disrupt market order;



(
9
) Depreciate peers to improve themselves;


(
10
) Intentionally contains false, misleading, and fraudulent elements in public information disclosure and advertising;


(
11
) Seeking business development by improper means;


(
12
) It violates social morality and damages the image of securities investment fund personnel;


(
13
) 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
)
Seek benefits for yourself, the employee, or any third party without using the post;


(
3
) Do not disclose the commercial secrets of securities and funds learned during his tenure, and the fund investment content and fund investment plan that have not been disclosed in accordance with the law.



(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 Risk Management and Audit Committee: responsible for checking and assessing 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;
Supervise the company's financial status, audit the company's financial statements, evaluate the company's financial performance, ensure that the company's financial operations meet 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 evaluate the company's risk management status.



(
2
) Risk Control Committee: a deliberative agency that assists the general manager in controlling the company's risks, formulates the company's risk management system and policies under the leadership of the general manager's office, uniformly leads and coordinates the company's risk control and compliance work, and submits to the supervision and audit department The risk assessment report makes comprehensive discussions and decisions, so that the risk policy is effectively implemented.



(
3
)Investment Committee:
The Investment Decision Committee is the highest decision-making body for company investment management.
The company's general manager, deputy general manager in charge of investment, investment director, investment manager, senior fund manager,
The manager of the research department and the chief inspector 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; to approve the proposals made by the fund manager 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: to the company's operations and management,
Fund operations comply with laws and regulations, and risk control is performed for internal monitoring and inspection; the legal compliance of the company's various systems and the implementation of the company's internal control system are monitored and checked; the above monitoring and inspection



The problems found in the report 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 agencies 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
) Mutual restraint principle: The establishment of internal departments and posts in 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 effect 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 established risk management systems, investment management systems, fund accounting systems, information disclosure systems, supervision and auditing systems, information technology management systems,
The company's financial system and other basic management systems, as well as business processes and regulations including job settings, job responsibilities, and operating process manuals, conduct risk control from the basic management system 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.



Establishing a risk management system: The company evaluates, alerts, and monitors risks on a regular or real-time basis through establishing risk assessment, early warning, reporting and control and monitoring procedures, and through appropriate control processes, so as to confirm, evaluate and early warning with company management and funds Operational risks, through smooth reporting channels,
Conduct layer-by-layer supervision, management and control of risk issues, so that departments and management can grasp the risk situation in time and make risk control decisions quickly. Establish an automated supervision and control system: the company has enabled electronic investment,
The trading system, which limits the investment ratio, will effectively prevent compliance operation risks and operational risks.



Quantitative risk management methods: Quantitative and technical risk control methods are used to establish a quantitative risk management model, so that the company can take effective measures in a timely manner to diversify, avoid and control risks and minimize losses.



Provide sufficient training: A complete training plan has been formulated to provide all employees with adequate and appropriate training to enable employees to have a higher professional standard 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: Agricultural Bank of China Limited ( Agricultural Bank of China for short)


Address: Jianguomen Inner Street, Dongcheng District, Beijing
69
number


Office address: Fuxingmennei Street, Xicheng District, Beijing
28
Kaichen World Trade Center East Tower


Legal representative: Zhou Mubing


Date of establishment:
2009
year
1
month
15
day


Approval of establishment and approval of establishment number: CBRC
[2009] 13
number


Fund Custody Business Approval Number: CSRC Basic Character
[1998] 23
number


Registered capital:
34,998,303.4
Ten thousand yuan


Duration: continuing operations


contact number:
010
-
66060069


fax:
010
-
68121816


Contact: He Qian


Agricultural Bank of China Limited is an important part of China's financial system
,
The head office is located in Beijing. With the approval of the State Council, the Agricultural Bank of China was restructured into the Agricultural Bank of China Co., Ltd.
2009
year
1
month
15
Japan was established according to law. Agricultural Bank of China Co., Ltd. inherits all assets, liabilities, businesses, institutional branches and employees of the former Agricultural Bank of China. Agricultural Bank of China has branches in urban and rural areas of China, becoming one of the large state-owned commercial banks with the largest number of outlets, the widest range of business coverage, the widest range of services, the largest number of customers, and complete business functions. Overseas, the Agricultural Bank of China has also won a good reputation through its own efforts, and ranks in the Fortune World every year.
500
Strong enterprises.作为一家城乡并举、联通国际、功能齐备的大型国有商业银行,中国农业银行一贯秉承以客户为中心的经营理念,坚持审慎稳健经营、可持续发展,立足县域和城市两大市场,实施差异化竞争策略,着力打造“伴你成长”服务品牌,依托覆盖全国的分支机构、庞大的电子化网络和多元化的金融产品,致力为广大客户提供优质



的金融服务,与广大客户共创价值、共同成长。



中国农业银行是中国第一批开展托管业务的国内商业银行,经验丰富,服务优质,业绩突出,
2004
年被英国《全球托管人》评为中国“最佳托管银行”。

2007
年中国农业银行通过了美国
SAS70
内部控制审计,并获得无保留意见的
SAS70
审计报告。 from
2010
年起中国农业银行连续通过托管业务国际内控标准(
ISAE3402
)认证,表明了独立公正第三方对中国农业银行托管服务运作流程的风险管理、内部控制的健全有效性的全面认可。中国农业银行着力加强能力建设,品牌声誉进一步提升,在
2010
年首届“'金牌理财'
TOP10
颁奖盛典”中成绩突出,获“最佳托管银行”奖。

2010
年再次荣获《首席财务官》杂志颁发的“最佳资产托管奖”。

2012
年荣获第十届中国财经风云榜“最佳资产托管银行”

称号;
2013
年至
2017
年连续荣获上海清算所授予的“托管银行优秀奖”和中央国债登记结算有限责任公司授予的“优秀托管机构奖”称号;
2015
年、
2016
年荣获中国银行业协会授予的“养老金业务最佳发展奖”称号;
2018
年荣获中国基金报授予的公募基金
20
年“最佳基金托管银行”奖;
2019
年荣获证券时报授予的“
2019
年度资产托管银行天玑奖”称号。



中国农业银行证券投资基金托管部于
1998
year
5
月经中国证监会和中国人民银行批准成立,目前内设综合管理部、业务管理部、客户一部、客户二部、客户三部、客户四部、风险合规部、产品研发与信息技术部、营运一部、营运二部、市场营销部、内控监管部、账户管理部,拥有先进的安全防范设施和基金托管业务系统。



2
、主要人员情况


中国农业银行托管业务部现有员工近
310
名,其中具有高级职称的专家
60
名,服务团队成员专业水平高、业务素质好、服务能力强,高级管理层均有
20
年以上金融从业经验和高级技术职称,精通国内外证券市场的运作。



3
、基金托管业务经营情况


截止到
2019
year
9
month
30
日,中国农业银行托管的封闭式证券投资基金和开放式证券投资基金共
486
只。



(二)基金托管人的内部风险控制制度说明


1
、内部控制目标



严格遵守国家有关托管业务的法律法规、行业监管规章和行内有关管理规定
,
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


风险管理委员会总体负责中国农业银行的风险管理与内部控制工作
,
对托管业务风险管理和内部控制工作进行监督和评价。托管业务部专门设置了风险管理处
,
配备了专职内控监督人员负责托管业务的内控监督工作
,
独立行使监督稽核职权。



3
、内部控制制度及措施


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;业务管理实行严格的复核、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


基金托管人通过参数设置将《基金法》、《运作办法》、基金合同、托管协议规定的投资比例和禁止投资品种输入监控系统,每日登录监控系统监督基金管理人的投资运作,并通过基金资金账户、基金管理人的投资指令等监督基金管理人的其他行为。



当基金出现异常交易行为时,基金托管人应当针对不同情况进行以下方式的处理:


1
、电话提示。对媒体和舆论反映集中的问题,电话提示基金管理人;


2
、书面警示。对本基金投资比例接近超标、资金头寸不足等问题,以书面方式对基金管理人进行提示;


3
、书面报告。对投资比例超标、清算资金透支以及其他涉嫌违规交易等行为,书面提示有关基金管理人并报中国证监会。






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22楼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22楼2201

邮政编码:100020

法定代表人:马晓燕

成立时间:2012年8月17日

批准设立机关及批准设立文号:中国证监会证监许可【2012】759号

组织形式:有限责任公司

注册资本:3.16亿元

存续期间:持续经营

电话:(010)57835666,400-890-5288

传真:(010)59112222

联系人:顾诗

网址:www.ydamc.com

2.代销机构:

(1)上海长量基金销售投资顾问有限公司

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



office address:
上海市浦东新区东方路
1267
number
11
Floor


Legal representative:
张跃伟


consumer hotline:
400
-
820
-
2899


Company Website:
www.erichfund.com


(
2
)北京展恒基金销售股份有限公司


Registered address:
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
11
号邮电新闻大厦
6
Floor


Legal representative:
闫振杰


consumer hotline:
400
-
818
-
8000



Company Website:
www.myfund.com


(3)中期时代基金销售有限公司

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


办公地址:北京市朝阳区建国门外光华路
1
6
号中期大厦
A
seat
8
Floor


法定代表人:田宏莉


consumer hotline:
95162400
-
8888
-
160


Company Website:
www.cifcofund.com


(4)上海好买基金销售有限公司

注册地址:上海市虹口区欧阳路196号26号楼2楼41号

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



Legal representative:
杨文斌


consumer hotline:
400
-
700
-
9665


Company Website:
www.ehowbuy.com


(
5
)上海天天基金销售有限公司


Registered address:
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
号金座
25
Floor


法定代表人:其实


客户服务电话:
400
-
1818
-
188


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


(6)北京懒猫金融信息服务有限公司

注册地址:北京市石景山区石景山路31号院盛景国际广场3号楼1119

办公地址: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

懒猫金服官网:
www.lanmao.com


(
7
)
北京汇成基金销售有限公司


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


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


汇成基金官网:
www.hcjijin.com


(
8
)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


(
9
)深圳众禄基金销售股份有限公司


注册地址: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


(
10
)蚂蚁(杭州)基金销售有限公司


住所: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


(
11
)
北京蛋卷基金销售有限公司


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


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


(
12
)
大连网金基金销售有限公司


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



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:
400
-
619
-
9059


URL:
www.yibaijin.com


(
13
)
泰诚财富(大连)基金销售有限公司


注册地址: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


(
14
)
珠海盈米基金销售有限公司


注册地址: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
-
896290
66


URL:
www.yingmi.cn


(
15
)
北京唐鼎耀华基金销售有限公司


注册地址: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


(
16
)南京苏宁基金销售有限公司


注册地址: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


(
17
)
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


(
18
)
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


(19) 招商证券股份有限公司

住所:深圳市福田区益田路江苏大厦
A
seat
38
-
45
Floor


办公地址:深圳市福田区益田路江苏大厦A
座38
-
45
Floor

法定代表人:霍达

客户服务电话: 95565


URL:
www.newone.com.cn

(20)大同证券有限责任公司

住所:山西省太原市小店区长治路世贸中心12层

办公地址:山西省太原市小店区长治路世贸中心12层

法定代表人:董祥

客户服务电话:400-712-1212

网址:http://www.dtsbc.com.cn

(21)开源证券股份有限公司

住所:西安市高新区锦业路1号都市之门B座5层

办公地址:西安市高新区锦业路1号都市之门B座5层

Legal representative: Li Gang

客户服务电话:95325

网址:www.kysec.cn

(22) 万联证券股份有限公司

住所:广州市天河区珠江东路11号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座18、19
Floor

法定代表人:张建军

客户服务电话:95322

网址:www.wlzq.cn

(23) 中信证券股份有限公司

注册地址: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号中信证券大厦

法定代表人:张佑君

客户服务电话:95548

网址:www.cs.ecitic.com

(24) 中信证券 (山东)有限责任公司

注册地址:青岛市崂山区深圳路222号1号楼2001

办公地址:青岛市市南区东海西路28号龙翔广场东座5层

法定代表人:姜晓林

客户服务电话:95548

网址:sd.citics.com

(25)中信期货有限公司

注册地址: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层1301-1305、14层

办公地址: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层1301-1305、14层

法定代表人:张皓

客户服务电话:95548

网址:www.citicsf.com/e-futures

(26)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:4006206868

网址:www.lczq.com

(27) 交通银行股份有限公司

注册地址:上海市银城中路188号

办公地址:上海市银城中路188号

法定代表人:彭纯

客户服务电话:95559

网址:www.bankcomm.com

(28)阳光人寿保险股份有限公司

注册地址:海南省三亚市迎宾路360-1号三亚阳光金融广场16层

法定代表人:李科

客户服务电话: 95510

网址:www.sinosig.com

(29)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

(30)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

(31)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

(32)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

(33)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 室-67

法定代表人:于龙

客户服务电话:400-680-2123

网址:www.zhixin-inv.com

(34)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

(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22楼2201

法定代表人:马晓燕

电话:010-57835666,400-890-5288

传真:010-59112222

联系人:张艺颖

(三)出具法律意见书的律师事务所

名称:北京市君泽君律师事务所

地址:北京西城区金融大街9号金融街中心南楼6层

负责人:王冰


电话:010-66523388

传真:010-66523399

经办律师:张天民、周淼鑫

(四)审计基金财产的会计师事务所

名称:毕马威华振会计师事务所(特殊普通合伙)

办公地址:北京市东城区东长安街1号东方广场东2座办公楼8层

负责人:邹俊

电话:010-8508 5000

传真:010-8518 5111

经办注册会计师:左艳霞、刘珊珊


四、基金的名称

英大灵活配置混合型发起式证券投资基金




五、基金的类型

混合型基金



六、基金的投资目标

本基金通过把握宏观经济转折点,灵活配置权益类资产和固定收益类资产,
并在严格控制下行风险的基础上,力争实现基金资产较高的长期稳健回报。





七、基金的投资范围

本基金的投资对象是具有良好流动性的金融工具,包括国内依法发行上市的股票(包括中小板、创业板及其他经中国证监会核准上市的股票)、权证、
股指期货等权益类金融工具、债券等固定收益类金融工具(包括国债、央行票据、金融债、企业债、 公司债 、次级债、地方政府债券、中期票据、可转换债券(含分离交易可转债 )、短期融资券、资产支持证券、债券回购、银行存款


等)及法律法规或中国证监会允许基金投资的其他金融工具(但须符合中国证监会的相关规定)。


法律法规或监管机构以后允许基金投资的其他品种,基金管理人在履行适当程序后,可以将其纳入投资范围,其投资比例遵循届时有效法律法规或相关规定。


本基金投资组合资产配置比例:股票资产占基金资产的0%-95%;权证投资占基金资产净值的比例为
0%

3%
;
投资于债券、债券回购、货币市场工具、
银行存款以及法律法规或中国证监会允许基金投资的其他金融工具不低于基金资产的5%;每个交易日日终在扣除股指期货保证金以后,本基金保留的现金及到期日在一年以内的政府债券不低于基金资产净值的5%。





八、基金的投资策略

1、大类资产配置策略

本基金首先是进行大类资产配置,尽可能地降低证券市场的系统性风险,
把握各类资产的稳健投资机会;其次是采取自下而上的分析方法,从定量和定性两个方面,通过深入的基本面研究分析,精选具有良好投资价值的个股和个债券,构建股票组合和债券组合

2、股票投资策略

在新股投资方面,本基金管理人将全面深入地把握上市公司基本面,运用基金管理人的研究平台和股票估值体系,深入发掘新股内在价值,结合市场估值水平和股市投资环境,充分考虑中签率、锁定期等因素,有效识别并防范风险,以获取较好收益。


本基金二级市场股票投资以定性和定量分析为基础,从基本面分析入手。

根据个股的估值水平优选个股,重点配置当前业绩优良、市场认同度较高、在可预见的未来其行业处于景气周期中的股票。


(1)定量分析

本基金管理人结合案头分析与实地调研,对列入研究范畴的股票进行全面系统地分析和评价。


①成长能力较强


本基金认为,企业以往的成长性能够在一定程度上反映企业未来的增长潜力,因此,本基金利用主营业务收入增长率、净利润增长率、经营性现金流量增长率指标来考量公司的历史成长性,作为判断公司未来成长性的依据。


主营业务收入增长率是考察公司成长性最重要的指标,主营业务收入的增长所隐含的往往是企业市场份额的扩大,体现公司未来盈利潜力的提高,盈利稳定性的加大,公司未来持续成长能力的提升。本基金主要考察公司最新报告期的主营业务收入与上年同期的比较,并与同行业相比较。


净利润是一个企业经营的最终成果,是衡量企业经营效益的主要指标,净利润的增长反映的是公司的盈利能力和盈利增长情况。本基金主要考察公司最新报告期的净利润与上年同期的比较,并与同行业相比较。


经营性现金流量反映的是公司的营运能力,体现了公司的偿债能力和抗风险能力。本基金主要考察公司最新报告期的经营性现金流量与上年同期的比较,
并与同行业相比较。


②盈利质量较高

本基金利用总资产报酬率、净资产收益率、盈利现金比率(经营现金净流量/净利润)指标来考量公司的盈利能力和质量。


总资产报酬率是反映企业资产综合利用效果的核心指标,也是衡量企业总资产盈利能力的重要指标;净资产收益率反映企业利用股东资本盈利的效率,
净资产收益率较高且保持增长的公司,能为股东带来较高回报。本基金考察公司过去两年的总资产报酬率和净资产收益率,并与同行业平均水平进行比较。


盈利现金比率,即经营现金净流量与净利润的比值,反映公司本期经营活动产生的现金净流量与净利润之间的比率关系。该比率越大,一般说明公司盈利质量就越高。本基金考察公司过去两年的盈利现金比率,并与同行业平均水平进行比较。


此外,本基金还将关注公司盈利的构成、盈利的主要来源等,全面分析其盈利能力和质量。


③未来增长潜力强

公司未来盈利增长的预期决定股票价格的变化。因此,在关注公司历史成长性的同时,本基金尤其关注其未来盈利的增长潜力。本基金将对公司未来一


至三年的主营业务收入增长率、净利润增长率进行预测,并对其可能性进行判断。


④估值水平合理

本基金将根据公司所处的行业,采用市盈率、市净率等估值指标,对公司股票价值进行动态评估,分析该公司的股价是否处于合理的估值区间,以规避股票价值被过分高估所隐含的投资风险。


(2)定性分析

在定量分析的基础上,本基金结合定性分析筛选优质股票,定性分析主要判断公司的业务是否符合经济发展规律、产业政策方向,是否具有较强的竞争力和良好的治理结构。


根据定性分析结果,选择具有以下特征的公司股票重点投资:

①符合经济结构调整 、产业升级发展方向;

②具备一定竞争壁垒的核心竞争力;

③具有良好的公司治理结构,规范的内部管理;

④具有高效灵活的经营机制。


3、固定收益品种投资策略

本基金采用的固定收益品种主要投资策略包括:久期策略、期限结构策略和个券选择策略等。


(1)久期策略

根据国内外的宏观经济形势、经济周期、国家的货币政策、汇率政策等经济因素,对未来利率走势做出准确预测,并确定本基金投资组合久期的长短。


考虑到收益率变动对久期的影响,若预期利率将持续下行,则增加信用投资组合的久期;相反,则缩短信用投资组合的久期。组合久期选定之后,要根据各相关经济因素的实时变化,及时调整组合久期。


考虑信用溢价对久期的影响,若经济下行,预期利率将持续下行的同时,
长久期产品比短久期产品将面临更多的信用风险,信用溢价要求更高。因此应缩短久期,并尽量配置更多的信用级别较高的产品。


(2)期限结构策略

根据国际国内经济形势、国家的货币政策、汇率政策、货币市场的供需关


系、

投资者对未来利率的预期等因素,对收益率曲线的变动趋势及变动幅度做出预测,收益率曲线的变动趋势包括:向上平行移动、向下平行移动、曲线趋缓转折、曲线陡峭转折、曲线正蝶式移动、曲线反蝶式移动,并根据变动趋势及变动幅度预测来决定信用投资产品组合的期限结构,然后选择采取相应期限结构策略:子弹策略、杠铃策略或梯式策略。


若预期收益曲线平行移动,且幅度较大,宜采用杠铃策略;若幅度较小,
宜采用子弹策略,具体的幅度临界点运用测算模型进行测算。若预期收益曲线做趋缓转折,宜采用杠铃策略。若预期收益曲线做陡峭转折,且幅度较大,宜采用杠铃策略;若幅度较小宜采用子弹策略;用做判断依据的具体正向及负向变动幅度临界点,需要运用测算模型进行测算。


(3)个券选择策略

①特定跟踪策略

特定是指某类或某个信用产品具有某种特别的特点,这种特点会造成此类信用产品的价值被高估或者低估。特定跟踪策略,就是要根据特定信用产品的特定特点,进行跟踪和选择。在所有的信用产品中,寻找在持有期内级别上调可能性比较大的产品,并进行配置;对在持有期内级别下调可能性比较大的产品,要进行规避。判断的基础就是对信用产品进行持续内部跟踪评级及对信用评级要素进行持续跟踪与判断,简单的做法就是跟踪特定事件:国家特定政策及特定事件变动态势、行业特定政策及特定事件变动态势、公司特定事件变动态势,并对特定政策及事件对于信用产品的级别变化影响程度进行评估,从而决定对于特定信用产品的取舍。


②相对价值策略

本策略的宗旨是要找到价值被低估的信用产品。属于同一个行业、类属同一个信用级别且具有相近期限的不同债券,由于息票因素、流动性因素及其他因素的影响程度不同,可能具有不同的收益水平和收益变动趋势,对同类债券的利差收益进行分析,找到影响利差的因素,并对利差水平的未来走势做出判断,找到价值被低估的个券,进而相应地进行债券置换。本策略实际上是某种形式上的债券互换,也是寻求相对价值的一种投资选择策略。



这种投资策略的一个切实可行的操作方法是:在一级市场上,寻找并配置在同等行业、同等期限、同等信用级别下拥有较高票面利率的信用产品;在二级市场上,寻找并配置同等行业、同等信用级别、同等票面利率下具有较低二级市场信用溢价(价值低估)的信用产品并进行配置。


4、股指期货投资策略

本基金管理人将充分考虑股指期货的收益性、流动性及风险特征,通过资产配置、品种选择,谨慎进行投资,旨在通过股指期货实现基金的套期保值。


(1)套保时机选择策略

根据本基金对经济周期运行不同阶段的预测和对市场情绪、估值指标的跟踪分析,决定是否对投资组合进行套期保值以及套期保值的现货标的及其比例。


(2)期货合约选择和头寸选择策略

在套期保值的现货标的确认之后,根据期货合约的基差水平、流动性等因素选择合适的期货合约;运用多种量化模型计算套期保值所需的期货合约头寸;
对套期保值的现货标的Beta 值进行动态的跟踪,动态的调整套期保值的期货头寸。


(3)展期策略

当套期保值的时间较长时,需要对期货合约进行展期。理论上,不同交割时间的期货合约价差是一个确定值;现实中,价差是不断波动的。本基金将动态的跟踪不同交割时间的期货合约的价差,选择合适的交易时机进行展仓。


(4)保证金管理

本基金将根据套期保值的时间、现货标的的波动性动态地计算所需的结算准备金,避免因保证金不足被迫平仓导致的套保失败。


(5)流动性管理策略

利用股指期货的现货替代功能和其金融衍生品交易成本低廉的特点,可以作为管理现货流动性风险的工具,降低现货市场流动性不足导致的交易成本过高的风险。在基金建仓期或面临大规模赎回时,大规模的股票现货买进或卖出交易会造成市场的剧烈动荡产生较大的冲击成本,此时基金管理人将考虑运用股指期货来化解冲击成本的风险。


基金管理人应在季度报告、半年度报告、年度报告等定期报告和招募说明


书(更新)等文件中披露股指期货交易情况,包括投资政策、持仓情况、损益情况、风险指标等,并充分揭示股指期货交易对基金总体风险的影响以及是否符合既定的投资政策和投资目标。


5、权证投资策略

权证为本基金辅助性投资工具,其投资原则为有利于基金资产增值。本基金在权证投资方面将以价值分析为基础,在采用数量化模型分析其合理定价的基础上,立足于无风险套利,尽力减少组合净值波动率,力求稳健的超额收益。


基金管理人将建立股指期货交易决策部门或小组,授权特定的管理人员负责股指期货的投资审批事项,同时针对股指期货交易制定投资决策流程和风险控制等制度并报董事会批准。



九、基金的业绩比较基准

本基金业绩比较基准:
1
年期银行定期存款利率(税后)
+2%


among them,
1
年期银行定期存款利率是指中国人民银行公布的金融机构
1
年期人民币存款基准利率。



未来,如中国人民银行调整或停止发布基准利率,或市场有其他更适合本基金的基准时,本基金管理人可根据具体情况,与基金托管人协商一致后,对业绩比较基准进行相应调整并及时公告,无需召开基金份额持有人大会。






十、基金的风险收益特征

本基金为混合型基金,其预期风险、预期收益高于货币市场基金和债券型基金,低于股票型基金。






十一、基金的投资组合报告

本投资组合报告所载数据截至2019年9月30日,(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


占基金总资产的比例(
%
)


1

Equity investment

133,086,370.72


61.24







其中:股票

133,086,370.72


61.24


2

基金投资

-


-


3

Fixed income investment

50,329,000.00


23.16




其中:债券

50,329,000.00


23.16




资产支持证券

-


-


4

Precious metals investment

-


-


5

金融衍生品投资

-


-


6

买入返售金融资产

-


-




其中:买断式回购的买入返售金融资产

-


-


7

银行存款和结算备付金合计

33,027,638.32


15.20


8

其他资产

860,221.46


0.40


9

total

217,303,230.50


100.00






2、报告期末按行业分类的股票投资组合



Amount of unit: RMB

Code

industry category

公允价值

占基金资产净值比例(%)

A

农、林、牧、渔业


7,588,438.00


3.50


B

采矿业


-


-


C

manufacturing


71,432,436.16


32.99


D

电力、热力、燃气及水生产和供应业


-


-


E

建筑业


3,096,258.00


1.43


F

批发和零售业


6,328,791.00


2.92


G

Transportation, warehousing and postal services


8,690,360.00


4.01


H

住宿和餐饮业


-


-


I

信息传输、软件和信息技术服务业


4,189,864.64


1.94


J

Financial industry


11,590,415.92


5.35


K

Real estate


-


-


L

租赁和商务服务业


6,346,692.00


2.93


M

科学研究和技术服务业


-


-


N

水利、环境和公共设施管理业


-


-


O

居民服务、修理和其他服务业


-


-


P

education


-


-


Q

卫生和社会工作


9,548,295.00


4.41


R

文化、体育和娱乐业


4,274,820.00


1.97


S

Comprehensive


-


-







total


133,086,370.72


61.47






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



Amount of unit: RMB

Serial number

Stock code


Stock name


数量(股)


公允价值


占基金资产净值比例(%)


1

300498


Wen's shares


204,100


7,588,438.00


3.50


2

600763


Tongce Medical


69,000


7,072,500.00


3.27


3

601888


China International Travel Service


68,200


6,346,692.00


2.93


4

000063


ZTE


198,190


6,344,061.90


2.93


5

601933


Yonghui Supermarket


711,900


6,328,791.00


2.92


6

002475


Lixun Precision


221,840


5,936,438.40


2.74


7

603517


Superfood


128,900


5,228,184.00


2.41


8

000858


Wuliangye


40,100


5,204,980.00


2.40


9

000860


Shun Xin Agriculture


98,670


5,146,627.20


2.38


10

600519


贵州茅台


4,475


5,146,250.00


2.38






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


占基金资产净值比例(%)


1


国家债券


30,251,000.00


13.97


2


央行票据


-


-


3


Financial bond


20,078,000.00


9.27





其中:政策性金融债


20,078,000.00


9.27


4


企业债券


-


-


5


企业短期融资券


-


-


6


Medium-term notes


-


-


7


可转债 (可交换债)


-


-


8


同业存单


-


-


9


other


-


-


10


total


50,329,000.00


23.24







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


占基金资产净值比例(%)


1


190006


19
附息国债
06


200,000


20,252,000.00


9.35


2


190210


19
国开
10


200,000


20,078,000.00


9.27


3


019611


19
National debt
01


100,000


9,999,000.00


4.62












































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

本基金本报告期末未持有股指期货。


9.2 本基金投资股指期货的投资政策

本基金本报告期末未持有股指期货。





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

本基金本报告期末无国债期货投资。




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,本期内未发现本基金投资前十名证券的发行主体未发现被监管部门立案调查或编制日前一年内受到公开谴责、批评的情形。


11.2基金投资的前十名股票超出基金合同规定的备选股票库情况的说明

本期内本基金投资的前十名股票均未超出基金合同规定,也均在基金的备选股票池之内。


11.3 其他资产构成

单位:人民币元

Serial number


name


Amount


1


存出保证金


72,293.37


2


应收证券清算款


112,720.72


3


Dividends receivable


-


4


Interest receivable


669,892.29


5


应收申购款


5,315.08


6


Other receivables


-


7


Prepaid expenses


-


8


other


-


9


total


860,221.46






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

注:本基金本报告期末前十名股票中不存在流通受限情况


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2015年5月7日,基金合同生效以来(截至2019年9月30
日)的投资业绩及同期基准的比较如下表所示:




英大灵活配置A

stage

净值增长率①

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

2015.5.7-2015.12.31

2.7%

0.1%

2.52%

0.01%

0.18%

0.09%

2016.1.1-2016.12.31

2.81%

0.09%

3.42%

0.01%

-0.61%

0.08%

2017.1.1-2017.12.31

7.31%

0.17%

3.30%

0.01%

4.01%

0.16%

2018.1.1-2018.12.31

-8.72%

0.70%

3.20%

0.01%

-11.92%

0.69%

2019.1.1-2019.6.30

21.38%

1.18%

1.54%

0.01%

19.84%

1.17%

2019.7.1-2019.9.30

5.81%

0.79%

0.77%

0.01%

5.04%

0.78%





英大灵活配置B

stage

净值增长率①

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

② -③


②-④

2015.5.7-2015.12.31

2.5%

0.1%

2.52%

0.01%

-0.02%

0.09%

2016.1.1-2016.12.31

2.30%

0.09%

3.42%

0.01%

-1.12%

0.08%

2017.1.1-2017.12.31

6.89%

0.17%

3.30%

0.01%

3.59%

0.16%

2018.1.1-2018.12.31

-9.58%

0.70%

3.20%

0.01%

-12.78%

0.69%

2019.1.1-2019.6.30

20.26%

1.17%

1.54%

0.01%

18.72%

1.16%

2019.7.1-2019.9.30

5.65%

0.79%

0.77%

0.01%

4.88%

0.78%











十三、基金的费用与税收

(一)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
,
B
类基金份额的销售服务费;


4
、《基金合同》生效后与基金相关的信息披露费用;


5
、《基金合同》生效后与基金相关的会计师费、律师费和诉讼费;


6
、基金份额持有人大会费用;


7
、基金的证券交易费用;


8
、基金的银行汇划费用;


9
,
基金的相关账户的开户及维护费用


10
、按照国家有关规定和《基金合同》约定,可以在基金财产中列支的其他费用。



(二)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


本基金的管理费按前一日基金资产净值的
0.60
%
年费率计提。管理费的计算方法如下:


H


0.60

当年天数


H
为每日应计提的基金管理费


E
为前一日的基金资产净值


基金管理费每日计算,逐日累计至每月月末,按月支付,由基金管理人向基金托管人发送基金管理费划款指令,基金托管人复核后于次月前
2
个工作日内从基金财产中一次性支付给基金管理人。若遇法定节假日、公休假等,支付日期顺延。



2
、基金托管人的托管费



本基金的托管费按前一日基金资产净值的
0.25%
的年费率计提。托管费的计算方法如下:


H

E× 0.25 %÷
当年天数


H
为每日应计提的基金托管费


E
为前一日的基金资产净值


基金托管费每日计算,逐日累计至每月月末,按月支付,由基金管理人向基金托管人发送基金托管费划款指令,基金托管人复核后于次月前
2
个工作日内从基金财产中一次性支取。若遇法定节假日、公休日等,支付日期顺延。



3
,
B
类基金份额的销售服务费


基金销售服务费用于支付销售机构佣金、基金的营销费用以及基金份额持有人服务费等。本基金
A
类基金份额不收取销售服务费,
B
类基金份额的销售服务费率为年费率
0.5%
.



在通常情况下,
B
类基金份额的销售服务费按前一日
B
类基金份额资产净值的
0.5%
年费率计提。计算方法如下:


H

E
X
0.5%
÷当年天数


H
for
B
类基金份额每日应计提的销售服务费


E
for
B
类基金份额前一日基金资产净值


销售服务费每日计提,逐日累计至每月月末,按月支付。经基金管理人与基金托管人核对一致后,由基金托管人于次月首日起
2
个工作日内从基金财产中一次性划出,经登记机构分别支付给各个销售机构,若遇法定节假日、休息日,支付日期顺延。



上述“一、基金费用的种类中第
4
-
9
项费用”,根据有关法规及相应协议规定,按费用实际支出金额列入当期费用,由基金托管人从基金财产中支付。



本基金认购费的费率水平、计算公式、收取方式和使用方式等事项请参考本招募说明书第六部分相关内容。本基金申购费、赎回费、转换费的费率水平、
计算公式、收取方式和使用方式等事项请参考本招募说明书第八部分相关内容。



(三)不列入基金费用的项目


下列费用不列入基金费用:


1
、基金管理人和基金托管人因未履行或未完全履行义务导致的费用支出或



基金财产的损失;


2
、基金管理人和基金托管人处理与基金运作无关的事项发生的费用;


3
、《基金合同》生效前的相关费用;


4
、其他根据相关法律法规及中国证监会的有关规定不得列入基金费用的项目。



(四)基金税收


本基金运作过程中涉及的各纳税主体,其纳税义务按国家税收法律、法规执行。


















十四、对招募说明书更新部分的说明

根据《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》及其他有关法律法规的要求,公司结合英大灵活配置混合型发起式证券投资基金的运作实际,对其原招募说明书进行了更新,涉及五个部分:一是封面;二是重要提示;三是基金管理人;
四是相关服务机构;五是其他应披露事项。







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