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43nike9485qt ORANGE EKSTRAKLASA Dołączył: 26 Paź 2010 Posty: 812 Przeczytał: 0 tematów Ostrzeżeń: 0/5 Skąd: England |
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Qilu Securities Co., Ltd. Registered Address: Jinan City, Shandong Province Road 128 ten Office Address: Jinan City, Shandong Province by the legal representative of Ten Road 128 by: Li Wei Contact: Fu Yongmei Tel :0531 -81283728 Customer Service Phone: 95538 Website: [link widoczny dla zalogowanych] Third, the fund raising and listing of transactions (a) case 1 of the fund raising, fund raising organizations to apply for approval and approval of the text: China Securities Regulatory Commission, October 13, 2009 SFC license [2009] No. 1066. 2, the Fund Contract Date: December 4, 2009. 3, the fund works: exchange-traded. 4, the fund contract: from time to time. 5, Release date: November 9, 2009 to November 27, 2009. Among them, net of cash under the Cash Offer and the sale date online 9 November 2009 to November 27, 2009, the date of the offering under the net for the November 23, 2009 to November 27, 2009. 6, the selling price: RMB 1.00. 7, the sale by: Investors can choose to subscribe in cash online, offline and offline cash stock options to subscribe for 3 ways. 8, offering institutions: (1) net of cash sold agencies under the Southern Fund Management Co., Ltd. (2) agency offering online cash online cash subscription business of the Fund with fund distribution business through the following qualifications and membership of the Shenzhen Stock Exchange for securities companies (sorted in alphabetical order): Guoxin Securities, China Merchants Securities, Ping An Securities, the Great Wall Securities, Everbright Securities, Founder Securities, Huatai Securities, GF Securities, Guangzhou Securities, Century Securities, West China Securities, Shanghai Securities countries, the United News securities, Nanjing securities, Huaxin Securities, Hualin Securities, Xiamen Securities, National Securities, SW, CITIC Wantong, Hai Tong Securities, Shanxi Securities, Minsheng Securities, Industrial Securities, GF Hua Fu, Changjiang Securities, Dongguan Securities, the League of securities , State Securities, Northeast Securities, Hang Tai Securities, Hua Securities, Donghai Securities, CITIC Securities, Soochow Securities, Zhongshan Securities, First Capital, Datong Securities, Hongyuan Securities, Tibet securities Xiangcai Securities, CICC, United Securities, Orient Securities, Guotai Junan, Southwest Securities, China Galaxy Securities, Western Securities, Bohai Securities, Shanghai Securities, Hualong Securities, million UFJ Securities, Qilu Securities, of state securities, letter of Thai securities, capital securities, Bank Securities, Warburg Securities , Hongta Securities, CITIC communication, letter dated securities, Zhejiang Securities, Jiangnan Securities, Fortune Securities, Jin and Yuan Securities, Guosheng Securities, Central China Securities, Debon securities, financial Tong Securities, New Times Securities, Jianghai Securities, the investment securities , CSC, EMC stock, Yintai Securities, UBS Securities. Before the end of the fund raising fund distribution obtained by eligible members of the Shenzhen Stock Exchange Shenzhen Stock Exchange, open-end fund sales system for the Fund's subscription business. (3) agency under the net stock sale Huatai Securities, China Galaxy Securities, Industrial Securities, GF Securities, United Securities, Guotai Junan Securities, CITIC Securities, Hai Tong Securities, CSC, SW, Dongguan Securities, Guoxin Securities, China Merchants Securities Great Wall Securities, Xiangcai Securities, Kim Tong Securities, Bohai Securities, Nanjing Securities, the League of Nations Securities, Everbright Securities, Northeast Securities, Guangzhou securities, capital securities, Qilu Securities, CITIC Wantong, Shanxi Securities, Changjiang Securities, First Capital, Central China Securities, BOC International, Soochow Securities, Ping An Securities, Sealand Securities, the investment securities, Jiangnan Securities, Debon Securities, Southwest Securities, Founder Securities, Guosheng Securities, Hua Securities, Datong Securities, Hualin Securities, New Times Securities , Shanghai Securities, Minsheng Securities, Orient Securities, Hongyuan Securities, Essence Securities, Tokai Securities, Western Securities, Hang Tai Securities,[link widoczny dla zalogowanych], million UFJ Securities, securities of state, Jin and Yuan Securities, Zhejiang Securities, Yintai Securities, Huaxin Securities , Century Securities, Warburg Securities, Hualong Securities, State Securities, Jianghai securities, Cinda Securities, Huarong Securities (sorted in alphabetical order.) 9, the verification agency name: PricewaterhouseCoopers Zhong Tian CPAs Limited Company 10, the total funds raised and accounted for the situation Shenzhen component exchange-traded index securities investment funds on November 9, 2009 from the public offering, the Fund has been raised on November 27, 2009 concluded successfully. By PricewaterhouseCoopers Zhong Tian CPAs Limited verification, this raised the total amount raised RMB 4,127,252,482.00 (including by raising the stock market), the effective subscription monies in the Fund arising before the date of verification confirmed a total of 303,329.68 yuan interest, in accordance with the Fund fund contracts, the prospectus of the agreement, which 286,055.00 USD terms for the fund shares were credited to the fund account holders of fund shares, all holders of fund shares owned; the remaining 17,274.68 per share calculation for the discount end of the interest differential into the fund assets. Fund-raising was December 3, 2009 included in the fund custodian of the Fund Industrial and Commercial Bank of China's fund custody account opened, raising the stock was December 3, 2009 by the China Securities Depository and Clearing Corporation Limited Shenzhen Branch for transfer. This raised the total number of valid subscription is 42,054 households. Nominal value of each sale of fund shares by 1.00 yuan terms, raising the amount of proceeds (including by raising the stock market) and interest carry-over of the fund shares were a total of 4,127,538,537.00, have all been included in the investor account, in the final investment by all. Of which the fund managers of employees in fund Southern Fund Management Co., Ltd. does not subscribe to the Fund. The fund raising took place during the disclosure fees, accountant fees, legal fees and other expenses, not paid from fund assets. 11, the record of the fund raising situation under the \Type Index Securities Investment Fund prospectus, \come into effect. Since the effective date of the fund contract, the fund managers began to formally manage the fund. (B) of the fund shares converted under the \\The Shenzhen Component Index closed the day is 13016.557 point, the net assets of the Fund 3,964,290,323.04 yuan, total fund shares before conversion 4,127,538,537.00 copies, discounted net value of fund shares prior to 0.960 yuan. Conversion formula based on the fund shares, share conversion ratio of 0.73786718 fund, fund shares after the conversion were a total of 3,045,554,507, net value of fund shares after conversion to 1.302 yuan. The fund managers have been converted according to the proportion of share holders of the funds to subscribe for shares in the fund was converted by the China Securities Depository and Clearing Corporation Limited on January 15, 2010 completed the change of registration. Calculation of fund shares after the conversion to the nearest whole number (rounding fractional part, rounding part of the property included in the Fund.) (C) the Fund traded on the main contents of 1, the fund traded approved institution and approved the text: Shenzhen 【2010】 38 on 2 listing date: February 2, 2010 3, the publicly traded securities transactions by: Shenzhen Stock Exchange 4, the fund referred to secondary market transactions: deep into the ETF5, secondary market trading symbol: 159,903 investors in the Shenzhen Stock Exchange, the member may participate in the fund securities business department 6 secondary market transactions, the times publicly traded shares: 3,045,554,507 were 7, the circulation of shares of unlisted trading provisions: After the listing of the Fund, all of the fund shares can be traded, there is not traded fund shares. Fourth, the holder households, the holder structure and the top ten holders of (i) holders of households as of January 26, 2010, the fund share holders for the 42,036 households households, average household held Fund share of 72,451 copies. (B) The holder structure as of January 26, 2010, holders of shares of the Fund is structured as follows: Fund shares held by institutional investors is 784,984,868, accounting for 25.7748% total share of the Fund; individual investors hold Some fund share 2,260,[link widoczny dla zalogowanych],569,639, accounting for 74.2252% total share of the Fund. (C) As at January 26, 2010, the top ten fund share holders case name number of fund shares held by holders of share of share of the total percentage of funds (%) 1 Hai Tong Securities Co., Ltd. 118,075,9863.882 Qilu Securities Co., Ltd. 110,684,8723.633 Wang Qiaoying 73,797,7852.424 GF Securities Co., Ltd. 51,652,2521.705 Northeast Securities Co., Ltd. Guoxin Securities Co., Ltd. 36,904,4281.217 37,147,0801.226 CSC Great Wall Securities Co., Ltd. 36,897,6731.218 36,896,0021.219 Huatai Securities Co., Ltd. China Merchants Securities Co. Ltd. 36,895,7021.2110 25,826,1260.85 Note: The above information is based on Shenzhen, China Securities Depository and Clearing Co., Ltd. office holders to provide information on the preparation. Fifth, the major party fund profile (a) of the Fund Manager Name: Southern Fund Management Co., Ltd. Legal representative: Wu Wanshan General Manager: Gao Liangyu Registered Capital: 150 million yuan registered address: Shenzhen Futian District Fuhua Road on the 6th duty-free business building towers set up the whole layer 31,32,33 layer of approval: the word-based China Securities Regulatory Commission China Securities Regulatory Commission [1998] 4, industrial and commercial registration of the business license of the text: 440301103129537 Business: fund raising, fund distribution, asset management China Securities Regulatory Commission approved two other business, shareholders and the investment ratio: 45% of Huatai Securities Co., Ltd., Shenzhen Airport (Group) Co., Ltd. 30%, Xiamen International Trust Co., Ltd. 15% and 10% of Industrial Securities Co., Ltd. . 3, the internal organizational structure and functions of the investment decision-making responsibilities of the Committee the name of the Fund's assets in the operation of the guidance of the Committee to determine the basic investment strategy and portfolio risk management committee to study the principles of risk management policies and systems for major risk solutions, guidance and supervision various functional departments of the name of risk management departments of the Function of the Ministry of public offering stock class investment products, Investment Management and Research Fund Department is responsible for macroeconomic policy, trade and investment management accounts of listed companies of the Ministry of pension, social security and equity products, asset account Fixed Income Investment Management Department is responsible for fixed income assets of the Fund's investment management products and international business investment for international fund management and business co-operation is responsible for risk control strategy for the investment strategy of the Ministry of quantify the estimated amount of investment, investment return risk monitoring and performance because of the pension annuity fund business unit responsible for market development and services business unit responsible for the organization and one to one direct marketing products, business development and account services to many account account management department is responsible for business development of products and services work is responsible for product development, product development, design, approval and product management department is responsible for brand strategy development, product promotion, marketing planning, media campaigns, public relations services to maintain channels of the marketing department is responsible for the supervision and control centers and distribution channels Headquarters maintenance, channel marketing manager's training center is responsible for the eastern region raised funds, one to many accounts and other products sales and distribution channels within the region of maintenance and service sector marketing center south of the northern West Marketing Center Marketing Center Fund for the Ministry of commerce products, online sales and website construction market for the fund holders Services to provide professional services and finance and investment information services Hefei Branch CALL-CENTER customer sales and service center to monitor the Internal Audit Department is responsible for compliance and operational risk management department is responsible for the overall management of transactions Implementation Fund, the combination of orders, the implementation of front-line risk monitoring information technology department is responsible for information technology platform to ensure the operation of Security is responsible for business development and product marketing investment transactions back office settlement, accounting and investment operation of the Human Resources Department is responsible for the periodic disclosure of human resources management and services to enable companies to obtain and maintain competitive advantages of the Integrated Management of Human Resources Department is responsible for office management, financial management, logistics support the work of the Ministry of party-party and the Communist Youth League, trade unions responsible for the work of Ji Jianban Beijing branch office of the infrastructure work as a company window in Beijing Shanghai branch of business as the company's business in the Shanghai area window 4, Personnel As of December 2009, the company employs 305 people, 14 Ph.D., master 143, 136 undergraduates, 12 others . 5, the person in charge of information disclosure: Bao Wenge Tel :400 -889-88996, the fund management business case as of December 2009, China Southern Fund Management Co., Ltd. subsidiary manages a total of 19 open-end funds and two closed-end funds and more than just social security portfolio and annuity portfolios with combined assets of over more than 1830 billion yuan, an open-end funds under management have solid South, the South Po-yuan, the South hedge, the South cash, integrated with the South, the South high growth, South Victoria, South steady No. II, Southern blue-chip, the South Long Yuan, the South component, the value of the South, the South Sheng Yuan, South constant dollars, the South 300, Southern 500, deep into the ETF, the south and south deep into the world; closed-end funds are funds Kaiyuan and Tianyuan Fund; and a number of national social security fund and corporate pension trust investment portfolio investment portfolio. 7 About the Fund Fund Manager Mr. Pan Haining, born in 1977, accounting degree, 9 years experience of fund practice, with fund practice. Served in a rich Fund Management Co., Ltd., in 2003 joined the Southern Fund Management Co., Ltd., has served as industry researchers, the Fund Kaiyuan assistant manager, assistant director of investment positions, since March 2009 as the South Shanghai and Shenzhen 300 Index Fund Fund Manager ; currently sits deep into the ETF and its feeder fund managers. (B) a fund custodian, fund custodian profile name: Bank of China Ltd Registered Address: Fuxingmennei Avenue, Xicheng District, Beijing, No. 55 Established: January 1, 1984 Legal Representative: Jiang Jianqing Registered Capital: RMB 334,018,850,026 yuan Tel :010 -66105799 Contact: Jiang Songyun 2, key personnel situation at the end of 2009, 9, ICBC Asset Custody Department employs 123 people, average age 30 years old, 95% more employees with a university degree or above, senior executives all have master's degrees or higher titles. 3, the fund custody business operation of China's first start as a securities investment fund custody business of commercial banks, Industrial and Commercial Bank of China always adhere to the \risk management and internal control system, standardized business management, custody business sound system, a powerful marketing capabilities, to the general fund share holders and the number of asset managers to provide safe, efficient and professional hosting services, has achieved outstanding performance. As of September 2009, hosted 131 securities investment funds, which closed eight, open 123. Has been formed, including securities investment funds, trust assets, insurance assets, social security fund, annuity, industry funds, QFII assets, QDII products, including managed assets of the business system. In early 2009, ICBC has been \bank \(C) verification agencies PricewaterhouseCoopers Zhong Tian CPAs Limited Company Address: Shanghai, 1233 Lujiazui Ring Road Pudong New Area, Azia 1604-1608 Room Office Address: No. 202 Hubin Road, Shanghai, 11th Floor, PricewaterhouseCoopers Center, the statutory Representative: Yang Shaoxin Tel :021 -23238888 Fax :021 -23238800 Contact: CPA single peak Attn: Xue Jing, six single peak, the fund contract summary a summary of the fund contract and the annex. Seven, the Fund's financial condition (a) during the fund raising fund raising costs of this disclosure that occurred during the charge, accounting fees, legal fees and other expenses, not paid from fund assets. (B) of the Fund prior to listing the important financial matters to the Fund after the sale before the announcement of listing announcements of important financial matters not happen. (C) The balance sheet of the Fund The Fund January 26, 2010 balance sheet as follows: Assets Liabilities and Equity end of the period ending balance of the balance of assets: Liabilities: Short-term bank loan settlement provisions 24,766 1,604,649.37 , 146.55 trading financial liabilities, guarantee deposits 4,186,540.98 trading derivative financial liabilities Financial assets sold under agreements to repurchase 3,682,624,289.03 of which: equity securities settlement accounts payable 3,682,624,289.03 bonds to meet redemption shall meet the asset-backed securities investment fund investment management fees payable to the trustee fee 1,432,233.46 286,446.71 derivative financial assets to meet sales and service fees payable under resale transaction costs of financial assets receivable 3,434,190.16 Securities settlement accounts payable taxes and interest receivable 727,380.11 2,329,681.61 Interest payable Accounts receivable dividend payable subscription fund profits of other assets and liabilities Other liabilities Total 5,322,563.39 169,693.06 Equity: Paid Fund 4 , 127,538,537 Retained earnings Total equity -416,622,412.74 3,710,916,124.26 Total Assets: 3,716,238,687.65 Total liabilities and equity holders: 3,716,238,687.65 Note: The Fund for the fund shares outstanding 3,045,554,507 copies of fund shares is 1.218. August, the fund portfolio as of January 26, 2010, the Fund's investment portfolio as follows: (a) the name of the Fund portfolio project The project total assets of the Fund share of total market value of the stock 3,682,624,289.0399.10% Bonds 0.000.00% Provision for bank deposits and total liquidation of assets 7,243,602.700.19% 26,370,795.920.71% Other assets 3,716,238,[link widoczny dla zalogowanych],687.65100.00% (b) by sector Stock Portfolio Project Name Amount (yuan) A proportion of total fund assets in agriculture, forestry, animal husbandry, fisheries 0.000.00% B extractive industries manufacturing 1,901,653,443.2651.24 251,623,408.356.78% C % C0 food, beverage 443,040,602.2811.94% C1 textiles, clothing, fur 0.000.00% C2 wood, furniture 0.000.00% C3 paper, printing and 0.000.00% C4 petroleum, chemical, plastic, plastic 100 067,262.002.70% C5 e 0.000.00% C6 metal, nonmetal 538,711,686.8414.52% C7 machinery, equipment, instruments 612,648,776.0116.51% C8 medicine, biological products 207,185,116.135. 58% C99 other manufacturing 0.000.00% 0.000.00% D Electricity, gas and water production and supply of 32,846,987.910.89% E Construction 0.000.00% F Transportation, warehousing 33,476, 923.080.90% G 223,615,244.826.03% H information technology industry, wholesale and retail trade 204,069,782.705.50% I finance, insurance real estate 480,914 469,964,382.3912.66% J, 897.7212.96% K Social Services 84,459,218.802.28% L and Cultural Industry Comprehensive 0.000.00 0.000.00% M% 0.000.00% 0.000.00% Total 3,682,624,289.0399.24 % (c) of market value of net assets of the Fund's top ten order of the proportion of the stock ticker stock name details (share) the fair value (dollars) of net market value accounting for more than 000002 Vanke A36, 116,079332,990,248.388.9733 % 000001 Shenzhen Development A11, 616,064256,134,211.206.9022% 000858 Wuliangye 7,491,756221,606,142.485.9717% 002024% 000063 Suning Appliance 11,299,545204,069,782.705.4992 ZTE 3, Xishan Coal and Electricity 4,967,149152,541,145.794.1106 806,583166,956,730.384.4991% 000983% 000651% 000623 Jilin Aodong Gree 5,697,993136,523,912.283.6790 2,199, 513114,946,549.383.0975 Luzhou 2,903,046104,654,808.302.8202% 000792% 000568 Salt Lake Potash 1,755,566100,067,262.002.6966% (d) classification by Quanzhong bond portfolio As of January 26, 2010, the Fund does not hold bonds. (E) ratio of market value net worth of the top five bond order of detail at January 26, 2010, the Fund does not hold bonds. (F) Portfolio Statements (1) According to the February 26, 2009 Qinghai Salt Lake Potash Co., Ltd. (hereinafter: Salt Lake Potash, stock code: 000792) \Notice \2008 to 500 million related to financial penalties. According to September 9, 2009 Wuliangye Yibin Co., Ltd. (hereinafter: Wuliangye, stock code: 000858) \the relevant provisions to suspected violations of securities laws and regulations Wuliangye the company investigation. Present, the case is still under investigation. The Fund for the exchange-traded index securities investment funds, fund managers of these two stocks in the investment decision-making procedures comply with relevant laws and regulations and system requirements. The remaining eight shares issued during the reporting period was the main regulatory authorities not to initiate an investigation or preparation of this report within one year before being publicly condemned, the penalty situation. (2) The Fund invests in the top ten equity funds does not exceed the stock options under the contract database. (3) Other assets: No amount of other assets (yuan) 1 margin trading securities settlement accounts receivable 4,186,540.982 2,329,681.613 727,380.114 interest receivable subscription fund receivables 0.006 0.005 Other receivables deferred Total 7,243,602.70 0.00 0.007 Other costs (4) conversion of the Fund held in convertible bonds of the details as of January 26, 2010, the Fund did not hold the convertible bonds. (5) the net assets of the Fund at market value ratio of small order of proof of ownership as of January 26, 2010, the Fund does not hold warrants. September, major incident has revealed January 13, 2010, the Fund for the fund shares converted, the specific circumstances detailed in the book of this announcement, \Ten, the fund manager committed to the exchange-traded fund manager, after the fund manager to perform duties of commitment: (a) strictly abide by the \the principles of management and use of fund assets. (B) true, accurate, complete and timely disclosure of information disclosed in periodic reports and other relevant documents, the disclosure of all fund shareholders have a significant impact information, and accepted by the CSRC, Shenzhen Stock Exchange's supervision and management. (C) knows the prices of the Fund may be misleading or cause significant fluctuations in the impact of any public media or appear in the news circulating in the market, it will promptly be made public clarification. XI, the Fund committed to the fund custodian trustee After the listing of the Fund to perform duties of the trustee to commit: (a) strictly abide by the \\(B) The \calculation, calculation of fund shares monitoring and verification; if found Fund Manager \Manager corrected; fund manager of the fund custodian, failed to notice the irregularities corrected within the time limit, the fund trustee will promptly report to the CSRC. Second, the fund share purchase and redemption (a) place purchase and redemption of investor subscription and redemption agent broker should handle the fund subscription and redemption of the premises and available by subscription and redemption agent broker for funds in other ways subscription and redemption. Fund managers may change or increase or decrease depending on the circumstances fund subscription and redemption agent broker, and announce it. The premise of the relevant conditions permit, the fund manager can increase or adjust the purchase and redemption agent, and announce it. Currently, the Fund subscription and redemption agent broker as follows: Huatai Securities Co., Ltd., China Galaxy Securities Co., Guotai Junan Securities Co., Ltd., Hai Tong Securities Co., Ltd., China Securities Co., Ltd., Guoxin Securities Shares Co., Ltd., Northeast Securities Co., Ltd., Qilu Securities Co., Ltd.. If the Shenzhen Stock Exchange, subscription and redemption agent broker, registration and settlement institution for purchase due to abnormal situation can not be redeemed, the fund managers will be announced. (B) the purchase and redemption of open days and time 1, purchase and redemption of the start time from February 2, 2010 onwards, the Fund began to apply for subscription and redemption. 2, open days and open for investors to purchase, redemption, open days and other business transactions on the Shenzhen Stock Exchange (fund managers suspend the purchase or redemption notice, except), open the Shenzhen Stock Exchange transaction time. Not at this time for fund shares outside of the subscription, redemption. If the Shenzhen Stock Exchange to change the trading hours or the actual circumstances so require, the fund manager may purchase and redemption of time to adjust, but this adjustment should be in the implementation of at least 3 working days before a designated media announcement. (C) the principle of purchase and redemption of 1 share of the Fund by way of subscription and redemption of shares, which are share purchase and redemption applications. 2, the Fund's purchase of the price, redemption price, including portfolio of securities, cash alternative, cash balance and other on price. 3, purchase, redemption may not be revoked after the submission of an application. 4, purchase, redemption shall comply with \5, the fund manager according to the actual operation of the Fund, without prejudice to the interests of fund shareholders, not contrary to the case of exchange rules to change these principles. Fund managers must be implemented before the new rules in accordance with \(D) procedures for a purchase and redemption, purchase and redemption of the way investors are required to apply for subscription and redemption procedures provided for agency broker in the proposed opening hours of the open day purchase and redemption applications. Investors to purchase the Fund will be subject to subscription and redemption on the price list of an ample supply of purchase. Investors submit a redemption application, must have sufficient cash balance and fund shares, or an application submitted by redemption transactions are not invalid. 2, confirm the purchase and redemption of fund investor subscription and redemption applications received to confirm the date. If you fail to provide to meet the requirements of the purchase consideration, the purchase application fails. If investors hold shares in the fund to meet the requirements or failure to comply with requirements for less than full in cash, or the Fund does not have the investment portfolio to meet the requirements of the redemption in full of the price, the redemption requests fail. Investors can apply for the date of application through its purchase and redemption sales office confirmed cases of the application. 3, the liquidation of purchase and redemption of the Fund settlement and registration of purchase and redemption of shares involved in the process and the settlement of fund shares for the settlement of the Shenzhen Stock Exchange rules. Investors T day of subscription and redemption after the success of the T at registration and settlement institution for investors after the close of the liquidation of portfolio securities for settlement, and fund shares, the cash alternative of liquidation, in the T +1 day for fund shares, the cash alternative the difference between the settlement and liquidation of cash in the cash balance for T +2 day settlement, and the results sent to the subscription and redemption agent brokers, fund managers and fund custodians. If the registration and settlement agencies in the settlement and delivery performance when the situation found to be normal, then according to \. Registration and settlement institution in the extent permitted by laws and regulations, settlement and registration of the liquidation of the processing time, methods to adjust, and no later than 3 working days before the commencement of at least one in the disclosure of information designated by the CSRC announcement media . (E) limit the amount of purchase and redemption of investor subscription and redemption of fund shares must be a minimum purchase and redemption of units of a multiple. The minimum fund subscription, redemption of units is 30 million, the fund manager has the authority to adjust them, and before the adjustment in accordance with \(Vi) purchase and redemption of the price, the cost and the use of 1 means the purchase consideration shall be delivered to investors purchase fund shares, a combination of securities, cash alternative, cash balance and other on price. Redemption price of the investors on redemption of fund shares, the fund manager's portfolio should be read by paid to redeem the securities, cash alternative, cash balance and other on price. On the price of purchase and redemption of the price under the purchase and redemption of the list and investors purchase and redemption of fund shares determine the amount. 2, investors in the purchase or redemption of fund shares, the purchase and redemption agent broker in accordance with the standards of not more than 0.5% commission, which includes stock exchanges, clearing organizations and other charges related costs. 3, T-day fund shares after the close of the day, calculated, and the T +1 day notice, the date of calculation formula for the calculation of net asset value divided by the date of sale the total number of outstanding fund shares. Purchase and redemption of the list prepared by the fund managers. T-day purchase and redemption of the list in the Shenzhen Stock Exchange opened the day before the announcement. Under special circumstances, you can calculate the appropriate delay or notice, report to the CSRC for the record. (Vii) purchase and redemption of the content and format of a list, purchase, redemption date list of the contents of the T purchase, redemption notice the list includes the minimum purchase and redemption of units corresponding to the combination of securities, cash substitution, T day forecast Cash balance, T-1 日 cash balance and fund shares, and other relevant content. 2, the combination of portfolio securities-related content is included in the underlying index fund all or part of the securities. Purchase and redemption of the list will be posted the minimum purchase and redemption of units corresponding to the name of each component stock, stock code and quantity. 3, the contents of the cash alternative to the cash alternative is related to subscription and redemption process, the investors by the fund contract and prospectus requirements, used to replace part of the securities portfolio in a certain amount of cash. A cash alternative to suspension in the relevant constituent stocks of the investors in such circumstances to facilitate the purchase, and to improve the efficiency of operation of the Fund, the fund manager in the development of specific methods to follow the cash alternative to the principle of fair and open, to protect the interests of fund shareholders as a starting point, and make timely and full disclosure of information. (1) Cash Alternative is divided into 3 types: prohibited cash alternative (marked as \Prohibit cash alternative means of subscription and redemption of fund shares, the composition does not allow the use of cash as an alternative to the securities. Cash alternative is to purchase fund shares at the time, allowing the use of cash as all or part of the component securities of the alternative, but in the redemption of fund shares, the composition does not allow use of securities instead of cash. Cash alternative means must purchase and redemption of fund shares, the component securities must use the cash as an alternative. (2) applies to the case with cash alternatives ①: You can cash alternative securities generally due to the suspension and other causes when investors can not buy in the purchase of securities. ② replacement amount: for with cash instead of securities, alternative amount is calculated as: alternative value = replace the number of securities × the securities by the ex-dividend adjusted T-1 closing price × (1 + cash alternative deposit rate) for the use of the cash alternative securities, fund managers need to resume trading in the stock after the purchase, but the actual purchase price plus related transaction costs and purchase the latest when the price may vary. For ease of operation, the fund manager in the list of subscription and redemption cash alternative pre-determined deposit rates, and accordingly the amount of charge replacement. If the amount received in advance of purchase, the part above the actual cost of the securities, the fund manager will receive the refund of the difference; if less than the amount received in advance of purchase, the actual cost of the part of the securities, the fund managers will charged to investors, the lack of balance. ③ T substitution at the amount of processing, fund managers in the purchase and redemption of the list published in the cash margin rate of substitution, and accordingly the amount of charge replacement. T in the future be replaced in the composition of trading securities are normally 2 trading days (referred to as T +2 days), the fund manager will be the amount received to buy replacement parts to be replaced securities. End of T +2 day, Ruoyi replaced all the securities purchased, places instead being replaced with the amount of the actual acquisition cost of securities (including purchase price and transaction costs) of the difference to determine the funds should be returned to investors or investors should pay the money; if they failed to acquire all of the securities being replaced, places replacement parts purchased amount is replaced by the actual acquisition cost plus the securities in accordance with the closing price of T +2 days outstanding was partially acquired the difference between the replacement value of securities, to determine the Fund shall be returned to investors or investors should pay the money. Exceptional circumstances: if the date from the T, the Shenzhen Stock Exchange, the normal trading day has been reached on the 20th trading day and the stock is lower than normal on the 2nd, places instead acquired some amount of securities being replaced with the actual purchase cost according to a recent closing price of the outstanding securities purchased part of the difference between the value to be replaced, to determine the Fund shall be returned to investors or investors should pay the money. T +2 working days after the first one (if in exceptional circumstances, for the 21 trading days from the date of T), fund managers will be refunded and the replenishment of the detail sent to the registration and settlement institutions, registration and settlement institutions Duotuishaobu funds for the liquidation of the cash alternative; T +2 after the first two days (if in exceptional circumstances, for the 22 trading days from the date of T), registration and settlement institution for the funds to pay cash alternative Duotuishaobu income. ④ alternative restrictions: the effective control of the Fund's track deviation and tracking error, the fund manager may provide investors with an alternative to the total proportion of the cash purchase of fund shares may not exceed a certain percentage of net asset value. The proportion of the cash alternative is calculated as: Description: Assume the same day the stock can only cash alternative number n. (3) must apply to the case ① cash alternative: an alternative to cash securities generally due to the adjustment of the underlying index will be removed, or the holders of fund managers for the protection of the interests of the principle reasons that the need to implement an alternative to cash component securities. ② alternative Amount: For an alternative to cash securities, fund managers in the purchase, redemption notice the list of a certain amount of the cash alternative, that \Fixed alternative method of calculating the amount of purchase and redemption of the list of the number of securities multiplied by the ex-dividend adjusted by the closing price of T-1. 4, the estimated expected cash balance related to the contents of the cash balance is estimated by the fund managers purchase and redemption in the T list published on the day the difference between the estimated cash value of the difference between the estimated cash purchase and redemption by the pre-freeze agent broker. Estimated cash balance is calculated as: T at estimated cash balance = T-1 日 minimum purchase and redemption of fund units in the net asset value - (the list of subscription and redemption must be replaced by a fixed amount of cash + alternative list of subscription and redemption components can be replaced by the number of securities in cash and T ex adjusted Nikkei closing price of the product before purchase and redemption of and + the list of prohibited ingredients in cash instead of securities by the number of days with the T ex adjusted closing price of the product before and) which , T by the ex-dividend day closing price prior to the adjustment provided by the Shenzhen Stock Exchange. In addition, if the T at ex-dividend date for the Fund dividend, then the formula of \Estimated cash value of the difference may be positive, negative or zero. 5, the cash balance related to the difference in the content of T on T +1 day cash purchase, redemption notice in the list, the formula is: T = T day at the minimum cash balance subscription and redemption of units of the net assets of the Fund - (purchase, redemption of the list must be replaced by a fixed amount of cash alternative + subscription and redemption cash alternative to the list of ingredients can be used and the number of securities multiplied by the closing price of T and + purchase and redemption against the list of securities with a cash alternative ingredients number and multiplying the closing price of T and). T on investors purchase and redemption of fund shares, the T +1 day basis having T-day notice the difference between the cash settlement and delivery of funds. The difference between the cash value may be positive, negative or zero. When investors purchase, such as cash balance is positive, then the investors should purchase shares in the fund according to their corresponding cash payments, such as cash balance is negative, then the investor will purchase shares in the fund based on their access to the corresponding cash; in When investors redeem, such as cash balance is positive, then the investors will redeem shares in the fund in accordance with its corresponding cash received, such as cash balance is negative, then the investor should redeem fund shares in accordance with its corresponding cash payment . 6. Purchase and redemption of the format of the list of subscription and redemption list format example: the basic information bulletin date :2009-1-27 Fund Name: Shenzhen component index exchange-traded fund securities investment fund management company name: South Fund Management Limited Fund Code: 159 903 subject index code: 399001T-1 Day message content of the cash balance (unit: yuan) 0 unit minimum purchase and redemption the net asset value (unit: RMB) 365,540.93 fund shares (unit: RMB) 1.218T at estimated cash balance of information content (unit: yuan) 717.93 minimum purchase redemption of units (unit: copies) 300,000 T redemption of units at the minimum subscription amount of dividends (unit: RMB) 0.0 is the need to announce whether to allow the purchase of any IOPV whether to allow No cash alternative can be redeemed 25% of the proportion of maximum information content of the constituent stocks of the name of the number of shares the stock ticker symbol for the cash alternative instead of cash deposit rate of a fixed amount of 000,001 instead of deep to allow the development of A1100 21.0% 000,002 21.0% 000,024 China Vanke A3600 allows 300 allows investment property Shenzhen Energy 200 21.0% 000027 21.0% 000039 in the set of allowed groups allow 21.0% 000 060 400 300 allowed in the gold Lingnan ZTE 400 21.0% 000,063 21.0% 000,069 permit to allow 21.0% OCT A600 Zoomlion 300 000 157 21.0% 000 338 Weichai allowed 200 21.0% 000 402 Power Street, allow 800 allows the U.S. 21.0% 000,527 21.0% 000,538 electrical Yunnanbaiyao 500 allows 100 allows 200 allows Hong Yuan Securities 21.0% 000,562 21.0% 000,568 21.0% 000,623 Luzhou 300 allows 200 allows 21.0 Jilin Aodong Tongling Nonferrous% 000,630 21.0% 000,651 300 allows 600 allows Gree TEDA share 21.0% 000,652 21.0% 000,709 400 permit to allow 21.0% of Hebei Iron and Steel 000 729 1700 Yanjing Beer 000 768 21.0% 200 allows 400 allows the West to fly international Changjiang Securities 500 21.0% 000 783 allow Salt Lake Potash 21.0% 000,792 21.0% 000,800 200 allows 400 allows FAW Car TISCO Stainless Steel 900 21.0% 000,825 21.0% 000,839 to allow CITIC Guoan 400 permit to allow 21.0% 21.0% 800 000 858 000 878 Wuliangye Yunnan Copper 300 21.0% 000,895 pairs allows Department of Development to allow 21.0% 000 898 100 500 Angang allow Valin Iron & Steel 400 21.0% 000,932 21.0% 000,933 Shenhuo shares permitted to allow 21.0% 000 937 100 100 Jizhong Energy Tin allow 21.0% 000,960 21.0% 000,983 shares of 100 allows 500 allows Xishan Coal and Electricity 21.0% 002,007 21.0% Hualan Biological 002024 100 allows Suning 1100 to allow Bank of Ningbo, 400 21.0% 002 142 21.0% 002 202 allows 200 allows Goldwind 21.0% (h) refuse or suspend the purchase and handling of the case unless the following circumstances, the Fund manager may suspend or refuse to purchase applications for fund investors: (1) force majeure result in the Fund is not working; (2) The securities exchange in the non-normal trading hours the suspension, resulting in the net assets of the Fund can not be calculated the same day; (3) Shenzhen Stock Exchange, subscription and redemption agent broker, registration and settlement institution for purchase due to abnormal situation can not; (4) occurred under the contract of the Fund to suspend the case of valuation of fund assets; (5) laws and regulations or recognized by the CSRC may suspend the purchase of other circumstances; (6) The fund manager that will be detrimental to the interests of existing fund shareholders purchase of a pen. Occurrence of the above circumstances, the fund manager shall report to the CSRC for the record. Occurrence of the above (1) to (4) suspend the purchase situation, the fund manager shall be suspended at least one purchase notice published in the designated media. The case of the suspension to eliminate purchase, the fund manager should promptly resume business for purchase and make an announcement. (I) suspend the redemption of the situation and the treatment unless there are circumstances, the fund manager may not refuse to accept or to suspend the redemption of fund share holders to apply: (1) force majeure result in the Fund is not working; (2) Securities and Exchange decision according to law and to close the market, the fund manager is unable to calculate the date of the net assets of the Fund; (3) Shenzhen Stock Exchange, subscription and redemption agent broker, registration and settlement institution for redemption can not be due to abnormal circumstances; (4) occurrence of the fund contract valuation of fund assets under suspension of the case; (5) laws and regulations or other circumstances recognized by the CSRC. Suspend the redemption of the fund, the fund manager shall promptly publish in at least one designated media suspend redemption notice. In the case of suspension of redemption of elimination, the fund manager shall promptly resume the business for redemption and in accordance with relevant provisions of the notice in at least one of the designated media. (J) suspension of purchase and redemption of other situations and deal with the way the \The legal process will effectively suspend the investor to accept purchase and redemption applications. (I) a collection of subscription and other services as conditions permit, the fund manager may purchase an open set, which allows investors to pool their holdings over the portfolio, together constitute the minimum purchase and redemption of units or integral multiples thereof, to purchase . Without prejudice to the interests of fund shareholders premise, fund managers have the right to purchase the business to develop a collection of related rules. Fund managers funds designated agency received on the basis of other services to carry out the contract, both parties need to sign a written agency agreement, report to the CSRC for the record. (J) Fund transfer of custody transfer and other non-trading business registration and settlement institutions can be based on the business rules, the admissibility of custody transfer of fund shares, transfer of non-trading, freezing and thawing and other business and charge a processing fee. XIII, the following reference document for future reference file directory stored in the fund manager and fund custodian, office space, investors free of charge during office hours. (A) of the China Securities Regulatory Commission approved the fund-raising documents (b) \\二○一 ○ 年 一月 二十 八日 Annex: Summary of a fund contract, the fund shareholders, fund manager and fund trustee rights and obligations (a) The fund share holders of the rights and obligations of fund investors to buy the Fund Fund shares is regarded as acts of \no longer holds shares of the fund of funds. Fund share holders as a \Each fund share has the same legal rights. 1, according to \) shall apply for transfer or redemption of shares held by the fund; (4) requirements in accordance with the provisions of the General Assembly held in the fund share holders; (5) to attend or send representatives to the General Assembly fund share holders, share holders of the fund the exercise of the General Assembly deliberations right to vote; (6) inspect or copy the information disclosed to the public fund; (7) monitoring the operation of the investment fund manager; (
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