• 新华社评论员:全面贯彻习近平强军思想 2019-03-24
  • 乌苏市:“扶贫鸡”助力精准脱贫 2019-03-13
  • 人民日报评论员:以发展筑牢梦想根基 2019-03-12
  • Time at old streets - Chongqing News - CQNEWS 2019-03-09
  • The GNU General Public License v3.0 2019-03-07
  • 毛姆经典剧作搬上中国舞台 探讨婚姻的意义 2019-03-06
  • 【学习时刻】一切为了人民的庄严宣誓 2019-03-06
  • 青藏线上的绿色守护者 2019-03-06
  • 着力抓好党的基层组织建设 2019-03-06
  • “与粽不同”过端午,关于粽子的包法你知道多少? 2019-03-05
  • 2018端午节重庆旅游攻略 端午重庆三日游周边游攻略 2019-03-04
  • 湖南7月17日开始的强降雨已造成53.22万人受灾(图) 2019-03-04
  • 上海合作组织成员国元首理事会会议新闻公报 2019-03-03
  • 中国工程院院士倪光南谈“发展核心技术 建设网络强国” 2019-03-03
  • 西部网(陕西新闻网)www.cnwest.com 2019-02-27
    • 微博
    • 微信微信二维码

    网球直播爱奇艺 www.rkrn.net 广东省人民政府首页  >  要闻动态  >  广东要闻

    交银施罗德境尚收益债券型证券投资基金(更新)招募说明书摘要

    来源: 南方日报网络版     时间: 2019年03月24日 18:40:59
    【字体:

    腾讯十分彩注册平台直属招商最高㊖100返9♔诚招代理Q【99♔277♔339】腾讯分分彩,腾讯5分彩,腾讯10分彩,时时彩龙虎和,意彩彩票代理,意彩官网,意彩平台交银施罗德境尚收益债券型证券投资基金(更新)招募说明书摘要

    叶檀:最勤奋的一代企业家  想打破黄宗羲定律 前瞻:女排PK意大利待复仇 塞荷半决赛争创历史 年内拟彻底关店!又一家零售巨头将退出中国市场 科普卡托马斯本周同打希杰杯 均有望登顶世界第1 昔日最年轻欧巡赛冠军 意大利神童本周需力保欧巡卡 火箭队防守糟糕让莫雷表情难堪!交易巴特勒或已势在必行 香港最美女首富,一生比电影还传奇 一个24+12, 一个28+4+4, 莱昂纳德和德罗赞的交易,果然是双赢 “京城最土豪地产商”,玩飞了24.6万股民的血汗钱 跑步真的很简单!5km多吗?只需三个月,你也能做到! 到底是什么理由,让你坚持了跑步?我想应该是这些! 没想到在沙滩跑步,是这样的!你试过吗? 经常跑步会显老? 刘钰:与大牌同组也有好发挥 大风影响击球感觉 1米8的小个也是全联盟第一个助攻上双,他不愧是独行侠夺冠功臣

    (原)(标)(题)(:交)(银)(施)(罗)(德)(境)(尚)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)((更)(新)()招)(募)(说)(明)(书)(摘)(要)(
     ?。?018年)(第)(2号)()
    基)(金)(管)(理)(人)(:交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(
    基)(金)(托)(管)(人)(:招)(商)(银)(行)(股)(份)(有)(限)(公)(司)(
    二)(0一)(八)(年)(九)(月)(
    基)(金)(招)(募)(说)(明)(书)(自)(基)(金)(合)(同)(生)(效)(日)(起)(,每)(6个)(月)(更)(新)(一)(次)(,并)(于)(每)(6个)(月)(结)(束)(之)(日)(后)(的)(45日)(内)(公)(告)(,更)(新)(内)(容)(截)(至)(每)(6个)(月)(的)(最)(后)(1日)(。
    【重)(要)(提)(示)(】
    交)(银)(施)(罗)(德)(境)(尚)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)((以)(下)(简)(称)(“本)(基)(金)(”)经)(2016年)(8月)(12日)(中)(国)(证)(券)(监)(督)(管)(理)(委)(员)(会)((以)(下)(简)(称)(“中)(国)(证)(监)(会)(”)证)(监)(许)(可)(【2016】1812号)(文)(准)(予)(募)(集)(注)(册)(。本)(基)(金)(基)(金)(合)(同)(于)(2017年)(3月)(3日)(正)(式)(生)(效)(。
    基)(金)(管)(理)(人)(保)(证)(招)(募)(说)(明)(书)(的)(内)(容)(真)(实)(、准)(确)(、完)(整)(。本)(招)(募)(说)(明)(书)(经)(中)(国)(证)(监)(会)(注)(册)(,但)(中)(国)(证)(监)(会)(对)(本)(基)(金)(募)(集)(的)(注)(册)(,并)(不)(表)(明)(其)(对)(本)(基)(金)(的)(价)(值)(和)(收)(益)(作)(出)(实)(质)(性)(判)(断)(或)(保)(证)(,也)(不)(表)(明)(投)(资)(于)(本)(基)(金)(没)(有)(风)(险)(。中)(国)(证)(监)(会)(不)(对)(基)(金)(的)(投)(资)(价)(值)(及)(市)(场)(前)(景)(等)(作)(出)(实)(质)(性)(判)(断)(或)(者)(保)(证)(。
    基)(金)(管)(理)(人)(依)(照)(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)(投)(资)(本)(基)(金)(一)(定)(盈)(利)(,也)(不)(保)(证)(基)(金)(份)(额)(持)(有)(人)(的)(最)(低)(收)(益)(;因)(基)(金)(价)(格)(可)(升)(可)(跌)(,亦)(不)(保)(证)(基)(金)(份)(额)(持)(有)(人)(能)(全)(数)(取)(回)(其)(原)(本)(投)(资)(。
    本)(基)(金)(在)(基)(金)(合)(同)(生)(效)(之)(日)(起)(两)(年)((含)(两)(年)()的)(期)(间)(内)(采)(取)(封)(闭)(式)(运)(作)(。封)(闭)(期)(内)(,基)(金)(投)(资)(者)(不)(能)(申)(购)(、赎)(回)(本)(基)(金)(基)(金)(份)(额)(。本)(基)(金)(转)(为)(开)(放)(式)(运)(作)(后)(基)(金)(投)(资)(者)(方)(可)(申)(购)(、赎)(回)(本)(基)(金)(基)(金)(份)(额)(。
    本)(基)(金)(投)(资)(于)(证)(券)(市)(场)(,基)(金)(净)(值)(会)(因)(为)(证)(券)(市)(场)(波)(动)(等)(因)(素)(产)(生)(波)(动)(。投)(资)(人)(在)(投)(资)(本)(基)(金)(前)(,需)(全)(面)(认)(识)(本)(基)(金)(产)(品)(的)(风)(险)(收)(益)(特)(征)(和)(产)(品)(特)(性)(,充)(分)(考)(虑)(自)(身)(的)(风)(险)(承)(受)(能)(力)(,理)(性)(判)(断)(市)(场)(,对)(投)(资)(本)(基)(金)(的)(意)(愿)(、时)(机)(、数)(量)(等)(投)(资)(行)(为)(作)(出)(独)(立)(决)(策)(。投)(资)(人)(根)(据)(所)(持)(有)(份)(额)(享)(受)(基)(金)(的)(收)(益)(,但)(同)(时)(也)(需)(承)(担)(相)(应)(的)(投)(资)(风)(险)(。投)(资)(本)(基)(金)(可)(能)(遇)(到)(的)(风)(险)(包)(括)(:因)(受)(到)(经)(济)(因)(素)(、政)(治)(因)(素)(、投)(资)(心)(理)(和)(交)(易)(制)(度)(等)(各)(种)(因)(素)(的)(影)(响)(而)(引)(起)(的)(市)(场)(风)(险)(;基)(金)(管)(理)(人)(在)(基)(金)(管)(理)(实)(施)(过)(程)(中)(产)(生)(的)(基)(金)(管)(理)(风)(险)(;流)(动)(性)(风)(险)(;交)(易)(对)(手)(违)(约)(风)(险)(;投)(资)(中)(小)(企)(业)(私)(募)(债)(的)(特)(有)(风)(险)(;投)(资)(资)(产)(支)(持)(证)(券)(的)(特)(有)(风)(险)(;连)(续)(六)(十)(个)(工)(作)(日)(出)(现)(基)(金)(份)(额)(持)(有)(人)(数)(量)(不)(满)(200人)(或)(基)(金)(资)(产)(净)(值)(低)(于)(5000万)(元)(情)(形)(时)(基)(金)(管)(理)(人)(将)(依)(基)(金)(合)(同)(约)(定)(提)(前)(终)(止)(基)(金)(合)(同)(的)(风)(险)(;投)(资)(本)(基)(金)(特)(有)(的)(其)(他)(风)(险)(等)(等)(。
    本)(基)(金)(投)(资)(中)(小)(企)(业)(私)(募)(债)(,中)(小)(企)(业)(私)(募)(债)(是)(根)(据)(相)(关)(法)(律)(法)(规)(由)(非)(上)(市)(中)(小)(企)(业)(采)(用)(非)(公)(开)(方)(式)(发)(行)(的)(债)(券)(。由)(于)(不)(能)(公)(开)(交)(易)(,一)(般)(情)(况)(下)(,交)(易)(不)(活)(跃)(,潜)(在)(较)(大)(流)(动)(性)(风)(险)(。当)(发)(债)(主)(体)(信)(用)(质)(量)(恶)(化)(时)(,受)(市)(场)(流)(动)(性)(所)(限)(,本)(基)(金)(可)(能)(无)(法)(卖)(出)(所)(持)(有)(的)(中)(小)(企)(业)(私)(募)(债)(,由)(此)(可)(能)(给)(基)(金)(净)(值)(带)(来)(更)(大)(的)(负)(面)(影)(响)(和)(损)(失)(。
    本)(基)(金)(是)(一)(只)(债)(券)(型)(基)(金)(,其)(风)(险)(与)(预)(期)(收)(益)(高)(于)(货)(币)(市)(场)(基)(金)(,低)(于)(混)(合)(型)(基)(金)(和)(股)(票)(型)(基)(金)(,属)(于)(证)(券)(投)(资)(基)(金)(中)(中)(等)(风)(险)(的)(品)(种)(。
    投)(资)(有)(风)(险)(,投)(资)(人)(在)(投)(资)(本)(基)(金)(前)(应)(认)(真)(阅)(读)(本)(基)(金)(的)(招)(募)(说)(明)(书)(和)(基)(金)(合)(同)(等)(信)(息)(披)(露)(文)(件)(?;?(金)(的)(过)(往)(业)(绩)(并)(不)(代)(表)(未)(来)(表)(现)(?;?(金)(管)(理)(人)(管)(理)(的)(其)(他)(基)(金)(的)(业)(绩)(并)(不)(构)(成)(对)(本)(基)(金)(业)(绩)(表)(现)(的)(保)(证)(?;?(金)(管)(理)(人)(提)(醒)(投)(资)(者)(基)(金)(投)(资)(的)(“买)(者)(自)(负)(”原)(则)(,在)(投)(资)(者)(作)(出)(投)(资)(决)(策)(后)(,基)(金)(运)(营)(状)(况)(与)(基)(金)(净)(值)(变)(化)(引)(致)(的)(投)(资)(风)(险)(,由)(投)(资)(者)(自)(行)(负)(责)(。
    本)(摘)(要)(根)(据)(基)(金)(合)(同)(和)(基)(金)(招)(募)(说)(明)(书)(编)(写)(?;?(金)(合)(同)(是)(约)(定)(基)(金)(当)(事)(人)(之)(间)(权)(利)(、义)(务)(的)(法)(律)(文)(件)(?;?(金)(投)(资)(人)(自)(依)(基)(金)(合)(同)(取)(得)(基)(金)(份)(额)(,即)(成)(为)(基)(金)(份)(额)(持)(有)(人)(和)(本)(基)(金)(合)(同)(的)(当)(事)(人)(,其)(持)(有)(基)(金)(份)(额)(的)(行)(为)(本)(身)(即)(表)(明)(其)(对)(基)(金)(合)(同)(的)(承)(认)(和)(接)(受)(,并)(按)(照)(《基)(金)(法)(》、《运)(作)(办)(法)(》、基)(金)(合)(同)(及)(其)(他)(有)(关)(规)(定)(享)(有)(权)(利)(、承)(担)(义)(务)(?;?(金)(投)(资)(人)(欲)(了)(解)(基)(金)(份)(额)(持)(有)(人)(的)(权)(利)(和)(义)(务)(,应)(详)(细)(查)(阅)(基)(金)(合)(同)(。
    本)(招)(募)(说)(明)(书)(所)(载)(内)(容)(截)(止)(日)(为)(2018年)(9月)(3日)(,有)(关)(财)(务)(数)(据)(和)(净)(值)(表)(现)(截)(止)(日)(为)(2018年)(6月)(30日)(。本)(招)(募)(说)(明)(书)(所)(载)(的)(财)(务)(数)(据)(未)(经)(审)(计)(。
    一)(、基)(金)(管)(理)(人)((一)()基)(金)(管)(理)(人)(概)(况)(
    名)(称)(:交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(
    住)(所)(:上)(海)(市)(浦)(东)(新)(区)(银)(城)(中)(路)(188号)(交)(通)(银)(行)(大)(楼)(二)(层)((裙)()
    办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(世)(纪)(大)(道)(8号)(国)(金)(中)(心)(二)(期)(21-22楼)(
    邮)(政)(编)(码)(:200120
    法)(定)(代)(表)(人)(:于)(亚)(利)(
    成)(立)(时)(间)(:2005年)(8月)(4日)(
    注)(册)(资)(本)(:2亿)(元)(人)(民)(币)(
    存)(续)(期)(间)(:持)(续)(经)(营)(
    联)(系)(人)(:郭)(佳)(敏)(
    电)(话)(:(021)61055050
    传)(真)(:(021)61055034
    交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)((以)(下)(简)(称)(“公)(司)(”)经)(中)(国)(证)(监)(会)(证)(监)(基)(金)(字)([2005]128号)(文)(批)(准)(设)(立)(。公)(司)(股)(权)(结)(构)(如)(下)(:
    (二)()主)(要)(成)(员)(情)(况)(
    1、基)(金)(管)(理)(人)(董)(事)(会)(成)(员)(
    于)(亚)(利)(女)(士)(,董)(事)(长)(,硕)(士)(学)(位)(。历)(任)(交)(通)(银)(行)(郑)(州)(分)(行)(财)(务)(会)(计)(处)(处)(长)(、郑)(州)(分)(行)(副)(行)(长)(,交)(通)(银)(行)(财)(务)(会)(计)(部)(副)(总)(经)(理)(、总)(经)(理)(,交)(通)(银)(行)(预)(算)(财)(务)(部)(总)(经)(理)(,交)(通)(银)(行)(首)(席)(财)(务)(官)(、交)(通)(银)(行)(执)(行)(董)(事)(、副)(行)(长)(。
    陈)(朝)(灯)(先)(生)(,副)(董)(事)(长)(,博)(士)(学)(位)(。现)(任)(施)(罗)(德)(证)(券)(投)(资)(信)(托)(股)(份)(有)(限)(公)(司)(投)(资)(总)(监)(兼)(专)(户)(管)(理)(部)(主)(管)(。历)(任)(复)(华)(证)(券)(投)(资)(信)(托)(股)(份)(有)(限)(公)(司)(专)(户)(投)(资)(经)(理)(,景)(顺)(证)(券)(投)(资)(信)(托)(股)(份)(有)(限)(公)(司)(部)(门)(主)(管)(、投)(资)(总)(监)(。
    阮)(红)(女)(士)(,董)(事)(,总)(经)(理)(,代)(任)(督)(察)(长)(,博)(士)(学)(位)(,兼)(任)(交)(银)(施)(罗)(德)(资)(产)(管)(理)(有)(限)(公)(司)(董)(事)(长)(。历)(任)(交)(通)(银)(行)(办)(公)(室)(副)(处)(长)(、处)(长)(,交)(通)(银)(行)(海)(外)(机)(构)(管)(理)(部)(副)(总)(经)(理)(、总)(经)(理)(,交)(通)(银)(行)(上)(海)(分)(行)(副)(行)(长)(,交)(通)(银)(行)(资)(产)(托)(管)(部)(总)(经)(理)(,交)(通)(银)(行)(投)(资)(管)(理)(部)(总)(经)(理)(。
    徐)(瀚)(先)(生)(,董)(事)(,硕)(士)(学)(位)(。现)(任)(交)(通)(银)(行)(个)(人)(金)(融)(业)(务)(部)(总)(经)(理)(。历)(任)(交)(通)(银)(行)(香)(港)(分)(行)(电)(脑)(中)(心)(副)(总)(经)(理)(,交)(通)(银)(行)(信)(息)(技)(术)(部)(副)(总)(经)(理)(,交)(通)(银)(行)(太)(平)(洋)(信)(用)(卡)(中)(心)(副)(首)(席)(执)(行)(官)(、首)(席)(执)(行)(官)(。
    孙)(荣)(俊)(先)(生)(,董)(事)(,硕)(士)(学)(位)(,现)(任)(交)(通)(银)(行)(总)(行)(风)(险)(管)(理)(部)((资)(产)(保)(全)(部)()副)(总)(经)(理)(。历)(任)(交)(通)(银)(行)(总)(行)(风)(险)(管)(理)(部)(副)(高)(级)(经)(理)(、高)(级)(经)(理)(,交)(通)(银)(行)(广)(西)(区)(柳)(州)(分)(行)(副)(行)(长)(、交)(通)(银)(行)(内)(蒙)(古)(区)(分)(行)(行)(长)(助)(理)(。
    李)(定)(邦)(先)(生)(,董)(事)(,硕)(士)(学)(位)(,现)(任)(施)(罗)(德)(集)(团)(亚)(太)(区)(行)(政)(总)(裁)(。历)(任)(施)(罗)(德)(投)(资)(管)(理)(有)(限)(公)(司)(亚)(洲)(投)(资)(产)(品)(总)(监)(,施)(罗)(德)(投)(资)(管)(理)((香)(港)()有)(限)(公)(司)(行)(政)(总)(裁)(兼)(亚)(太)(区)(基)(金)(业)(务)(拓)(展)(总)(监)(。
    谢)(丹)(阳)(先)(生)(,独)(立)(董)(事)(,博)(士)(学)(位)(。现)(任)(香)(港)(科)(技)(大)(学)(经)(济)(系)(教)(授)(。历)(任)(武)(汉)(大)(学)(经)(济)(与)(管)(理)(学)(院)(院)(长)(,蒙)(特)(利)(尔)(大)(学)(经)(济)(系)(助)(理)(教)(授)(,国)(际)(货)(币)(基)(金)(经)(济)(学)(家)(和)(高)(级)(经)(济)(学)(家)(,香)(港)(科)(技)(大)(学)(助)(理)(教)(授)(、副)(教)(授)(、教)(授)(、系)(主)(任)(、瑞)(安)(经)(管)(中)(心)(主)(任)(。
    袁)(志)(刚)(先)(生)(,独)(立)(董)(事)(,博)(士)(学)(位)(。现)(任)(复)(旦)(大)(学)(经)(济)(学)(院)(教)(授)(。历)(任)(复)(旦)(大)(学)(经)(济)(学)(院)(副)(教)(授)(、教)(授)(、经)(济)(系)(系)(主)(任)(、经)(济)(学)(院)(院)(长)(。
    周)(林)(先)(生)(,独)(立)(董)(事)(,博)(士)(学)(位)(。现)(任)(上)(海)(交)(通)(大)(学)(安)(泰)(经)(济)(与)(管)(理)(学)(院)(院)(长)(、教)(授)(。历)(任)(复)(旦)(大)(学)(管)(理)(科)(学)(系)(助)(教)(,美)(国)(耶)(鲁)(大)(学)(经)(济)(系)(助)(理)(教)(授)(、副)(教)(授)(,美)(国)(杜)(克)(大)(学)(经)(济)(系)(副)(教)(授)(,香)(港)(城)(市)(大)(学)(经)(济)(与)(金)(融)(系)(教)(授)(,美)(国)(亚)(利)(桑)(那)(州)(立)(大)(学)(凯)(瑞)(商)(学)(院)(经)(济)(系)(冠)(名)(教)(授)(,上)(海)(交)(通)(大)(学)(上)(海)(高)(级)(金)(融)(学)(院)(常)(务)(副)(院)(长)(、教)(授)(。
    2、基)(金)(管)(理)(人)(监)(事)(会)(成)(员)(
    王)(忆)(军)(先)(生)(,监)(事)(长)(,硕)(士)(学)(位)(。现)(任)(交)(通)(银)(行)(战)(略)(投)(资)(部)(总)(经)(理)(。历)(任)(交)(通)(银)(行)(办)(公)(室)(副)(处)(长)(,交)(通)(银)(行)(公)(司)(业)(务)(部)(副)(处)(长)(、高)(级)(经)(理)(、总)(经)(理)(助)(理)(、副)(总)(经)(理)(,交)(通)(银)(行)(投)(资)(银)(行)(部)(副)(总)(经)(理)(,交)(通)(银)(行)(江)(苏)(分)(行)(副)(行)(长)(。
    裴)(关)(淑)(仪)(女)(士)(,监)(事)(,双)(硕)(士)(学)(位)(。现)(任)(交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(助)(理)(总)(经)(理)(、交)(银)(施)(罗)(德)(资)(产)(管)(理)((香)(港)()有)(限)(公)(司)(总)(经)(理)(。曾)(任)(职)(荷)(兰)(银)(行)(、渣)(打)(银)(行)((香)(港)()有)(限)(公)(司)(、MIDAS-KAPITIINTERNATIONALLIMITED,施)(罗)(德)(投)(资)(管)(理)((香)(港)()有)(限)(公)(司)(资)(讯)(科)(技)(部)(主)(管)(、中)(国)(事)(务)(联)(席)(董)(事)(、交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(监)(察)(稽)(核)(及)(风)(险)(管)(理)(总)(监)(。
    张)(玲)(菡)(女)(士)(,监)(事)(、学)(士)(学)(位)(。现)(任)(交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(市)(场)(总)(监)(。历)(任)(中)(国)(银)(行)(福)(州)(分)(行)(客)(户)(经)(理)(,新)(华)(人)(寿)(保)(险)(公)(司)(上)(海)(分)(公)(司)(区)(域)(经)(理)(,银)(河)(基)(金)(管)(理)(有)(限)(公)(司)(市)(场)(部)(渠)(道)(经)(理)(,交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(渠)(道)(经)(理)(、渠)(道)(部)(副)(总)(经)(理)(、广)(州)(分)(公)(司)(副)(总)(经)(理)(、营)(销)(管)(理)(部)(总)(经)(理)(。
    佘)(川)(女)(士)(,监)(事)(、硕)(士)(学)(位)(。现)(任)(交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(投)(资)(运)(营)(总)(监)(。历)(任)(华)(泰)(证)(券)(股)(份)(有)(限)(公)(司)(综)(合)(发)(展)(部)(经)(理)(、投)(资)(银)(行)(部)(项)(目)(经)(理)(,银)(河)(基)(金)(管)(理)(有)(限)(公)(司)(监)(察)(部)(总)(监)(,交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(监)(察)(稽)(核)(部)(总)(经)(理)(、监)(察)(风)(控)(副)(总)(监)(。
    3、基)(金)(管)(理)(人)(高)(级)(管)(理)(人)(员)(
    阮)(红)(女)(士)(,总)(经)(理)(,代)(任)(督)(察)(长)(。简)(历)(同)(上)(。
    许)(珊)(燕)(女)(士)(,副)(总)(经)(理)(,硕)(士)(学)(历)(,高)(级)(经)(济)(师)(,兼)(任)(交)(银)(施)(罗)(德)(资)(产)(管)(理)(有)(限)(公)(司)(董)(事)(。历)(任)(湖)(南)(大)(学)((原)(湖)(南)(财)(经)(学)(院)()金)(融)(学)(院)(讲)(师)(,湘)(财)(证)(券)(有)(限)(责)(任)(公)(司)(国)(债)(部)(副)(经)(理)(、基)(金)(管)(理)(总)(部)(总)(经)(理)(,湘)(财)(荷)(银)(基)(金)(管)(理)(有)(限)(公)(司)(副)(总)(经)(理)(。
    夏)(华)(龙)(先)(生)(,副)(总)(经)(理)(,博)(士)(学)(历)(。历)(任)(中)(国)(地)(质)(大)(学)(经)(济)(管)(理)(系)(教)(师)(、经)(济)(学)(院)(教)(研)(室)(副)(主)(任)(、主)(任)(、经)(济)(学)(院)(副)(院)(长)(;交)(通)(银)(行)(资)(产)(托)(管)(部)(副)(处)(长)(、处)(长)(、高)(级)(经)(理)(、副)(总)(经)(理)(;交)(通)(银)(行)(资)(产)(托)(管)(业)(务)(中)(心)(副)(总)(裁)(;云)(南)(省)(曲)(靖)(市)(市)(委)(常)(委)(、副)(市)(长)((挂)(职)()。
    谢)(卫)(先)(生)(,副)(总)(经)(理)(,经)(济)(学)(博)(士)(,高)(级)(经)(济)(师)(。历)(任)(中)(央)(财)(经)(大)(学)(金)(融)(系)(教)(员)(;中)(国)(社)(会)(科)(学)(院)(财)(经)(所)(助)(理)(研)(究)(员)(;中)(国)(电)(力)(信)(托)(投)(资)(公)(司)(基)(金)(部)(副)(经)(理)(;中)(国)(人)(保)(信)(托)(投)(资)(公)(司)(证)(券)(部)(副)(总)(经)(理)(、总)(经)(理)(、北)(京)(证)(券)(营)(业)(部)(总)(经)(理)(、证)(券)(总)(部)(副)(总)(经)(理)(兼)(北)(方)(部)(总)(经)(理)(,富)(国)(基)(金)(管)(理)(有)(限)(公)(司)(副)(总)(经)(理)(。
    印)(皓)(女)(士)(,副)(总)(经)(理)(,上)(海)(财)(经)(大)(学)(工)(商)(管)(理)(硕)(士)(。历)(任)(交)(通)(银)(行)(研)(究)(开)(发)(部)(副)(主)(管)(体)(改)(规)(划)(员)(,交)(通)(银)(行)(市)(场)(营)(销)(部)(副)(主)(管)(市)(场)(规)(划)(员)(、主)(管)(市)(场)(规)(划)(员)(,交)(通)(银)(行)(公)(司)(业)(务)(部)(副)(高)(级)(经)(理)(、高)(级)(经)(理)(,交)(通)(银)(行)(机)(构)(业)(务)(部)(高)(级)(经)(理)(、总)(经)(理)(助)(理)(、副)(总)(经)(理)(。
    4、本)(基)(金)(基)(金)(经)(理)(
    连)(端)(清)(先)(生)(,复)(旦)(大)(学)(经)(济)(学)(博)(士)(。9年)(证)(券)(投)(资)(相)(关)(从)(业)(经)(验)(。2009年)(至)(2011年)(于)(交)(通)(银)(行)(总)(行)(金)(融)(市)(场)(部)(任)(职)(,2011年)(至)(2013年)(任)(湘)(财)(证)(券)(研)(究)(所)(研)(究)(员)(,2013年)(至)(2015年)(任)(中)(航)(信)(托)(资)(产)(管)(理)(部)(投)(资)(经)(理)(。2015年)(加)(入)(交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(。2017年)(3月)(31日)(至)(2018年)(8月)(23日)(担)(任)(交)(银)(施)(罗)(德)(裕)(兴)(纯)(债)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(,2015年)(8月)(4日)(起)(担)(任)(交)(银)(施)(罗)(德)(丰)(盈)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(、交)(银)(施)(罗)(德)(现)(金)(宝)(货)(币)(市)(场)(基)(金)(、交)(银)(施)(罗)(德)(丰)(润)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(的)(基)(金)(经)(理)(至)(今)(,2015年)(10月)(16日)(起)(担)(任)(交)(银)(施)(罗)(德)(货)(币)(市)(场)(证)(券)(投)(资)(基)(金)(、交)(银)(施)(罗)(德)(理)(财)(60天)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,2016年)(7月)(27日)(起)(担)(任)(交)(银)(施)(罗)(德)(活)(期)(通)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,2016年)(10月)(19日)(起)(担)(任)(交)(银)(施)(罗)(德)(天)(利)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,2016年)(11月)(28日)(起)(担)(任)(交)(银)(施)(罗)(德)(裕)(隆)(纯)(债)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,2016年)(12月)(7日)(起)(担)(任)(交)(银)(施)(罗)(德)(天)(鑫)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,2016年)(12月)(20日)(起)(担)(任)(交)(银)(施)(罗)(德)(天)(益)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,2017年)(3月)(3日)(起)(担)(任)(交)(银)(施)(罗)(德)(境)(尚)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,2017年)(3月)(31日)(起)(担)(任)(交)(银)(施)(罗)(德)(裕)(盈)(纯)(债)(债)(券)(型)(证)(券)(投)(资)(基)(金)(、交)(银)(施)(罗)(德)(裕)(利)(纯)(债)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,2017年)(12月)(29日)(起)(担)(任)(交)(银)(施)(罗)(德)(天)(运)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(。
    黄)(莹)(洁)(女)(士)(,香)(港)(大)(学)(工)(商)(管)(理)(硕)(士)(、北)(京)(大)(学)(经)(济)(学)(、管)(理)(学)(双)(学)(士)(。10年)(证)(券)(投)(资)(行)(业)(从)(业)(经)(验)(。2008年)(2月)(至)(2012年)(5月)(任)(中)(海)(基)(金)(管)(理)(有)(限)(公)(司)(交)(易)(员)(。2012年)(加)(入)(交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(,曾)(任)(中)(央)(交)(易)(室)(交)(易)(员)(。自)(2015年)(7月)(25日)(至)(2018年)(3月)(18日)(担)(任)(交)(银)(施)(罗)(德)(丰)(泽)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。自)(2015年)(5月)(27日)(起)(担)(任)(交)(银)(施)(罗)(德)(货)(币)(市)(场)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2015年)(5月)(27日)(起)(担)(任)(交)(银)(施)(罗)(德)(理)(财)(21天)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2015年)(5月)(27日)(起)(担)(任)(交)(银)(施)(罗)(德)(现)(金)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2015年)(7月)(25日)(起)(担)(任)(交)(银)(施)(罗)(德)(丰)(享)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2015年)(12月)(29日)(起)(担)(任)(交)(银)(施)(罗)(德)(裕)(通)(纯)(债)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2016年)(7月)(27日)(起)(担)(任)(交)(银)(施)(罗)(德)(活)(期)(通)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2016年)(10月)(19日)(起)(担)(任)(交)(银)(施)(罗)(德)(天)(利)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2016年)(11月)(28日)(起)(担)(任)(交)(银)(施)(罗)(德)(裕)(隆)(纯)(债)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2016年)(12月)(7日)(起)(担)(任)(交)(银)(施)(罗)(德)(天)(鑫)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2016年)(12月)(20日)(起)(担)(任)(交)(银)(施)(罗)(德)(天)(益)(宝)(货)(币)(市)(场)(基)(金)(基)(金)(经)(理)(至)(今)(,自)(2017年)(3月)(3日)(起)(担)(任)(交)(银)(施)(罗)(德)(境)(尚)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(至)(今)(。
    5、投)(资)(决)(策)(委)(员)(会)(成)(员)(
    委)(员)(:阮)(红)((总)(经)(理)()
    王)(少)(成)((权)(益)(投)(资)(总)(监)(、基)(金)(经)(理)()
    于)(海)(颖)((固)(定)(收)(益)((公)(募)()投)(资)(总)(监)(、基)(金)(经)(理)()
    马)(俊)((研)(究)(总)(监)()
    上)(述)(人)(员)(之)(间)(不)(存)(在)(近)(亲)(属)(关)(系)(。上)(述)(各)(项)(人)(员)(信)(息)(更)(新)(截)(止)(日)(为)(2018年)(9月)(3日)(,期)(后)(变)(动)((如)(有)()敬)(请)(关)(注)(基)(金)(管)(理)(人)(发)(布)(的)(相)(关)(公)(告)(。
    二)(、基)(金)(托)(管)(人)((一)()基)(金)(托)(管)(人)(情)(况)(
    1、基)(本)(情)(况)(
    名)(称)(:招)(商)(银)(行)(股)(份)(有)(限)(公)(司)((以)(下)(简)(称)(“招)(商)(银)(行)(”)
    设)(立)(日)(期)(:1987年)(4月)(8日)(
    注)(册)(地)(址)(:深)(圳)(市)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(
    办)(公)(地)(址)(:深)(圳)(市)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(
    注)(册)(资)(本)(:252.20亿)(元)(
    法)(定)(代)(表)(人)(:李)(建)(红)(
    行)(长)(:田)(惠)(宇)(
    资)(产)(托)(管)(业)(务)(批)(准)(文)(号)(:证)(监)(基)(金)(字)([2002]83号)(
    电)(话)(:0755一)(83199084
    传)(真)(:0755一)(83195201
    资)(产)(托)(管)(部)(信)(息)(披)(露)(负)(责)(人)(:张)(燕)(
    2、发)(展)(概)(况)(
    招)(商)(银)(行)(成)(立)(于)(1987年)(4月)(8日)(,是)(我)(国)(第)(一)(家)(完)(全)(由)(企)(业)(法)(人)(持)(股)(的)(股)(份)(制)(商)(业)(银)(行)(,总)(行)(设)(在)(深)(圳)(。自)(成)(立)(以)(来)(,招)(商)(银)(行)(先)(后)(进)(行)(了)(三)(次)(增)(资)(扩)(股)(,并)(于)(2002年)(3月)(成)(功)(地)(发)(行)(了)(15亿)(A股)(,4月)(9日)(在)(上)(交)(所)(挂)(牌)((股)(票)(代)(码)(:600036),是)(国)(内)(第)(一)(家)(采)(用)(国)(际)(会)(计)(标)(准)(上)(市)(的)(公)(司)(。2006年)(9月)(又)(成)(功)(发)(行)(了)(22亿)(H股)(,9月)(22日)(在)(香)(港)(联)(交)(所)(挂)(牌)(交)(易)((股)(票)(代)(码)(:3968),10月)(5日)(行)(使)(H股)(超)(额)(配)(售)(,共)(发)(行)(了)(24.2亿)(H股)(。截)(至)(2018年)(3月)(31日)(,本)(集)(团)(总)(资)(产)(62,522.38亿)(元)(人)(民)(币)(,高)(级)(法)(下)(资)(本)(充)(足)(率)(15.51%,权)(重)(法)(下)(资)(本)(充)(足)(率)(12.79%。
    2002年)(8月)(,招)(商)(银)(行)(成)(立)(基)(金)(托)(管)(部)(;2005年)(8月)(,经)(报)(中)(国)(证)(监)(会)(同)(意)(,更)(名)(为)(资)(产)(托)(管)(部)(,下)(设)(业)(务)(管)(理)(室)(、产)(品)(管)(理)(室)(、业)(务)(营)(运)(室)(、稽)(核)(监)(察)(室)(、基)(金)(外)(包)(业)(务)(室)(5个)(职)(能)(处)(室)(,现)(有)(员)(工)(81人)(。2002年)(11月)(,经)(中)(国)(人)(民)(银)(行)(和)(中)(国)(证)(监)(会)(批)(准)(获)(得)(证)(券)(投)(资)(基)(金)(托)(管)(业)(务)(资)(格)(,成)(为)(国)(内)(第)(一)(家)(获)(得)(该)(项)(业)(务)(资)(格)(上)(市)(银)(行)(;2003年)(4月)(,正)(式)(办)(理)(基)(金)(托)(管)(业)(务)(。招)(商)(银)(行)(作)(为)(托)(管)(业)(务)(资)(质)(最)(全)(的)(商)(业)(银)(行)(,拥)(有)(证)(券)(投)(资)(基)(金)(托)(管)(、受)(托)(投)(资)(管)(理)(托)(管)(、合)(格)(境)(外)(机)(构)(投)(资)(者)(托)(管)((QFII)、合)(格)(境)(内)(机)(构)(投)(资)(者)(托)(管)((QDII)、全)(国)(社)(会)(保)(障)(基)(金)(托)(管)(、保)(险)(资)(金)(托)(管)(、企)(业)(年)(金)(基)(金)(托)(管)(等)(业)(务)(资)(格)(。
    招)(商)(银)(行)(确)(立)(“因)(势)(而)(变)(、先)(您)(所)(想)(”的)(托)(管)(理)(念)(和)(“财)(富)(所)(托)(、信)(守)(承)(诺)(”的)(托)(管)(核)(心)(价)(值)(,独)(创)(“6S托)(管)(银)(行)(”品)(牌)(体)(系)(,以)(“保)(护)(您)(的)(业)(务)(、保)(护)(您)(的)(财)(富)(”为)(历)(史)(使)(命)(,不)(断)(创)(新)(托)(管)(系)(统)(、服)(务)(和)(产)(品)(:在)(业)(内)(率)(先)(推)(出)(“网)(上)(托)(管)(银)(行)(系)(统)(”、托)(管)(业)(务)(综)(合)(系)(统)(和)(“6心)(”托)(管)(服)(务)(标)(准)(,首)(家)(发)(布)(私)(募)(基)(金)(绩)(效)(分)(析)(报)(告)(,开)(办)(国)(内)(首)(个)(托)(管)(银)(行)(网)(站)(,成)(功)(托)(管)(国)(内)(第)(一)(只)(券)(商)(集)(合)(资)(产)(管)(理)(计)(划)(、第)(一)(只)(FOF、第)(一)(只)(信)(托)(资)(金)(计)(划)(、第)(一)(只)(股)(权)(私)(募)(基)(金)(、第)(一)(家)(实)(现)(货)(币)(市)(场)(基)(金)(赎)(回)(资)(金)(T+1到)(账)(、第)(一)(只)(境)(外)(银)(行)(QDII基)(金)(、第)(一)(只)(红)(利)(ETF基)(金)(、第)(一)(只)(“1+N”基)(金)(专)(户)(理)(财)(、第)(一)(家)(大)(小)(非)(解)(禁)(资)(产)(、第)(一)(单)(TOT保)(管)(,实)(现)(从)(单)(一)(托)(管)(服)(务)(商)(向)(全)(面)(投)(资)(者)(服)(务)(机)(构)(的)(转)(变)(,得)(到)(了)(同)(业)(认)(可)(。
    招)(商)(银)(行)(资)(产)(托)(管)(业)(务)(持)(续)(稳)(健)(发)(展)(,社)(会)(影)(响)(力)(不)(断)(提)(升)(,四)(度)(蝉)(联)(获)(《财)(资)(》“中)(国)(最)(佳)(托)(管)(专)(业)(银)(行)(”。2016年)(6月)(招)(商)(银)(行)(荣)(膺)(《财)(资)(》“中)(国)(最)(佳)(托)(管)(银)(行)(奖)(”,成)(为)(国)(内)(唯)(一)(获)(奖)(项)(国)(内)(托)(管)(银)(行)(;“托)(管)(通)(”获)(得)(国)(内)(《银)(行)(家)(》2016中)(国)(金)(融)(创)(新)(“十)(佳)(金)(融)(产)(品)(创)(新)(奖)(”;7月)(荣)(膺)(2016年)(中)(国)(资)(产)(管)(理)(【金)(贝)(奖)(】“最)(佳)(资)(产)(托)(管)(银)(行)(”;2017年)(6月)(再)(度)(荣)(膺)(《财)(资)(》“中)(国)(最)(佳)(托)(管)(银)(行)(奖)(”,“全)(功)(能)(网)(上)(托)(管)(银)(行)(2.0”荣)(获)(《银)(行)(家)(》2017中)(国)(金)(融)(创)(新)(“十)(佳)(金)(融)(产)(品)(创)(新)(奖)(”;8月)(荣)(膺)(国)(际)(财)(经)(权)(威)(媒)(体)(《亚)(洲)(银)(行)(家)(》“中)(国)(年)(度)(托)(管)(银)(行)(奖)(”,2018年)(1月)(获)(得)(中)(央)(国)(债)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(“2017年)(度)(优)(秀)(资)(产)(托)(管)(机)(构)(”奖)(项)(,同)(月)(招)(商)(银)(行)(“托)(管)(大)(数)(据)(平)(台)(风)(险)(管)(理)(系)(统)(”荣)(获)(2016-2017年)(度)(银)(监)(会)(系)(统)(“金)(点)(子)(”方)(案)(一)(等)(奖)(,以)(及)(中)(央)(金)(融)(团)(工)(委)(、全)(国)(金)(融)(青)(联)(第)(五)(届)(“双)(提)(升)(”金)(点)(子)(方)(案)(二)(等)(奖)(;3月)(招)(商)(银)(行)(荣)(获)(公)(募)(基)(金)(20年)(“最)(佳)(基)(金)(托)(管)(银)(行)(”奖)(。
    (二)()主)(要)(人)(员)(情)(况)(
    李)(建)(红)(先)(生)(,本)(行)(董)(事)(长)(、非)(执)(行)(董)(事)(,2014年)(7月)(起)(担)(任)(本)(行)(董)(事)(、董)(事)(长)(。英)(国)(东)(伦)(敦)(大)(学)(工)(商)(管)(理)(硕)(士)(、吉)(林)(大)(学)(经)(济)(管)(理)(专)(业)(硕)(士)(,高)(级)(经)(济)(师)(。招)(商)(局)(集)(团)(有)(限)(公)(司)(董)(事)(长)(,兼)(任)(招)(商)(局)(国)(际)(有)(限)(公)(司)(董)(事)(会)(主)(席)(、招)(商)(局)(能)(源)(运)(输)(股)(份)(有)(限)(公)(司)(董)(事)(长)(、中)(国)(国)(际)(海)(运)(集)(装)(箱)((集)(团)()股)(份)(有)(限)(公)(司)(董)(事)(长)(、招)(商)(局)(华)(建)(公)(路)(投)(资)(有)(限)(公)(司)(董)(事)(长)(和)(招)(商)(局)(资)(本)(投)(资)(有)(限)(责)(任)(公)(司)(董)(事)(长)(。曾)(任)(中)(国)(远)(洋)(运)(输)((集)(团)()总)(公)(司)(总)(裁)(助)(理)(、总)(经)(济)(师)(、副)(总)(裁)(,招)(商)(局)(集)(团)(有)(限)(公)(司)(董)(事)(、总)(裁)(。
    田)(惠)(宇)(先)(生)(,本)(行)(行)(长)(、执)(行)(董)(事)(,2013年)(5月)(起)(担)(任)(本)(行)(行)(长)(、本)(行)(执)(行)(董)(事)(。美)(国)(哥)(伦)(比)(亚)(大)(学)(公)(共)(管)(理)(硕)(士)(学)(位)(,高)(级)(经)(济)(师)(。曾)(于)(2003年)(7月)(至)(2013年)(5月)(历)(任)(上)(海)(银)(行)(副)(行)(长)(、中)(国)(建)(设)(银)(行)(上)(海)(市)(分)(行)(副)(行)(长)(、深)(圳)(市)(分)(行)(行)(长)(、中)(国)(建)(设)(银)(行)(零)(售)(业)(务)(总)(监)(兼)(北)(京)(市)(分)(行)(行)(长)(。
    王)(良)(先)(生)(,本)(行)(副)(行)(长)(,货)(币)(银)(行)(学)(硕)(士)(,高)(级)(经)(济)(师)(。1991年)(至)(1995年)(,在)(中)(国)(科)(技)(国)(际)(信)(托)(投)(资)(公)(司)(工)(作)(;1995年)(6月)(至)(2001年)(10月)(,历)(任)(招)(商)(银)(行)(北)(京)(分)(行)(展)(览)(路)(支)(行)(、东)(三)(环)(支)(行)(行)(长)(助)(理)(、副)(行)(长)(、行)(长)(、北)(京)(分)(行)(风)(险)(控)(制)(部)(总)(经)(理)(;2001年)(10月)(至)(2006年)(3月)(,历)(任)(北)(京)(分)(行)(行)(长)(助)(理)(、副)(行)(长)(;2006年)(3月)(至)(2008年)(6月)(,任)(北)(京)(分)(行)(党)(委)(书)(记)(、副)(行)(长)((主)(持)(工)(作)();2008年)(6月)(至)(2012年)(6月)(,任)(北)(京)(分)(行)(行)(长)(、党)(委)(书)(记)(;2012年)(6月)(至)(2013年)(11月)(,任)(招)(商)(银)(行)(总)(行)(行)(长)(助)(理)(兼)(北)(京)(分)(行)(行)(长)(、党)(委)(书)(记)(;2013年)(11月)(至)(2014年)(12月)(,任)(招)(商)(银)(行)(总)(行)(行)(长)(助)(理)(;2015年)(1月)(起)(担)(任)(本)(行)(副)(行)(长)(;2016年)(11月)(起)(兼)(任)(本)(行)(董)(事)(会)(秘)(书)(。
    姜)(然)(女)(士)(,招)(商)(银)(行)(资)(产)(托)(管)(部)(总)(经)(理)(,大)(学)(本)(科)(毕)(业)(,具)(有)(基)(金)(托)(管)(人)(高)(级)(管)(理)(人)(员)(任)(职)(资)(格)(。先)(后)(供)(职)(于)(中)(国)(农)(业)(银)(行)(黑)(龙)(江)(省)(分)(行)(,华)(商)(银)(行)(,中)(国)(农)(业)(银)(行)(深)(圳)(市)(分)(行)(,从)(事)(信)(贷)(管)(理)(、托)(管)(工)(作)(。2002年)(9月)(加)(盟)(招)(商)(银)(行)(至)(今)(,历)(任)(招)(商)(银)(行)(总)(行)(资)(产)(托)(管)(部)(经)(理)(、高)(级)(经)(理)(、总)(经)(理)(助)(理)(等)(职)(。是)(国)(内)(首)(家)(推)(出)(的)(网)(上)(托)(管)(银)(行)(的)(主)(要)(设)(计)(、开)(发)(者)(之)(一)(,具)(有)(20余)(年)(银)(行)(信)(贷)(及)(托)(管)(专)(业)(从)(业)(经)(验)(。在)(托)(管)(产)(品)(创)(新)(、服)(务)(流)(程)(优)(化)(、市)(场)(营)(销)(及)(客)(户)(关)(系)(管)(理)(等)(领)(域)(具)(有)(深)(入)(的)(研)(究)(和)(丰)(富)(的)(实)(务)(经)(验)(。
    (三)()基)(金)(托)(管)(业)(务)(经)(营)(情)(况)(
    截)(至)(2018年)(3月)(31日)(,招)(商)(银)(行)(股)(份)(有)(限)(公)(司)(累)(计)(托)(管)(364只)(开)(放)(式)(基)(金)(。
    (四)()托)(管)(人)(的)(内)(部)(控)(制)(制)(度)(
    1、内)(部)(控)(制)(目)(标)(
    确)(保)(托)(管)(业)(务)(严)(格)(遵)(守)(国)(家)(有)(关)(法)(律)(法)(规)(和)(行)(业)(监)(管)(制)(度)(,自)(觉)(形)(成)(守)(法)(经)(营)(、规)(范)(运)(作)(的)(经)(营)(思)(想)(和)(经)(营)(理)(念)(;形)(成)(科)(学)(合)(理)(的)(决)(策)(机)(制)(、执)(行)(机)(制)(和)(监)(督)(机)(制)(,防)(范)(和)(化)(解)(经)(营)(风)(险)(,确)(保)(托)(管)(业)(务)(的)(稳)(健)(运)(行)(和)(托)(管)(资)(产)(的)(安)(全)(完)(整)(;建)(立)(有)(利)(于)(查)(错)(防)(弊)(、堵)(塞)(漏)(洞)(、消)(除)(隐)(患)(,保)(证)(业)(务)(稳)(健)(运)(行)(的)(风)(险)(控)(制)(制)(度)(,确)(保)(托)(管)(业)(务)(信)(息)(真)(实)(、准)(确)(、完)(整)(、及)(时)(;确)(保)(内)(控)(机)(制)(、体)(制)(的)(不)(断)(改)(进)(和)(各)(项)(业)(务)(制)(度)(、流)(程)(的)(不)(断)(完)(善)(。
    2、内)(部)(控)(制)(组)(织)(结)(构)(
    招)(商)(银)(行)(资)(产)(托)(管)(业)(务)(建)(立)(三)(级)(内)(控)(风)(险)(防)(范)(体)(系)(:
    一)(级)(风)(险)(防)(范)(是)(在)(招)(商)(银)(行)(总)(行)(层)(面)(对)(风)(险)(进)(行)(预)(防)(和)(控)(制)(;
    二)(级)(风)(险)(防)(范)(是)(招)(商)(银)(行)(资)(产)(托)(管)(部)(设)(立)(稽)(核)(监)(察)(室)(,负)(责)(部)(门)(内)(部)(风)(险)(预)(防)(和)(控)(制)(;
    三)(级)(风)(险)(防)(范)(是)(招)(商)(银)(行)(资)(产)(托)(管)(部)(在)(设)(置)(专)(业)(岗)(位)(时)(,遵)(循)(内)(控)(制)(衡)(原)(则)(,监)(督)(制)(衡)(的)(形)(式)(和)(方)(式)(视)(业)(务)(的)(风)(险)(程)(度)(决)(定)(。
    3、内)(部)(控)(制)(原)(则)((1)全)(面)(性)(原)(则)(。内)(部)(控)(制)(覆)(盖)(各)(项)(业)(务)(过)(程)(和)(操)(作)(环)(节)(、覆)(盖)(所)(有)(室)(和)(岗)(位)(,并)(由)(全)(体)(人)(员)(参)(与)(。
    (2)审)(慎)(性)(原)(则)(。托)(管)(组)(织)(体)(系)(的)(构)(成)(、内)(部)(管)(理)(制)(度)(的)(建)(立)(均)(以)(防)(范)(风)(险)(、审)(慎)(经)(营)(为)(出)(发)(点)(,体)(现)(“内)(控)(优)(先)(”的)(要)(求)(,以)(有)(效)(防)(范)(各)(种)(风)(险)(作)(为)(内)(部)(控)(制)(的)(核)(心)(。
    (3)独)(立)(性)(原)(则)(。招)(商)(银)(行)(资)(产)(托)(管)(部)(各)(室)(、各)(岗)(位)(职)(责)(保)(持)(相)(对)(独)(立)(,不)(同)(托)(管)(资)(产)(之)(间)(、托)(管)(资)(产)(和)(自)(有)(资)(产)(之)(间)(相)(互)(分)(离)(。内)(部)(控)(制)(的)(检)(查)(、评)(价)(部)(门)(独)(立)(于)(内)(部)(控)(制)(的)(建)(立)(和)(执)(行)(部)(门)(。
    (4)有)(效)(性)(原)(则)(。内)(部)(控)(制)(具)(有)(高)(度)(的)(权)(威)(性)(,任)(何)(人)(不)(得)(拥)(有)(不)(受)(内)(部)(控)(制)(约)(束)(的)(权)(利)(,内)(部)(控)(制)(存)(在)(的)(问)(题)(能)(够)(得)(到)(及)(时)(的)(反)(馈)(和)(纠)(正)(。
    (5)适)(应)(性)(原)(则)(。内)(部)(控)(制)(适)(应)(招)(商)(银)(行)(托)(管)(业)(务)(风)(险)(管)(理)(的)(需)(要)(,并)(能)(够)(随)(着)(托)(管)(业)(务)(经)(营)(战)(略)(、经)(营)(方)(针)(、经)(营)(理)(念)(等)(内)(部)(环)(境)(的)(变)(化)(和)(国)(家)(法)(律)(、法)(规)(、政)(策)(制)(度)(等)(外)(部)(环)(境)(的)(改)(变)(及)(时)(进)(行)(修)(订)(和)(完)(善)(。
    (6)防)(火)(墙)(原)(则)(。招)(商)(银)(行)(资)(产)(托)(管)(部)(配)(备)(独)(立)(的)(托)(管)(业)(务)(技)(术)(系)(统)(,包)(括)(网)(络)(系)(统)(、应)(用)(系)(统)(、安)(全)(防)(护)(系)(统)(、数)(据)(备)(份)(系)(统)(。
    (7)重)(要)(性)(原)(则)(。内)(部)(控)(制)(在)(实)(现)(全)(面)(控)(制)(的)(基)(础)(上)(,关)(注)(重)(要)(托)(管)(业)(务)(事)(项)(和)(高)(风)(险)(领)(域)(。
    (8)制)(衡)(性)(原)(则)(。内)(部)(控)(制)(能)(够)(实)(现)(在)(托)(管)(组)(织)(体)(系)(、机)(构)(设)(置)(及)(权)(责)(分)(配)(、业)(务)(流)(程)(等)(方)(面)(形)(成)(相)(互)(制)(约)(、相)(互)(监)(督)(,同)(时)(兼)(顾)(运)(营)(效)(率)(。
    4、内)(部)(控)(制)(措)(施)((1)完)(善)(的)(制)(度)(建)(设)(。招)(商)(银)(行)(资)(产)(托)(管)(部)(从)(资)(产)(托)(管)(业)(务)(操)(作)(流)(程)(、会)(计)(核)(算)(、资)(金)(清)(算)(、岗)(位)(管)(理)(、档)(案)(管)(理)(和)(信)(息)(管)(理)(等)(方)(面)(制)(定)(一)(系)(列)(规)(章)(制)(度)(,保)(证)(资)(产)(托)(管)(业)(务)(科)(学)(化)(、制)(度)(化)(、规)(范)(化)(运)(作)(。
    (2)经)(营)(风)(险)(控)(制)(。招)(商)(银)(行)(资)(产)(托)(管)(部)(制)(定)(托)(管)(项)(目)(审)(批)(、资)(金)(清)(算)(与)(会)(计)(核)(算)(双)(人)(双)(岗)(、大)(额)(资)(金)(专)(人)(跟)(踪)(、凭)(证)(管)(理)(等)(一)(系)(列)(完)(整)(的)(操)(作)(规)(程)(,有)(效)(地)(控)(制)(业)(务)(运)(作)(过)(程)(中)(的)(风)(险)(。
    (3)业)(务)(信)(息)(风)(险)(控)(制)(。招)(商)(银)(行)(资)(产)(托)(管)(部)(在)(数)(据)(传)(输)(和)(保)(存)(方)(面)(有)(严)(格)(的)(加)(密)(和)(备)(份)(措)(施)(,采)(用)(加)(密)(、直)(连)(方)(式)(传)(输)(数)(据)(,数)(据)(执)(行)(异)(地)(实)(时)(备)(份)(,所)(有)(的)(业)(务)(信)(息)(须)(经)(过)(严)(格)(的)(授)(权)(方)(能)(进)(行)(访)(问)(。
    (4)客)(户)(资)(料)(风)(险)(控)(制)(。招)(商)(银)(行)(资)(产)(托)(管)(部)(对)(业)(务)(办)(理)(过)(程)(中)(形)(成)(的)(客)(户)(资)(料)(,视)(同)(会)(计)(资)(料)(保)(管)(???(户)(资)(料)(不)(得)(泄)(露)(,有)(关)(人)(员)(如)(需)(调)(用)(,须)(经)(总)(经)(理)(室)(成)(员)(审)(批)(,并)(做)(好)(调)(用)(登)(记)(。
    (5)信)(息)(技)(术)(系)(统)(风)(险)(控)(制)(。招)(商)(银)(行)(对)(信)(息)(技)(术)(系)(统)(管)(理)(实)(行)(双)(人)(双)(岗)(双)(责)(、机)(房)(24小)(时)(值)(班)(并)(设)(置)(门)(禁)(管)(理)(、电)(脑)(密)(码)(设)(置)(及)(权)(限)(管)(理)(、业)(务)(网)(和)(办)(公)(网)(、托)(管)(业)(务)(网)(与)(全)(行)(业)(务)(网)(双)(分)(离)(制)(度)(,与)(外)(部)(业)(务)(机)(构)(实)(行)(防)(火)(墙)(保)(护)(,对)(信)(息)(技)(术)(系)(统)(采)(取)(两)(地)(三)(中)(心)(的)(应)(急)(备)(份)(管)(理)(措)(施)(等)(,保)(证)(信)(息)(技)(术)(系)(统)(的)(安)(全)(。
    (6)人)(力)(资)(源)(控)(制)(。招)(商)(银)(行)(资)(产)(托)(管)(部)(通)(过)(建)(立)(良)(好)(的)(企)(业)(文)(化)(和)(员)(工)(培)(训)(、激)(励)(机)(制)(、加)(强)(人)(力)(资)(源)(管)(理)(及)(建)(立)(人)(才)(梯)(级)(队)(伍)(及)(人)(才)(储)(备)(机)(制)(,有)(效)(的)(进)(行)(人)(力)(资)(源)(管)(理)(。
    (五)()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)(
    根)(据)(《中)(华)(人)(民)(共)(和)(国)(证)(券)(投)(资)(基)(金)(法)(》、《公)(开)(募)(集)(证)(券)(投)(资)(基)(金)(运)(作)(管)(理)(办)(法)(》等)(有)(关)(法)(律)(法)(规)(的)(规)(定)(及)(基)(金)(合)(同)(、托)(管)(协)(议)(的)(约)(定)(,对)(基)(金)(投)(资)(范)(围)(、投)(资)(比)(例)(、投)(资)(组)(合)(等)(情)(况)(的)(合)(法)(性)(、合)(规)(性)(进)(行)(监)(督)(和)(核)(查)(。
    在)(为)(基)(金)(投)(资)(运)(作)(所)(提)(供)(的)(基)(金)(清)(算)(和)(核)(算)(服)(务)(环)(节)(中)(,基)(金)(托)(管)(人)(对)(基)(金)(管)(理)(人)(发)(送)(的)(投)(资)(指)(令)(、基)(金)(管)(理)(人)(对)(各)(基)(金)(费)(用)(的)(提)(取)(与)(支)(付)(情)(况)(进)(行)(检)(查)(监)(督)(,对)(违)(反)(法)(律)(法)(规)(、基)(金)(合)(同)(的)(指)(令)(拒)(绝)(执)(行)(,并)(立)(即)(通)(知)(基)(金)(管)(理)(人)(。
    基)(金)(托)(管)(人)(如)(发)(现)(基)(金)(管)(理)(人)(依)(据)(交)(易)(程)(序)(已)(经)(生)(效)(的)(投)(资)(指)(令)(违)(反)(法)(律)(、行)(政)(法)(规)(和)(其)(他)(有)(关)(规)(定)(,或)(者)(违)(反)(基)(金)(合)(同)(约)(定)(,及)(时)(以)(书)(面)(形)(式)(通)(知)(基)(金)(管)(理)(人)(进)(行)(整)(改)(,整)(改)(的)(时)(限)(应)(符)(合)(法)(律)(法)(规)(及)(基)(金)(合)(同)(允)(许)(的)(调)(整)(期)(限)(?;?(金)(管)(理)(人)(收)(到)(通)(知)(后)(应)(及)(时)(核)(对)(确)(认)(并)(以)(书)(面)(形)(式)(向)(基)(金)(托)(管)(人)(发)(出)(回)(函)(并)(改)(正)(?;?(金)(管)(理)(人)(对)(基)(金)(托)(管)(人)(通)(知)(的)(违)(规)(事)(项)(未)(能)(在)(限)(期)(内)(纠)(正)(的)(,基)(金)(托)(管)(人)(应)(报)(告)(中)(国)(证)(监)(会)(。
    三)(、相)(关)(服)(务)(机)(构)((一)()基)(金)(份)(额)(销)(售)(机)(构)(
    1、直)(销)(机)(构)(
    本)(基)(金)(直)(销)(机)(构)(为)(基)(金)(管)(理)(人)(以)(及)(基)(金)(管)(理)(人)(的)(网)(上)(直)(销)(交)(易)(平)(台)((网)(站)(及)(手)(机)(APP,下)(同)()。
    名)(称)(:交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(
    住)(所)(:上)(海)(市)(浦)(东)(新)(区)(银)(城)(中)(路)(188号)(交)(通)(银)(行)(大)(楼)(二)(层)((裙)()
    办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(世)(纪)(大)(道)(8号)(国)(金)(中)(心)(二)(期)(21-22楼)(
    法)(定)(代)(表)(人)(:于)(亚)(利)(
    成)(立)(时)(间)(:2005年)(8月)(4日)(
    电)(话)(:(021)61055724
    传)(真)(:(021)61055054
    联)(系)(人)(:傅)(鲸)(
    客)(户)(服)(务)(电)(话)(:400-700-5000(免)(长)(途)(话)(费)(),(021)61055000
    网)(址)(:www.fund001.com
    个)(人)(投)(资)(者)(可)(以)(通)(过)(基)(金)(管)(理)(人)(网)(上)(直)(销)(交)(易)(平)(台)(办)(理)(开)(户)(业)(务)(,具)(体)(交)(易)(细)(则)(请)(参)(阅)(基)(金)(管)(理)(人)(网)(站)(。网)(上)(直)(销)(交)(易)(平)(台)(网)(址)(:www.fund001.com。
    2、除)(基)(金)(管)(理)(人)(之)(外)(的)(其)(他)(销)(售)(机)(构)((1)交)(通)(银)(行)(股)(份)(有)(限)(公)(司)(
    住)(所)(:上)(海)(市)(浦)(东)(新)(区)(银)(城)(中)(路)(188号)(
    办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(银)(城)(中)(路)(188号)(
    法)(定)(代)(表)(人)(:彭)(纯)(
    电)(话)(:(021)58781234
    传)(真)(:(021)58408483
    联)(系)(人)(:曹)(榕)(
    客)(户)(服)(务)(电)(话)(:95559
    网)(址)(:www.bankcomm.com(2)招)(商)(银)(行)(股)(份)(有)(限)(公)(司)(
    住)(所)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(
    办)(公)(地)(址)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(
    法)(定)(代)(表)(人)(:李)(建)(红)(
    电)(话)(:(0755)83198888
    传)(真)(:(0755)83195109
    联)(系)(人)(:邓)(炯)(鹏)(
    客)(户)(服)(务)(电)(话)(:95555
    网)(址)(:www.cmbchina.com(3)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)(218号)(1幢)(202室)(
    办)(公)(地)(址)(:浙)(江)(省)(杭)(州)(市)(西)(湖)(区)(万)(塘)(路)(18号)(黄)(龙)(时)(代)(广)(场)(B座)(6楼)(
    法)(定)(代)(表)(人)(:陈)(柏)(青)(
    电)(话)(:(0571)81119792
    传)(真)(:(0571)22905999
    联)(系)(人)(:韩)(爱)(彬)(
    客)(户)(服)(务)(电)(话)(:4000-766-123
    网)(址)(:www.fund123.cn(4)上)(海)(天)(天)(基)(金)(销)(售)(有)(限)(公)(司)(
    住)(所)(:上)(海)(市)(徐)(汇)(区)(龙)(田)(路)(190号)(2号)(楼)(2层)(
    办)(公)(地)(址)(:上)(海)(市)(徐)(汇)(区)(龙)(田)(路)(195号)(3C座)(10楼)(
    法)(定)(代)(表)(人)(:其)(实)(
    电)(话)(:(021)54509998
    传)(真)(:(021)64385308
    联)(系)(人)(:潘)(世)(友)(
    客)(户)(服)(务)(电)(话)(:400-1818-188
    网)(址)(:www.1234567.com.cn(5)上)(海)(陆)(金)(所)(资)(产)(管)(理)(有)(限)(公)(司)(
    住)(所)(:上)(海)(市)(浦)(东)(新)(区)(陆)(家)(嘴)(环)(路)(1333号)(14楼)(09单)(元)(
    办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(陆)(家)(嘴)(环)(路)(1333号)(14楼)(
    法)(定)(代)(表)(人)(:郭)(坚)(
    电)(话)(:(021)20665952
    传)(真)(:(021)22066653
    联)(系)(人)(:宁)(博)(宇)(
    客)(户)(服)(务)(电)(话)(:4008219031
    网)(址)(:www.lufunds.com
    基)(金)(管)(理)(人)(可)(根)(据)(有)(关)(法)(律)(法)(规)(的)(要)(求)(,选)(择)(其)(它)(符)(合)(要)(求)(的)(机)(构)(销)(售)(本)(基)(金)(,并)(及)(时)(公)(告)(。
    (二)()登)(记)(机)(构)(
    名)(称)(:中)(国)(证)(券)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(
    住)(所)(:北)(京)(市)(西)(城)(区)(太)(平)(桥)(大)(街)(17号)(
    办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(太)(平)(桥)(大)(街)(17号)(
    法)(定)(代)(表)(人)(:周)(明)(
    电)(话)(:(010)50938617
    传)(真)(:(010)50938907
    联)(系)(人)(:周)(莉)((三)()出)(具)(法)(律)(意)(见)(书)(的)(律)(师)(事)(务)(所)(
    名)(称)(:上)(海)(市)(通)(力)(律)(师)(事)(务)(所)(
    住)(所)(:上)(海)(市)(银)(城)(中)(路)(68号)(时)(代)(金)(融)(中)(心)(19楼)(
    办)(公)(地)(址)(:上)(海)(市)(银)(城)(中)(路)(68号)(时)(代)(金)(融)(中)(心)(19楼)(
    负)(责)(人)(:俞)(卫)(锋)(
    电)(话)(:(021)31358666
    传)(真)(:(021)31358600
    联)(系)(人)(:丁)(媛)(
    经)(办)(律)(师)(:黎)(明)(、丁)(媛)((四)()审)(计)(基)(金)(财)(产)(的)(会)(计)(师)(事)(务)(所)(
    名)(称)(:普)(华)(永)(道)(中)(天)(会)(计)(师)(事)(务)(所)((特)(殊)(普)(通)(合)(伙)()
    住)(所)(:上)(海)(市)(浦)(东)(新)(区)(陆)(家)(嘴)(环)(路)(1318号)(星)(展)(银)(行)(大)(厦)(6楼)(
    办)(公)(地)(址)(:上)(海)(市)(湖)(滨)(路)(202号)(普)(华)(永)(道)(中)(心)(11楼)(
    执)(行)(事)(务)(合)(伙)(人)(:李)(丹)(
    电)(话)(:(021)23238888
    传)(真)(:(021)23238800
    联)(系)(人)(:朱)(宏)(宇)(
    经)(办)(注)(册)(会)(计)(师)(:薛)(竞)(、朱)(宏)(宇)(
    四)(、基)(金)(的)(名)(称)(
    本)(基)(金)(名)(称)(:交)(银)(施)(罗)(德)(境)(尚)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(
    五)(、基)(金)(的)(类)(型)(
    本)(基)(金)(为)(契)(约)(型)(开)(放)(式)(债)(券)(型)(基)(金)(?;?(金)(存)(续)(期)(间)(为)(不)(定)(期)(。
    六)(、基)(金)(的)(投)(资)(目)(标)(
    在)(严)(格)(控)(制)(风)(险)(的)(前)(提)(下)(,力)(求)(获)(得)(高)(于)(业)(绩)(基)(准)(的)(投)(资)(收)(益)(。
    七)(、基)(金)(的)(投)(资)(范)(围)(
    本)(基)(金)(的)(投)(资)(范)(围)(为)(具)(有)(良)(好)(流)(动)(性)(的)(金)(融)(工)(具)(,包)(括)(国)(内)(依)(法)(发)(行)(交)(易)(的)(国)(债)(、金)(融)(债)(、央)(行)(票)(据)(、地)(方)(政)(府)(债)(、企)(业)(债)(、公)(司)(债)(、可)(分)(离)(交)(易)(可)(转)(债)(的)(纯)(债)(、次)(级)(债)(、资)(产)(支)(持)(证)(券)(、短)(期)(融)(资)(券)(、超)(级)(短)(期)(融)(资)(券)(、中)(小)(企)(业)(私)(募)(债)(、中)(期)(票)(据)(、债)(券)(回)(购)(、银)(行)(存)(款)(、同)(业)(存)(单)(、货)(币)(市)(场)(工)(具)(等)(固)(定)(收)(益)(类)(资)(产)(和)(法)(律)(法)(规)(允)(许)(投)(资)(的)(其)(他)(金)(融)(工)(具)(。本)(基)(金)(不)(投)(资)(于)(股)(票)(、权)(证)(等)(权)(益)(类)(资)(产)(,也)(不)(投)(资)(于)(可)(转)(换)(债)(券)((可)(分)(离)(交)(易)(可)(转)(债)(的)(纯)(债)(部)(分)(除)(外)()、可)(交)(换)(债)(券)(。如)(法)(律)(法)(规)(或)(监)(管)(机)(构)(以)(后)(允)(许)(基)(金)(投)(资)(其)(他)(品)(种)(,基)(金)(管)(理)(人)(在)(履)(行)(适)(当)(程)(序)(后)(,可)(以)(将)(其)(纳)(入)(投)(资)(范)(围)(。
    基)(金)(的)(投)(资)(组)(合)(比)(例)(为)(投)(资)(于)(债)(券)(资)(产)(的)(比)(例)(不)(低)(于)(基)(金)(资)(产)(的)(80%,但)(在)(封)(闭)(期)(结)(束)(前)(三)(个)(月)(和)(转)(开)(放)(后)(三)(个)(月)(内)(,基)(金)(投)(资)(不)(受)(上)(述)(债)(券)(资)(产)(投)(资)(比)(例)(限)(制)(。
    本)(基)(金)(转)(为)(开)(放)(式)(运)(作)(后)(,现)(金)(或)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)(的)(比)(例)(合)(计)(不)(低)(于)(基)(金)(资)(产)(净)(值)(的)(5%,其)(中)(现)(金)(不)(包)(括)(结)(算)(备)(付)(金)(、存)(出)(保)(证)(金)(和)(应)(收)(申)(购)(款)(等)(。
    如)(果)(法)(律)(法)(规)(或)(中)(国)(证)(监)(会)(变)(更)(投)(资)(品)(种)(的)(投)(资)(比)(例)(限)(制)(,基)(金)(管)(理)(人)(在)(履)(行)(适)(当)(程)(序)(后)(,可)(以)(调)(整)(上)(述)(投)(资)(品)(种)(的)(投)(资)(比)(例)(。
    八)(、基)(金)(的)(投)(资)(策)(略)(
    1、封)(闭)(期)(内)(的)(投)(资)(策)(略)(
    本)(基)(金)(充)(分)(发)(挥)(基)(金)(管)(理)(人)(的)(研)(究)(优)(势)(,融)(合)(规)(范)(化)(的)(基)(本)(面)(研)(究)(和)(严)(谨)(的)(信)(用)(分)(析)(,在)(分)(析)(和)(判)(断)(宏)(观)(经)(济)(运)(行)(状)(况)(和)(金)(融)(市)(场)(运)(行)(趋)(势)(的)(基)(础)(上)(,充)(分)(利)(用)(封)(闭)(式)(运)(作)(优)(势)(,以)(买)(入)(持)(有)(和)(杠)(杆)(套)(息)(等)(为)(基)(本)(投)(资)(策)(略)(,获)(取)(稳)(定)(收)(益)(;同)(时)(,本)(基)(金)(将)(严)(格)(控)(制)(信)(用)(风)(险)(,在)(严)(谨)(深)(入)(的)(信)(用)(分)(析)(基)(础)(上)(,综)(合)(考)(量)(信)(用)(债)(券)(的)(信)(用)(评)(级)(,以)(及)(各)(类)(债)(券)(的)(流)(动)(性)(、供)(求)(关)(系)(和)(收)(益)(率)(水)(平)(等)(,自)(下)(而)(上)(精)(选)(投)(资)(标)(的)(。本)(基)(金)(采)(用)(的)(主)(要)(策)(略)(包)(括)(:
    (1)债)(券)(的)(类)(属)(配)(置)(策)(略)(
    本)(基)(金)(定)(性)(和)(定)(量)(地)(分)(析)(不)(同)(类)(属)(债)(券)(类)(资)(产)(的)(信)(用)(风)(险)(、流)(动)(性)(风)(险)(、市)(场)(风)(险)(等)(因)(素)(及)(其)(经)(风)(险)(调)(整)(后)(的)(收)(益)(率)(水)(平)(或)(盈)(利)(能)(力)(,通)(过)(比)(较)(并)(合)(理)(预)(期)(不)(同)(类)(属)(债)(券)(类)(资)(产)(的)(风)(险)(与)(收)(益)(率)(变)(化)(,确)(定)(不)(同)(类)(属)(债)(券)(类)(资)(产)(间)(的)(配)(置)(。
    (2)买)(入)(持)(有)(策)(略)(
    在)(精)(选)(个)(券)(基)(础)(上)(,本)(基)(金)(主)(要)(通)(过)(买)(入)(与)(封)(闭)(期)(适)(度)(匹)(配)(的)(债)(券)(,并)(持)(有)(到)(期)(,或)(者)(是)(持)(有)(回)(售)(期)(与)(封)(闭)(期)(适)(度)(匹)(配)(的)(债)(券)(,获)(得)(本)(金)(和)(票)(息)(收)(入)(。
    (3)杠)(杆)(套)(息)(策)(略)(
    在)(控)(制)(组)(合)(整)(体)(风)(险)(的)(基)(础)(上)(,综)(合)(考)(虑)(债)(券)(持)(有)(期)(内)(的)(票)(息)(收)(入)(和)(融)(资)(成)(本)(之)(间)(的)(息)(差)(,通)(过)(实)(施)(正)(回)(购)(融)(入)(资)(金)(并)(投)(资)(于)(中)(高)(等)(级)(信)(用)(债)(券)(等)(可)(投)(资)(标)(的)(,实)(现)(杠)(杆)(放)(大)(获)(取)(债)(券)(持)(有)(期)(内)(债)(券)(票)(息)(和)(融)(资)(成)(本)(之)(间)(的)(息)(差)(收)(益)(。
    (4)信)(用)(债)(券)(投)(资)(策)(略)(
    本)(基)(金)(将)(严)(控)(信)(用)(风)(险)(,通)(过)(宏)(观)(经)(济)(运)(行)(、发)(行)(主)(体)(的)(发)(展)(前)(景)(和)(偿)(债)(能)(力)(、国)(家)(信)(用)(支)(撑)(等)(多)(重)(因)(素)(的)(综)(合)(考)(量)(对)(信)(用)(债)(券)(进)(行)(信)(用)(评)(级)(,并)(在)(信)(用)(评)(级)(的)(基)(础)(上)(,建)(立)(信)(用)(债)(券)(池)(;然)(后)(基)(于)(既)(定)(的)(投)(资)(期)(限)(、信)(用)(利)(差)(精)(选)(个)(券)(进)(行)(投)(资)(。具)(体)(而)(言)(,本)(基)(金)(信)(用)(债)(券)(的)(投)(资)(遵)(循)(以)(下)(流)(程)(:
    信)(用)(债)(券)(研)(究)(
    信)(用)(分)(析)(师)(通)(过)(系)(统)(的)(案)(头)(研)(究)(、走)(访)(发)(行)(主)(体)(、咨)(询)(发)(行)(中)(介)(等)(各)(种)(形)(式)(,“自)(上)(而)(下)(”地)(分)(析)(宏)(观)(经)(济)(运)(行)(趋)(势)(、行)(业)((或)(产)(业)()经)(济)(前)(景)(,“自)(下)(而)(上)(”地)(分)(析)(发)(行)(主)(体)(的)(发)(展)(前)(景)(、偿)(债)(能)(力)(、国)(家)(信)(用)(支)(撑)(等)(。通)(过)(交)(银)(施)(罗)(德)(的)(信)(用)(债)(券)(信)(用)(评)(级)(指)(标)(体)(系)(,对)(信)(用)(债)(券)(进)(行)(信)(用)(评)(级)(,并)(在)(信)(用)(评)(级)(的)(基)(础)(上)(,建)(立)(本)(基)(金)(的)(信)(用)(债)(券)(池)(。
    信)(用)(债)(券)(筛)(选)(
    本)(基)(金)(从)(信)(用)(债)(券)(池)(中)(精)(选)(债)(券)(构)(建)(信)(用)(债)(券)(投)(资)(组)(合)(,债)(券)(筛)(选)(主)(要)(考)(虑)(以)(下)(因)(素)(:
    a、信)(用)(债)(券)(信)(用)(评)(级)(的)(变)(化)(。
    b、不)(同)(信)(用)(等)(级)(的)(信)(用)(债)(券)(,以)(及)(同)(一)(信)(用)(等)(级)(不)(同)(标)(的)(债)(券)(之)(间)(的)(信)(用)(利)(差)(变)(化)(。本)(基)(金)(密)(切)(关)(注)(供)(求)(关)(系)(、税)(收)(、利)(率)(、投)(资)(人)(结)(构)(与)(行)(为)(以)(及)(市)(场)(的)(深)(度)(、广)(度)(和)(制)(度)(建)(设)(等)(因)(素)(对)(信)(用)(利)(差)(的)(影)(响)(。
    (5)中)(小)(企)(业)(私)(募)(债)(券)(投)(资)(策)(略)(
    本)(基)(金)(投)(资)(中)(小)(企)(业)(私)(募)(债)(将)(重)(点)(关)(注)(其)(信)(用)(风)(险)(和)(流)(动)(性)(风)(险)(,综)(合)(考)(虑)(信)(用)(基)(本)(面)(、债)(券)(收)(益)(率)(和)(流)(动)(性)(等)(要)(素)(,在)(信)(用)(风)(险)(可)(控)(的)(前)(提)(下)(,追)(求)(合)(理)(回)(报)(。本)(基)(金)(采)(取)(自)(下)(而)(上)(的)(方)(法)(建)(立)(适)(合)(中)(小)(企)(业)(私)(募)(债)(的)(信)(用)(评)(级)(体)(系)(,对)(个)(券)(进)(行)(信)(用)(分)(析)(,根)(据)(内)(部)(的)(信)(用)(分)(析)(方)(法)(对)(可)(选)(的)(中)(小)(企)(业)(私)(募)(债)(券)(个)(券)(进)(行)(严)(格)(筛)(选)(过)(滤)(:重)(点)(分)(析)(发)(行)(主)(体)(的)(公)(司)(背)(景)(、竞)(争)(地)(位)(、治)(理)(结)(构)(、盈)(利)(能)(力)(、偿)(债)(能)(力)(、现)(金)(流)(水)(平)(等)(诸)(多)(因)(素)(,对)(主)(体)(所)(发)(行)(债)(券)(进)(行)(打)(分)(和)(投)(资)(价)(值)(评)(估)(,分)(数)(高)(于)(内)(部)(投)(资)(级)(要)(求)(才)(能)(入)(库)(投)(资)(。在)(投)(资)(是)(综)(合)(考)(虑)(虑)(信)(用)(基)(本)(面)(、债)(券)(收)(益)(率)(和)(流)(动)(性)(,选)(择)(发)(行)(主)(体)(资)(质)(优)(良)(,估)(值)(合)(理)(且)(流)(通)(相)(对)(充)(分)(的)(品)(种)(进)(行)(适)(度)(投)(资)(。
    2、转)(为)(开)(放)(式)(运)(作)(后)(的)(投)(资)(策)(略)(
    本)(基)(金)(充)(分)(发)(挥)(基)(金)(管)(理)(人)(的)(研)(究)(优)(势)(,融)(合)(规)(范)(化)(的)(基)(本)(面)(研)(究)(和)(严)(谨)(的)(信)(用)(分)(析)(,在)(分)(析)(和)(判)(断)(宏)(观)(经)(济)(运)(行)(状)(况)(和)(金)(融)(市)(场)(运)(行)(趋)(势)(的)(基)(础)(上)(,动)(态)(调)(整)(大)(类)(金)(融)(资)(产)(比)(例)(,自)(上)(而)(下)(决)(定)(类)(属)(资)(产)(配)(置)(和)(债)(券)(组)(合)(久)(期)(、期)(限)(结)(构)(;在)(严)(谨)(深)(入)(的)(信)(用)(分)(析)(基)(础)(上)(,综)(合)(考)(量)(信)(用)(债)(券)(的)(信)(用)(评)(级)(,以)(及)(各)(类)(债)(券)(的)(流)(动)(性)(、供)(求)(关)(系)(和)(收)(益)(率)(水)(平)(等)(,自)(下)(而)(上)(精)(选)(投)(资)(标)(的)(。本)(基)(金)(采)(用)(的)(主)(要)(策)(略)(包)(括)(:
    (1)久)(期)(调)(整)(策)(略)(
    本)(基)(金)(根)(据)(中)(长)(期)(宏)(观)(经)(济)(走)(势)(和)(经)(济)(周)(期)(波)(动)(趋)(势)(,判)(断)(债)(券)(市)(场)(未)(来)(的)(走)(势)(,并)(形)(成)(对)(未)(来)(市)(场)(利)(率)(变)(动)(方)(向)(的)(预)(期)(,动)(态)(调)(整)(组)(合)(久)(期)(。当)(预)(期)(收)(益)(率)(曲)(线)(下)(移)(时)(,适)(当)(提)(高)(组)(合)(久)(期)(,以)(分)(享)(债)(券)(市)(场)(上)(涨)(的)(收)(益)(;当)(预)(期)(收)(益)(率)(曲)(线)(下)(移)(时)(,适)(当)(降)(低)(组)(合)(久)(期)(,以)(规)(避)(债)(券)(市)(场)(下)(跌)(风)(险)(。
    (2)债)(券)(的)(类)(属)(配)(置)(策)(略)(
    本)(基)(金)(定)(性)(和)(定)(量)(地)(分)(析)(不)(同)(类)(属)(债)(券)(类)(资)(产)(的)(信)(用)(风)(险)(、流)(动)(性)(风)(险)(、市)(场)(风)(险)(等)(因)(素)(及)(其)(经)(风)(险)(调)(整)(后)(的)(收)(益)(率)(水)(平)(或)(盈)(利)(能)(力)(,通)(过)(比)(较)(并)(合)(理)(预)(期)(不)(同)(类)(属)(债)(券)(类)(资)(产)(的)(风)(险)(与)(收)(益)(率)(变)(化)(,确)(定)(不)(同)(类)(属)(债)(券)(类)(资)(产)(间)(的)(配)(置)(。
    (3)期)(限)(结)(构)(配)(置)(策)(略)(
    通)(过)(预)(期)(收)(益)(率)(曲)(线)(形)(态)(变)(化)(来)(调)(整)(投)(资)(组)(合)(的)(期)(限)(结)(构)(配)(置)(策)(略)(。根)(据)(债)(券)(收)(益)(率)(曲)(线)(形)(态)(、各)(期)(限)(段)(品)(种)(收)(益)(率)(变)(动)(、结)(合)(短)(期)(资)(金)(利)(率)(水)(平)(与)(变)(动)(趋)(势)(,分)(析)(预)(测)(收)(益)(率)(曲)(线)(的)(变)(化)(,测)(算)(子)(弹)(、哑)(铃)(或)(梯)(形)(等)(不)(同)(期)(限)(结)(构)(配)(置)(策)(略)(的)(风)(险)(收)(益)(,形)(成)(具)(体)(的)(期)(限)(结)(构)(配)(置)(策)(略)(。
    (4)杠)(杆)(放)(大)(策)(略)(
    当)(回)(购)(利)(率)(低)(于)(债)(券)(收)(益)(率)(时)(,本)(基)(金)(将)(实)(施)(正)(回)(购)(融)(入)(资)(金)(并)(投)(资)(于)(信)(用)(债)(券)(等)(可)(投)(资)(标)(的)(,从)(而)(获)(取)(收)(益)(率)(超)(出)(回)(购)(资)(金)(成)(本)((即)(回)(购)(利)(率)()的)(套)(利)(价)(值)(。
    (5)信)(用)(债)(券)(投)(资)(策)(略)(
    本)(基)(金)(通)(过)(宏)(观)(经)(济)(运)(行)(、发)(行)(主)(体)(的)(发)(展)(前)(景)(和)(偿)(债)(能)(力)(、国)(家)(信)(用)(支)(撑)(等)(多)(重)(因)(素)(的)(综)(合)(考)(量)(对)(信)(用)(债)(券)(进)(行)(信)(用)(评)(级)(,并)(在)(信)(用)(评)(级)(的)(基)(础)(上)(,建)(立)(信)(用)(债)(券)(池)(;然)(后)(基)(于)(既)(定)(的)(目)(标)(久)(期)(、信)(用)(利)(差)(精)(选)(个)(券)(进)(行)(投)(资)(。具)(体)(而)(言)(,本)(基)(金)(信)(用)(债)(券)(的)(投)(资)(遵)(循)(以)(下)(流)(程)(:
    信)(用)(债)(券)(研)(究)(
    信)(用)(分)(析)(师)(通)(过)(系)(统)(的)(案)(头)(研)(究)(、走)(访)(发)(行)(主)(体)(、咨)(询)(发)(行)(中)(介)(等)(各)(种)(形)(式)(,“自)(上)(而)(下)(”地)(分)(析)(宏)(观)(经)(济)(运)(行)(趋)(势)(、行)(业)((或)(产)(业)()经)(济)(前)(景)(,“自)(下)(而)(上)(”地)(分)(析)(发)(行)(主)(体)(的)(发)(展)(前)(景)(、偿)(债)(能)(力)(、国)(家)(信)(用)(支)(撑)(等)(。通)(过)(交)(银)(施)(罗)(德)(的)(信)(用)(债)(券)(信)(用)(评)(级)(指)(标)(体)(系)(,对)(信)(用)(债)(券)(进)(行)(信)(用)(评)(级)(,并)(在)(信)(用)(评)(级)(的)(基)(础)(上)(,建)(立)(本)(基)(金)(的)(信)(用)(债)(券)(池)(。
    信)(用)(债)(券)(筛)(选)(
    本)(基)(金)(从)(信)(用)(债)(券)(池)(中)(精)(选)(债)(券)(构)(建)(信)(用)(债)(券)(投)(资)(组)(合)(,债)(券)(筛)(选)(主)(要)(考)(虑)(以)(下)(因)(素)(:
    a、信)(用)(债)(券)(信)(用)(评)(级)(的)(变)(化)(。
    b、不)(同)(信)(用)(等)(级)(的)(信)(用)(债)(券)(,以)(及)(同)(一)(信)(用)(等)(级)(不)(同)(标)(的)(债)(券)(之)(间)(的)(信)(用)(利)(差)(变)(化)(。本)(基)(金)(密)(切)(关)(注)(供)(求)(关)(系)(、税)(收)(、利)(率)(、投)(资)(人)(结)(构)(与)(行)(为)(以)(及)(市)(场)(的)(深)(度)(、广)(度)(和)(制)(度)(建)(设)(等)(因)(素)(对)(信)(用)(利)(差)(的)(影)(响)(,对)(个)(券)(进)(行)(有)(效)(的)(信)(用)(利)(差)(交)(易)(。
    (6)资)(产)(支)(持)(证)(券)((含)(资)(产)(收)(益)(计)(划)()投)(资)(策)(略)(
    本)(基)(金)(将)(通)(过)(宏)(观)(经)(济)(、提)(前)(偿)(还)(率)(、资)(产)(池)(结)(构)(及)(资)(产)(池)(资)(产)(所)(在)(行)(业)(景)(气)(变)(化)(等)(因)(素)(的)(研)(究)(,预)(测)(资)(产)(池)(未)(来)(现)(金)(流)(变)(化)(;研)(究)(标)(的)(证)(券)(发)(行)(条)(款)(,预)(测)(提)(前)(偿)(还)(率)(变)(化)(对)(标)(的)(证)(券)(的)(久)(期)(与)(收)(益)(率)(的)(影)(响)(,同)(时)(密)(切)(关)(注)(流)(动)(性)(对)(标)(的)(证)(券)(收)(益)(率)(的)(影)(响)(。综)(合)(运)(用)(久)(期)(管)(理)(、收)(益)(率)(曲)(线)(、个)(券)(选)(择)(和)(把)(握)(市)(场)(交)(易)(机)(会)(等)(积)(极)(策)(略)(,在)(严)(格)(控)(制)(风)(险)(的)(情)(况)(下)(,通)(过)(信)(用)(研)(究)(和)(流)(动)(性)(管)(理)(,选)(择)(风)(险)(调)(整)(后)(的)(收)(益)(高)(的)(品)(种)(进)(行)(投)(资)(,以)(期)(获)(得)(长)(期)(稳)(定)(收)(益)(。
    (7)中)(小)(企)(业)(私)(募)(债)(券)(投)(资)(策)(略)(
    本)(基)(金)(投)(资)(中)(小)(企)(业)(私)(募)(债)(将)(重)(点)(关)(注)(其)(信)(用)(风)(险)(和)(流)(动)(性)(风)(险)(,综)(合)(考)(虑)(信)(用)(基)(本)(面)(、债)(券)(收)(益)(率)(和)(流)(动)(性)(等)(要)(素)(,在)(信)(用)(风)(险)(可)(控)(的)(前)(提)(下)(,追)(求)(合)(理)(回)(报)(。本)(基)(金)(采)(取)(自)(下)(而)(上)(的)(方)(法)(建)(立)(适)(合)(中)(小)(企)(业)(私)(募)(债)(的)(信)(用)(评)(级)(体)(系)(,对)(个)(券)(进)(行)(信)(用)(分)(析)(,根)(据)(内)(部)(的)(信)(用)(分)(析)(方)(法)(对)(可)(选)(的)(中)(小)(企)(业)(私)(募)(债)(券)(个)(券)(进)(行)(严)(格)(筛)(选)(过)(滤)(:重)(点)(分)(析)(发)(行)(主)(体)(的)(公)(司)(背)(景)(、竞)(争)(地)(位)(、治)(理)(结)(构)(、盈)(利)(能)(力)(、偿)(债)(能)(力)(、现)(金)(流)(水)(平)(等)(诸)(多)(因)(素)(,对)(主)(体)(所)(发)(行)(债)(券)(进)(行)(打)(分)(和)(投)(资)(价)(值)(评)(估)(,分)(数)(高)(于)(内)(部)(投)(资)(级)(要)(求)(才)(能)(入)(库)(投)(资)(。在)(投)(资)(是)(综)(合)(考)(虑)(虑)(信)(用)(基)(本)(面)(、债)(券)(收)(益)(率)(和)(流)(动)(性)(,选)(择)(发)(行)(主)(体)(资)(质)(优)(良)(,估)(值)(合)(理)(且)(流)(通)(相)(对)(充)(分)(的)(品)(种)(进)(行)(适)(度)(投)(资)(。
    九)(、基)(金)(的)(业)(绩)(比)(较)(基)(准)(
    1、封)(闭)(期)(内)(的)(业)(绩)(比)(较)(基)(准)(
    两)(年)(期)(银)(行)(定)(期)(存)(款)(税)(后)(收)(益)(率)(+1.25%。
    本)(基)(金)(力)(求)(在)(封)(闭)(期)(内)(获)(得)(高)(于)(同)(期)(银)(行)(定)(期)(存)(款)(的)(投)(资)(收)(益)(,本)(基)(金)(封)(闭)(期)(两)(年)(,以)(两)(年)(期)(银)(行)(定)(期)(存)(款)(税)(后)(收)(益)(率)(上)(浮)(1.25%作)(为)(本)(基)(金)(的)(业)(绩)(比)(较)(基)(准)(能)(够)(使)(本)(基)(金)(投)(资)(人)(理)(性)(判)(断)(本)(基)(金)(产)(品)(的)(风)(险)(收)(益)(特)(征)(,合)(理)(地)(衡)(量)(比)(较)(本)(基)(金)(的)(业)(绩)(表)(现)(。
    2、转)(为)(开)(放)(式)(运)(作)(后)(的)(业)(绩)(比)(较)(基)(准)(
    中)(债)(综)(合)(全)(价)(指)(数)(收)(益)(率)(
    中)(债)(综)(合)(全)(价)(指)(数)(由)(中)(央)(国)(债)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(编)(制)(并)(发)(布)(,其)(指)(数)(样)(本)(涵)(盖)(国)(债)(、政)(策)(性)(银)(行)(债)(、商)(业)(银)(行)(债)(、地)(方)(企)(业)(债)(、中)(期)(票)(据)(以)(及)(证)(券)(公)(司)(短)(期)(融)(资)(券)(等)(各)(类)(券)(种)(,综)(合)(反)(映)(了)(债)(券)(市)(场)(整)(体)(价)(格)(和)(回)(报)(情)(况)(,是)(目)(前)(市)(场)(上)(较)(为)(权)(威)(的)(反)(映)(债)(券)(市)(场)(整)(体)(走)(势)(的)(基)(准)(指)(数)(之)(一)(。该)(指)(数)(合)(理)(、透)(明)(、公)(开)(,具)(有)(较)(好)(的)(市)(场)(接)(受)(度)(,作)(为)(衡)(量)(本)(基)(金)(比)(较)(基)(准)(较)(为)(合)(适)(。
    如)(果)(上)(述)(基)(准)(指)(数)(停)(止)(计)(算)(编)(制)(或)(更)(改)(名)(称)(,或)(者)(今)(后)(法)(律)(法)(规)(发)(生)(变)(化)(,又)(或)(者)(市)(场)(推)(出)(更)(具)(权)(威)(、且)(更)(能)(够)(表)(征)(本)(基)(金)(风)(险)(收)(益)(特)(征)(的)(指)(数)(,则)(本)(基)(金)(管)(理)(人)(可)(与)(本)(基)(金)(托)(管)(人)(协)(商)(一)(致)(后)(,调)(整)(或)(变)(更)(本)(基)(金)(的)(业)(绩)(比)(较)(基)(准)(并)(及)(时)(公)(告)(,而)(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)(是)(一)(只)(债)(券)(型)(基)(金)(,其)(风)(险)(与)(预)(期)(收)(益)(高)(于)(货)(币)(市)(场)(基)(金)(,低)(于)(混)(合)(型)(基)(金)(和)(股)(票)(型)(基)(金)(,属)(于)(证)(券)(投)(资)(基)(金)(中)(中)(等)(风)(险)(的)(品)(种)(。
    十)(一)(、基)(金)(投)(资)(组)(合)(报)(告)(
    基)(金)(管)(理)(人)(的)(董)(事)(会)(及)(董)(事)(保)(证)(本)(报)(告)(所)(载)(资)(料)(不)(存)(在)(虚)(假)(记)(载)(、误)(导)(性)(陈)(述)(或)(重)(大)(遗)(漏)(,并)(对)(其)(内)(容)(的)(真)(实)(性)(、准)(确)(性)(和)(完)(整)(性)(承)(担)(个)(别)(及)(连)(带)(责)(任)(。
    基)(金)(托)(管)(人)(中)(国)(招)(商)(银)(行)(股)(份)(有)(限)(公)(司)(根)(据)(本)(基)(金)(合)(同)(规)(定)(,于)(2018年)(7月)(17日)(复)(核)(了)(本)(报)(告)(中)(的)(财)(务)(指)(标)(、净)(值)(表)(现)(和)(投)(资)(组)(合)(报)(告)(等)(内)(容)(,保)(证)(复)(核)(内)(容)(不)(存)(在)(虚)(假)(记)(载)(、误)(导)(性)(陈)(述)(或)(者)(重)(大)(遗)(漏)(。
    本)(报)(告)(期)(自)(2018年)(4月)(1日)(起)(至)(6月)(30日)(止)(。本)(报)(告)(财)(务)(资)(料)(未)(经)(审)(计)(师)(审)(计)(。
    1、报)(告)(期)(末)(基)(金)(资)(产)(组)(合)(情)(况)(
    2、报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(股)(票)(投)(资)(组)(合)(
    2.1报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(境)(内)(股)(票)(投)(资)(组)(合)(
    本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(股)(票)(。
    2.2报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(港)(股)(通)(投)(资)(股)(票)(投)(资)(组)(合)(
    本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(通)(过)(港)(股)(通)(投)(资)(的)(股)(票)(。
    3、报)(告)(期)(末)(按)(公)(允)(价)(值)(占)(基)(金)(资)(产)(净)(值)(比)(例)(大)(小)(排)(序)(的)(前)(十)(名)(股)(票)(投)(资)(明)(细)(
    本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(股)(票)(。
    4、报)(告)(期)(末)(按)(债)(券)(品)(种)(分)(类)(的)(债)(券)(投)(资)(组)(合)(
    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)(
    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)(
    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)(
    本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(国)(债)(期)(货)(。
    11、投)(资)(组)(合)(报)(告)(附)(注)(
    11.1报)(告)(期)(内)(本)(基)(金)(投)(资)(的)(前)(十)(名)(证)(券)(的)(发)(行)(主)(体)(未)(被)(监)(管)(部)(门)(立)(案)(调)(查)(,在)(本)(报)(告)(编)(制)(日)(前)(一)(年)(内)(本)(基)(金)(投)(资)(的)(前)(十)(名)(证)(券)(的)(发)(行)(主)(体)(未)(受)(到)(公)(开)(谴)(责)(和)(处)(罚)(。
    11.2本)(基)(金)(投)(资)(的)(前)(十)(名)(股)(票)(中)(,没)(有)(超)(出)(基)(金)(合)(同)(规)(定)(的)(备)(选)(股)(票)(库)(之)(外)(的)(股)(票)(。
    11.3其)(他)(资)(产)(构)(成)(
    11.4报)(告)(期)(末)(持)(有)(的)(处)(于)(转)(股)(期)(的)(可)(转)(换)(债)(券)(明)(细)(
    本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(处)(于)(转)(股)(期)(的)(可)(转)(换)(债)(券)(。
    11.5报)(告)(期)(末)(前)(十)(名)(股)(票)(中)(存)(在)(流)(通)(受)(限)(情)(况)(的)(说)(明)(
    本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(股)(票)(。
    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)(业)(绩)(截)(止)(日)(为)(2018年)(6月)(30日)(,所)(载)(财)(务)(数)(据)(未)(经)(审)(计)(师)(审)(计)(。
    基)(金)(管)(理)(人)(依)(照)(恪)(尽)(职)(守)(、诚)(实)(信)(用)(、谨)(慎)(勤)(勉)(的)(原)(则)(管)(理)(和)(运)(用)(基)(金)(财)(产)(,但)(不)(保)(证)(基)(金)(一)(定)(盈)(利)(,也)(不)(保)(证)(最)(低)(收)(益)(?;?(金)(的)(过)(往)(业)(绩)(并)(不)(代)(表)(其)(未)(来)(表)(现)(。投)(资)(有)(风)(险)(,投)(资)(者)(在)(做)(出)(投)(资)(决)(策)(前)(应)(仔)(细)(阅)(读)(本)(基)(金)(的)(招)(募)(说)(明)(书)(。
    下)(述)(基)(金)(业)(绩)(指)(标)(不)(包)(括)(持)(有)(人)(认)(购)(或)(交)(易)(基)(金)(的)(各)(项)(费)(用)(,计)(入)(费)(用)(后)(实)(际)(收)(益)(水)(平)(要)(低)(于)(所)(列)(数)(字)(。
    1、本)(报)(告)(期)(基)(金)(份)(额)(净)(值)(增)(长)(率)(及)(其)(与)(同)(期)(业)(绩)(比)(较)(基)(准)(收)(益)(率)(的)(比)(较)((1)交)(银)(境)(尚)(收)(益)(债)(券)(A:
    (2)交)(银)(境)(尚)(收)(益)(债)(券)(C:
    2、自)(基)(金)(合)(同)(生)(效)(以)(来)(基)(金)(份)(额)(累)(计)(净)(值)(增)(长)(率)(变)(动)(及)(其)(与)(同)(期)(业)(绩)(比)(较)(基)(准)(收)(益)(率)(变)(动)(的)(比)(较)(
    交)(银)(施)(罗)(德)(境)(尚)(收)(益)(债)(券)(型)(证)(券)(投)(资)(基)(金)(
    份)(额)(累)(计)(净)(值)(增)(长)(率)(与)(业)(绩)(比)(较)(基)(准)(收)(益)(率)(的)(历)(史)(走)(势)(对)(比)(图)((2017年)(3月)(3日)(至)(2018年)(6月)(30日)()
    (1)交)(银)(境)(尚)(收)(益)(债)(券)(A
    注)(:本)(基)(金)(基)(金)(合)(同)(生)(效)(日)(为)(2017年)(3月)(3日)(,截)(至)(报)(告)(期)(期)(末)(,本)(基)(金)(已)(完)(成)(建)(仓)(但)(报)(告)(期)(期)(末)(距)(建)(仓)(结)(束)(未)(满)(一)(年)(。本)(基)(金)(建)(仓)(期)(为)(自)(基)(金)(合)(同)(生)(效)(日)(起)(的)(6个)(月)(。截)(至)(建)(仓)(期)(结)(束)(,本)(基)(金)(各)(项)(资)(产)(配)(置)(比)(例)(符)(合)(基)(金)(合)(同)(及)(招)(募)(说)(明)(书)(有)(关)(投)(资)(比)(例)(的)(约)(定)(。
    (2)交)(银)(境)(尚)(收)(益)(债)(券)(C
    注)(:本)(基)(金)(基)(金)(合)(同)(生)(效)(日)(为)(2017年)(3月)(3日)(,截)(至)(报)(告)(期)(期)(末)(,本)(基)(金)(已)(完)(成)(建)(仓)(但)(报)(告)(期)(期)(末)(距)(建)(仓)(结)(束)(未)(满)(一)(年)(。本)(基)(金)(建)(仓)(期)(为)(自)(基)(金)(合)(同)(生)(效)(日)(起)(的)(6个)(月)(。截)(至)(建)(仓)(期)(结)(束)(,本)(基)(金)(各)(项)(资)(产)(配)(置)(比)(例)(符)(合)(基)(金)(合)(同)(及)(招)(募)(说)(明)(书)(有)(关)(投)(资)(比)(例)(的)(约)(定)(。
    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、《基)(金)(合)(同)(》生)(效)(后)(与)(基)(金)(相)(关)(的)(信)(息)(披)(露)(费)(用)(;
    4、《基)(金)(合)(同)(》生)(效)(后)(与)(基)(金)(相)(关)(的)(会)(计)(师)(费)(、律)(师)(费)(、仲)(裁)(费)(和)(诉)(讼)(费)(;
    5、基)(金)(份)(额)(持)(有)(人)(大)(会)(费)(用)(;
    6、基)(金)(的)(证)(券)(交)(易)(费)(用)(;
    7、基)(金)(的)(银)(行)(汇)(划)(费)(用)(;
    8、基)(金)(的)(开)(户)(费)(用)(、账)(户)(维)(护)(费)(用)(;
    9、本)(基)(金)(从)(C类)(基)(金)(份)(额)(的)(基)(金)(财)(产)(中)(计)(提)(的)(销)(售)(服)(务)(费)(;
    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、与)(基)(金)(运)(作)(有)(关)(的)(费)(用)((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)(0.8%年)(费)(率)(计)(提)(。管)(理)(费)(的)(计)(算)(方)(法)(如)(下)(:
    H=E×0.8%÷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)(提)(,按)(月)(支)(付)(。由)(基)(金)(管)(理)(人)(与)(基)(金)(托)(管)(人)(核)(对)(一)(致)(后)(,由)(基)(金)(托)(管)(人)(按)(照)(与)(基)(金)(管)(理)(人)(协)(商)(一)(致)(的)(方)(式)(自)(动)(于)(次)(月)(首)(日)(起)(第)(3个)(工)(作)(日)(从)(基)(金)(财)(产)(中)(一)(次)(性)(支)(付)(给)(基)(金)(管)(理)(人)(,若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(或)(不)(可)(抗)(力)(致)(使)(无)(法)(按)(时)(支)(付)(的)(,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)(0.15%的)(年)(费)(率)(计)(提)(。托)(管)(费)(的)(计)(算)(方)(法)(如)(下)(:
    H=E×0.15%÷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)(提)(,按)(月)(支)(付)(。由)(基)(金)(管)(理)(人)(与)(基)(金)(托)(管)(人)(核)(对)(一)(致)(后)(,由)(基)(金)(托)(管)(人)(按)(照)(与)(基)(金)(管)(理)(人)(协)(商)(一)(致)(的)(方)(式)(自)(动)(于)(次)(月)(首)(日)(起)(第)(3个)(工)(作)(日)(从)(基)(金)(财)(产)(中)(一)(次)(性)(支)(付)(给)(基)(金)(托)(管)(人)(,若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(或)(不)(可)(抗)(力)(致)(使)(无)(法)(按)(时)(支)(付)(的)(,支)(付)(日)(期)(顺)(延)(。
    (3)C类)(基)(金)(份)(额)(的)(销)(售)(服)(务)(费)(
    本)(基)(金)(A类)(基)(金)(份)(额)(不)(收)(取)(销)(售)(服)(务)(费)(,C类)(基)(金)(份)(额)(的)(销)(售)(服)(务)(费)(按)(前)(一)(日)(C类)(基)(金)(资)(产)(净)(值)(的)(0.6%年)(费)(率)(计)(提)(。计)(算)(方)(法)(如)(下)(:
    H=E×0.6%÷当)(年)(天)(数)(
    H为)(C类)(基)(金)(份)(额)(每)(日)(应)(计)(提)(的)(销)(售)(服)(务)(费)(
    E为)(C类)(基)(金)(份)(额)(前)(一)(日)(基)(金)(资)(产)(净)(值)(
    C类)(基)(金)(份)(额)(销)(售)(服)(务)(费)(每)(日)(计)(提)(,按)(月)(支)(付)(。由)(基)(金)(管)(理)(人)(与)(基)(金)(托)(管)(人)(核)(对)(一)(致)(后)(,由)(基)(金)(托)(管)(人)(按)(照)(与)(基)(金)(管)(理)(人)(协)(商)(一)(致)(的)(方)(式)(自)(动)(于)(次)(月)(首)(日)(起)(第)(3个)(工)(作)(日)(从)(基)(金)(财)(产)(中)(一)(次)(性)(支)(付)(给)(基)(金)(管)(理)(人)(,由)(基)(金)(管)(理)(人)(代)(付)(给)(销)(售)(机)(构)(,若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(或)(不)(可)(抗)(力)(致)(使)(无)(法)(按)(时)(支)(付)(的)(,支)(付)(日)(期)(顺)(延)(。
    C类)(基)(金)(份)(额)(的)(销)(售)(服)(务)(费)(将)(专)(门)(用)(于)(本)(基)(金)(的)(推)(广)(、销)(售)(与)(基)(金)(份)(额)(持)(有)(人)(服)(务)(。
    (4)上)(述)(“(一)()基)(金)(费)(用)(的)(种)(类)(”中)(第)(3-8项)(、第)(10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)(。
    2、与)(基)(金)(销)(售)(有)(关)(的)(费)(用)((1)申)(购)(费)(
    本)(基)(金)(基)(金)(份)(额)(分)(为)(A类)(基)(金)(份)(额)(和)(C类)(基)(金)(份)(额)(,投)(资)(人)(申)(购)(A类)(基)(金)(份)(额)(在)(申)(购)(时)(支)(付)(申)(购)(费)(用)(,申)(购)(C类)(基)(金)(份)(额)(不)(支)(付)(申)(购)(费)(用)(,而)(是)(从)(该)(类)(别)(基)(金)(资)(产)(中)(计)(提)(销)(售)(服)(务)(费)(。
    A类)(基)(金)(份)(额)(的)(申)(购)(费)(用)(由)(A类)(基)(金)(份)(额)(申)(购)(人)(承)(担)(,不)(列)(入)(基)(金)(财)(产)(,主)(要)(用)(于)(本)(基)(金)(的)(市)(场)(推)(广)(、销)(售)(、登)(记)(结)(算)(等)(各)(项)(费)(用)(。
    投)(资)(人)(可)(以)(多)(次)(申)(购)(本)(基)(金)(,申)(购)(费)(用)(按)(每)(笔)(申)(购)(申)(请)(单)(独)(计)(算)(。
    本)(基)(金)(A类)(基)(金)(份)(额)((非)(养)(老)(金)(客)(户)()的)(申)(购)(费)(率)(如)(下)(:
    持)(有)(A类)(基)(金)(份)(额)(的)(投)(资)(人)(因)(红)(利)(自)(动)(再)(投)(资)(而)(产)(生)(的)(A类)(基)(金)(份)(额)(,不)(收)(取)(相)(应)(的)(申)(购)(费)(用)(。
    本)(基)(金)(对)(通)(过)(基)(金)(管)(理)(人)(直)(销)(柜)(台)(申)(购)(A类)(基)(金)(份)(额)(的)(养)(老)(金)(客)(户)(实)(施)(特)(定)(申)(购)(费)(率)(。
    养)(老)(金)(客)(户)(指)(基)(本)(养)(老)(基)(金)(与)(依)(法)(成)(立)(的)(养)(老)(计)(划)(筹)(集)(的)(资)(金)(及)(其)(投)(资)(运)(营)(收)(益)(形)(成)(的)(补)(充)(养)(老)(基)(金)(等)(,具)(体)(包)(括)(:
    1)全)(国)(社)(会)(保)(障)(基)(金)(;
    2)可)(以)(投)(资)(基)(金)(的)(地)(方)(社)(会)(保)(障)(基)(金)(;
    3)企)(业)(年)(金)(单)(一)(计)(划)(以)(及)(集)(合)(计)(划)(;
    4)企)(业)(年)(金)(理)(事)(会)(委)(托)(的)(特)(定)(客)(户)(资)(产)(管)(理)(计)(划)(;
    5)企)(业)(年)(金)(养)(老)(金)(产)(品)(。
    如)(将)(来)(出)(现)(经)(养)(老)(基)(金)(监)(管)(部)(门)(认)(可)(的)(新)(的)(养)(老)(基)(金)(类)(型)(,基)(金)(管)(理)(人)(可)(在)(招)(募)(说)(明)(书)(更)(新)(或)(发)(布)(临)(时)(公)(告)(将)(其)(纳)(入)(养)(老)(金)(客)(户)(范)(围)(,并)(按)(规)(定)(向)(中)(国)(证)(监)(会)(备)(案)(。
    通)(过)(基)(金)(管)(理)(人)(直)(销)(柜)(台)(申)(购)(本)(基)(金)(A类)(基)(金)(份)(额)(的)(养)(老)(金)(客)(户)(特)(定)(申)(购)(费)(率)(如)(下)(表)(:
    投)(资)(者)(通)(过)(直)(销)(机)(构)(交)(易)(享)(有)(如)(下)(费)(率)(优)(惠)(,有)(关)(费)(率)(优)(惠)(活)(动)(的)(具)(体)(费)(率)(折)(扣)(及)(活)(动)(起)(止)(时)(间)(如)(有)(变)(化)(,敬)(请)(投)(资)(者)(留)(意)(本)(基)(金)(管)(理)(人)(的)(有)(关)(公)(告)(,届)(时)(费)(率)(优)(惠)(相)(关)(事)(项)(以)(最)(新)(公)(告)(为)(准)(:
    1)通)(过)(本)(基)(金)(管)(理)(人)(直)(销)(柜)(台)(办)(理)(本)(基)(金)(A类)(基)(金)(份)(额)(申)(购)(业)(务)(的)(投)(资)(者)(,享)(受)(申)(购)(费)(率)(一)(折)(优)(惠)(;对)(上)(述)(实)(施)(特)(定)(申)(购)(费)(率)(的)(养)(老)(金)(客)(户)(而)(言)(,以)(其)(目)(前)(适)(用)(的)(特)(定)(申)(购)(费)(率)(和)(上)(述)(一)(般)(申)(购)(费)(率)(的)(一)(折)(优)(惠)(中)(孰)(低)(者)(执)(行)(。若)(享)(有)(折)(扣)(前)(的)(原)(申)(购)(费)(率)(为)(固)(定)(费)(用)(的)(,则)(按)(原)(固)(定)(费)(率)(执)(行)(,不)(再)(享)(有)(费)(率)(折)(扣)(。
    2)通)(过)(本)(基)(金)(管)(理)(人)(网)(上)(直)(销)(交)(易)(平)(台)(办)(理)(本)(基)(金)(A类)(基)(金)(份)(额)(申)(购)(业)(务)(的)(个)(人)(投)(资)(者)(享)(受)(申)(购)(费)(率)(优)(惠)(,赎)(回)(费)(率)(标)(准)(不)(变)(。具)(体)(优)(惠)(费)(率)(请)(参)(见)(本)(基)(金)(管)(理)(人)(网)(站)(列)(示)(的)(网)(上)(直)(销)(交)(易)(平)(台)(申)(购)(费)(率)(表)(或)(相)(关)(公)(告)(。
    本)(公)(司)(基)(金)(网)(上)(直)(销)(业)(务)(已)(开)(通)(的)(银)(行)(卡)(及)(各)(银)(行)(卡)(交)(易)(金)(额)(限)(额)(请)(参)(阅)(本)(公)(司)(网)(站)(。
    本)(基)(金)(管)(理)(人)(可)(根)(据)(业)(务)(情)(况)(调)(整)(上)(述)(交)(易)(费)(用)(和)(限)(额)(要)(求)(,并)(依)(据)(相)(关)(法)(规)(的)(要)(求)(提)(前)(进)(行)(公)(告)(。
    (2)申)(购)(份)(额)(的)(计)(算)(方)(式)(
    1)A类)(基)(金)(份)(额)(的)(申)(购)(
    申)(购)(总)(金)(额)(=申)(请)(总)(金)(额)(
    净)(申)(购)(金)(额)(=申)(购)(总)(金)(额)(/(1+申)(购)(费)(率)()
    (注)(:对)(于)(适)(用)(固)(定)(金)(额)(申)(购)(费)(用)(的)(申)(购)(,净)(申)(购)(金)(额)(=申)(购)(总)(金)(额)(-固)(定)(申)(购)(费)(用)(金)(额)()
    申)(购)(费)(用)(=申)(购)(总)(金)(额)(-净)(申)(购)(金)(额)((注)(:对)(于)(适)(用)(固)(定)(金)(额)(申)(购)(费)(用)(的)(申)(购)(,申)(购)(费)(用)(=固)(定)(申)(购)(费)(用)(金)(额)()
    申)(购)(份)(额)(=
    例)(一)(:某)(投)(资)(者)((非)(养)(老)(金)(客)(户)()投)(资)(100,000元)(申)(购)(本)(基)(金)(的)(A类)(基)(金)(份)(额)(,假)(设)(申)(购)(当)(日)(A类)(基)(金)(份)(额)(净)(值)(为)(1.0400元)(,申)(购)(费)(率)(为)(0.8%,则)(其)(可)(得)(到)(的)(申)(购)(份)(额)(为)(:
    申)(购)(总)(金)(额)(=100,000元)(
    净)(申)(购)(金)(额)(=100,000/(1+0.8%)=99,206.35元)(
    申)(购)(费)(用)(=100,000-99,206.35=793.65元)(
    申)(购)(份)(额)(=(100,000-793.65)/1.0400=95,390.72份)(
    即)(:某)(投)(资)(者)((非)(养)(老)(金)(客)(户)()投)(资)(100,000元)(申)(购)(本)(基)(金)(,假)(设)(申)(购)(当)(日)(A类)(基)(金)(份)(额)(净)(值)(为)(1.0400元)(,如)(果)(其)(选)(择)(申)(购)(A类)(基)(金)(份)(额)(,则)(其)(可)(得)(到)(95,390.72份)(A类)(基)(金)(份)(额)(。
    例)(二)(:某)(养)(老)(金)(客)(户)(投)(资)(100,000元)(通)(过)(基)(金)(管)(理)(人)(的)(直)(销)(柜)(台)(申)(购)(本)(基)(金)(的)(A类)(基)(金)(份)(额)(,假)(设)(申)(购)(当)(日)(A类)(基)(金)(份)(额)(净)(值)(为)(1.0400元)(,申)(购)(费)(率)(为)(0.32%,则)(其)(可)(得)(到)(的)(申)(购)(份)(额)(为)(:
    申)(购)(总)(金)(额)(=100,000元)(
    净)(申)(购)(金)(额)(=100,000/(1+0.32%)=99,681.02元)(
    申)(购)(费)(用)(=100,000-99,681.02=318.98元)(
    申)(购)(份)(额)(=(100,000-318.98)/1.0400=95,847.13份)(
    即)(:该)(养)(老)(金)(客)(户)(投)(资)(100,000元)(通)(过)(基)(金)(管)(理)(人)(的)(直)(销)(柜)(台)(申)(购)(本)(基)(金)(的)(A类)(基)(金)(份)(额)(,假)(设)(申)(购)(当)(日)(A类)(基)(金)(份)(额)(净)(值)(为)(1.0400元)(,则)(其)(可)(得)(到)(95,847.13份)(A类)(基)(金)(份)(额)(。
    2)C类)(基)(金)(份)(额)(的)(申)(购)(
    如)(果)(投)(资)(者)(选)(择)(申)(购)(C类)(基)(金)(份)(额)(,则)(申)(购)(份)(额)(的)(计)(算)(方)(法)(如)(下)(:
    申)(购)(总)(金)(额)(=申)(请)(总)(金)(额)(
    申)(购)(份)(额)(=申)(购)(总)(金)(额)(/T日)(C类)(基)(金)(份)(额)(净)(值)(
    例)(三)(:某)(投)(资)(者)(投)(资)(100,000元)(申)(购)(本)(基)(金)(的)(C类)(基)(金)(份)(额)(,假)(设)(申)(购)(当)(日)(C类)(基)(金)(份)(额)(净)(值)(为)(1.0400元)(,则)(其)(可)(得)(到)(的)(申)(购)(份)(额)(为)(:
    申)(购)(份)(额)(=100,000/1.0400=96,153.85份)(
    即)(:投)(资)(者)(投)(资)(100,000元)(申)(购)(本)(基)(金)(的)(C类)(基)(金)(份)(额)(,假)(设)(申)(购)(当)(日)(C类)(基)(金)(份)(额)(净)(值)(为)(1.0400元)(,则)(其)(可)(得)(到)(96,153.85份)(C类)(基)(金)(份)(额)(。
    (3)赎)(回)(费)(
    投)(资)(者)(赎)(回)(A类)(基)(金)(份)(额)(或)(C类)(基)(金)(份)(额)(收)(取)(赎)(回)(费)(用)(,该)(费)(用)(随)(基)(金)(份)(额)(的)(持)(有)(时)(间)(递)(减)(。本)(基)(金)(A类)(基)(金)(份)(额)(和)(C类)(基)(金)(份)(额)(的)(赎)(回)(费)(用)(由)(该)(类)(基)(金)(份)(额)(赎)(回)(人)(承)(担)(,赎)(回)(费)(总)(额)(的)(25%应)(归)(基)(金)(财)(产)(,其)(余)(用)(于)(支)(付)(登)(记)(费)(和)(其)(他)(必)(要)(的)(手)(续)(费)(。其)(中)(,对)(持)(续)(持)(有)(期)(少)(于)(7日)(的)(基)(金)(份)(额)(持)(有)(人)(收)(取)(不)(低)(于)(1.5%的)(赎)(回)(费)(并)(全)(额)(计)(入)(基)(金)(财)(产)(。
    本)(基)(金)(A类)(基)(金)(份)(额)(的)(赎)(回)(费)(率)(如)(下)(:
    上)(表)(中)(的)(“年)(”指)(的)(是)(365个)(自)(然)(日)(。
    本)(基)(金)(C类)(基)(金)(份)(额)(的)(赎)(回)(费)(率)(如)(下)(:
    (4)赎)(回)(金)(额)(的)(计)(算)(方)(式)(
    A类)(基)(金)(份)(额)(或)(C类)(基)(金)(份)(额)(的)(赎)(回)(金)(额)(为)(按)(实)(际)(确)(认)(的)(有)(效)(赎)(回)(份)(额)(乘)(以)(当)(日)(该)(类)(基)(金)(份)(额)(的)(基)(金)(份)(额)(净)(值)(并)(扣)(除)(相)(应)(的)(费)(用)((如)(有)(),赎)(回)(金)(额)(单)(位)(为)(元)(,计)(算)(结)(果)(保)(留)(到)(小)(数)(点)(后)(两)(位)(,第)(三)(位)(四)(舍)(五)(入)(,由)(此)(产)(生)(的)(收)(益)(或)(损)(失)(由)(基)(金)(财)(产)(承)(担)(。
    1)A类)(基)(金)(份)(额)(的)(赎)(回)(
    如)(果)(投)(资)(者)(赎)(回)(A类)(基)(金)(份)(额)(,则)(赎)(回)(金)(额)(的)(计)(算)(方)(法)(如)(下)(:
    赎)(回)(费)(用)(=赎)(回)(份)(额)(×T日)(A类)(基)(金)(份)(额)(净)(值)(×赎)(回)(费)(率)(
    赎)(回)(金)(额)(=赎)(回)(份)(额)(×T日)(A类)(基)(金)(份)(额)(净)(值)(-赎)(回)(费)(用)(
    例)(四)(:某)(投)(资)(者)(在)(持)(有)(期)(限)(多)(于)(7日)(、少)(于)(1年)(以)(内)(赎)(回)(100,000份)(A类)(基)(金)(份)(额)(,对)(应)(的)(赎)(回)(费)(率)(为)(0.1%,假)(设)(赎)(回)(当)(日)(A类)(基)(金)(份)(额)(净)(值)(是)(1.0160元)(,则)(其)(可)(得)(到)(的)(赎)(回)(金)(额)(为)(:
    赎)(回)(费)(用)(=100,000×1.0160×0.1%=101.60元)(
    赎)(回)(金)(额)(=100,000×1.0160-101.60=101,498.40元)(
    即)(:投)(资)(者)(赎)(回)(100,000份)(A类)(基)(金)(份)(额)(,对)(应)(的)(赎)(回)(费)(率)(为)(0.1%,假)(设)(赎)(回)(当)(日)(A类)(基)(金)(份)(额)(净)(值)(是)(1.0160元)(,则)(其)(可)(得)(到)(的)(赎)(回)(金)(额)(为)(101,498.40元)(。
    2)C类)(基)(金)(份)(额)(的)(赎)(回)(
    投)(资)(者)(赎)(回)(C类)(基)(金)(份)(额)(,赎)(回)(金)(额)(的)(计)(算)(方)(法)(如)(下)(:
    赎)(回)(费)(用)(=赎)(回)(份)(额)(×T日)(C类)(基)(金)(份)(额)(净)(值)(×赎)(回)(费)(率)(
    赎)(回)(金)(额)(=赎)(回)(份)(额)(×T日)(C类)(基)(金)(份)(额)(净)(值)(-赎)(回)(费)(用)(
    例)(五)(:某)(投)(资)(者)(在)(持)(有)(期)(限)(多)(于)(7日)(、少)(于)(30日)(以)(内)(赎)(回)(100,000份)(C类)(基)(金)(份)(额)(,对)(应)(的)(赎)(回)(费)(率)(为)(0.5%,假)(设)(赎)(回)(当)(日)(C类)(基)(金)(份)(额)(净)(值)(是)(1.0160元)(,则)(其)(可)(得)(到)(的)(赎)(回)(金)(额)(为)(:
    赎)(回)(费)(用)(=100,000×1.0160×0.5%=508.00元)(
    赎)(回)(金)(额)(=100,000×1.0160-508.00=101,092.00元)(
    即)(:投)(资)(者)(赎)(回)(100,000份)(C类)(基)(金)(份)(额)(,对)(应)(的)(赎)(回)(费)(率)(为)(0.5%,假)(设)(赎)(回)(当)(日)(C类)(基)(金)(份)(额)(净)(值)(是)(1.0160元)(,则)(其)(可)(得)(到)(的)(赎)(回)(金)(额)(为)(101,092.00元)(。
    (5)基)(金)(管)(理)(人)(可)(以)(在)(基)(金)(合)(同)(约)(定)(的)(范)(围)(内)(调)(整)(费)(率)(或)(收)(费)(方)(式)(,并)(最)(迟)(应)(于)(新)(的)(费)(率)(或)(收)(费)(方)(式)(实)(施)(日)(前)(依)(照)(《信)(息)(披)(露)(办)(法)(》的)(有)(关)(规)(定)(在)(指)(定)(媒)(介)(上)(公)(告)(。
    (6)基)(金)(管)(理)(人)(可)(以)(在)(不)(违)(背)(法)(律)(法)(规)(规)(定)(及)(基)(金)(合)(同)(约)(定)(的)(情)(况)(下)(根)(据)(市)(场)(情)(况)(制)(定)(基)(金)(促)(销)(计)(划)(,针)(对)(投)(资)(人)(定)(期)(和)(不)(定)(期)(地)(开)(展)(基)(金)(促)(销)(活)(动)(。在)(基)(金)(促)(销)(活)(动)(期)(间)(,基)(金)(管)(理)(人)(可)(以)(按)(中)(国)(证)(监)(会)(要)(求)(履)(行)(必)(要)(手)(续)(后)(,对)(投)(资)(人)(适)(当)(调)(低)(基)(金)(申)(购)(费)(率)(和)(赎)(回)(费)(率)(。
    (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)(管)(理)(人)(和)(基)(金)(托)(管)(人)(可)(根)(据)(基)(金)(发)(展)(情)(况)(,履)(行)(适)(当)(的)(程)(序)(后)(调)(整)(基)(金)(管)(理)(费)(率)(、基)(金)(托)(管)(费)(率)(和)(C类)(基)(金)(份)(额)(销)(售)(服)(务)(费)(率)(等)(相)(关)(费)(率)(。降)(低)(C类)(基)(金)(份)(额)(销)(售)(服)(务)(费)(率)(,无)(须)(召)(开)(基)(金)(份)(额)(持)(有)(人)(大)(会)(?;?(金)(管)(理)(人)(必)(须)(依)(照)(有)(关)(规)(定)(于)(新)(的)(费)(率)(实)(施)(日)(前)(在)(指)(定)(媒)(介)(上)(刊)(登)(公)(告)(。
    (五)()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)(
    总)(体)(更)(新)((一)()更)(新)(了)(“重)(要)(提)(示)(”中)(。
    (二)()更)(新)(了)(“二)(、释)(义)(”中)(。
    (三)()更)(新)(了)(“三)(、基)(金)(管)(理)(人)(”中)(。
    (四)()更)(新)(了)(“四)(、基)(金)(托)(管)(人)(”中)(。
    (五)()更)(新)(了)(“五)(、相)(关)(服)(务)(机)(构)(”中)(。
    (六)()更)(新)(了)(“八)(、基)(金)(份)(额)(的)(申)(购)(与)(赎)(回)(”中)(。
    (七)()更)(新)(了)(“九)(、基)(金)(的)(投)(资)(”中)(,数)(据)(截)(止)(到)(2018年)(6月)(30日)(。
    (八)()更)(新)(了)(“十)(、基)(金)(的)(业)(绩)(”中)(,数)(据)(截)(止)(到)(2018年)(6月)(30日)(。
    (九)()更)(新)(了)(“十)(六)(、基)(金)(的)(信)(息)(披)(露)(”中)(的)(。
    (十)()更)(新)(了)(“二)(十)(二)(、其)(他)(应)(披)(露)(事)(项)(”中)(的)(。
    交)(银)(施)(罗)(德)(基)(金)(管)(理)(有)(限)(公)(司)(
    二)(一)(八)(年)(十)(月)(十)(八)(日)(返)(回)(搜)(狐)(,查)(看)(更)(多)(责)(任)(编)(辑)(:
    声)(明)(:该)(文)(观)(点)(仅)(代)(表)(作)(者)(本)(人)(,搜)(狐)(号)(系)(信)(息)(发)(布)(平)(台)(,搜)(狐)(仅)(提)(供)(信)(息)(存)(储)(空)(间)(服)(务)(。
    阅)(读)(()
    )


    相关文章

    版权所有:南方新闻网 粤ICP备05070829 网站标识码4400000131
    主办:南方新闻网 协办:广东省经济和信息化委员会 承办:南方新闻网
    建议使用1024×768分辨率 IE7.0以上版本浏览器
  • 新华社评论员:全面贯彻习近平强军思想 2019-03-24
  • 乌苏市:“扶贫鸡”助力精准脱贫 2019-03-13
  • 人民日报评论员:以发展筑牢梦想根基 2019-03-12
  • Time at old streets - Chongqing News - CQNEWS 2019-03-09
  • The GNU General Public License v3.0 2019-03-07
  • 毛姆经典剧作搬上中国舞台 探讨婚姻的意义 2019-03-06
  • 【学习时刻】一切为了人民的庄严宣誓 2019-03-06
  • 青藏线上的绿色守护者 2019-03-06
  • 着力抓好党的基层组织建设 2019-03-06
  • “与粽不同”过端午,关于粽子的包法你知道多少? 2019-03-05
  • 2018端午节重庆旅游攻略 端午重庆三日游周边游攻略 2019-03-04
  • 湖南7月17日开始的强降雨已造成53.22万人受灾(图) 2019-03-04
  • 上海合作组织成员国元首理事会会议新闻公报 2019-03-03
  • 中国工程院院士倪光南谈“发展核心技术 建设网络强国” 2019-03-03
  • 西部网(陕西新闻网)www.cnwest.com 2019-02-27