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博时富融纯债债券型证券投资基金招募说明书

来源: 南方日报网络版     时间: 2019年09月23日 13:41:39
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(在)(通)(讯)(开)(会)(的)(情)(况)(下)(,首)(先)(由)(召)(集)(人)(提)(前)(30日)(公)(布)(提)(案)(,在)(所)(通)(知)(的)(表)(决)(截)(止)(日)(期)(后)(2个)(工)(作)(日)(内)(在)(公)(证)(机)(关)(监)(督)(下)(由)(召)(集)(人)(统)(计)(全)(部)(有)(效)(表)(决)(,在)(公)(证)(机)(关)(监)(督)(下)(形)(成)(决)(议)(。
(六)()表)(决)(
基)(金)(份)(额)(持)(有)(人)(所)(持)(每)(份)(基)(金)(份)(额)(有)(一)(票)(表)(决)(权)(。
基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(分)(为)(一)(般)(决)(议)(和)(特)(别)(决)(议)(:
1、一)(般)(决)(议)(,一)(般)(决)(议)(须)(经)(参)(加)(大)(会)(的)(基)(金)(份)(额)(持)(有)(人)(或)(其)(代)(理)(人)(所)(持)(表)(决)(权)(的)(二)(分)(之)(一)(以)(上)((含)(二)(分)(之)(一)()通)(过)(方)(为)(有)(效)(;除)(下)(列)(第)(2项)(所)(规)(定)(的)(须)(以)(特)(别)(决)(议)(通)(过)(事)(项)(以)(外)(的)(其)(他)(事)(项)(均)(以)(一)(般)(决)(议)(的)(方)(式)(通)(过)(。
2、特)(别)(决)(议)(,特)(别)(决)(议)(应)(当)(经)(参)(加)(大)(会)(的)(基)(金)(份)(额)(持)(有)(人)(或)(其)(代)(理)(人)(所)(持)(表)(决)(权)(的)(三)(分)(之)(二)(以)(上)((含)(三)(分)(之)(二)()通)(过)(方)(可)(做)(出)(。除)(基)(金)(合)(同)(另)(有)(约)(定)(外)(,转)(换)(基)(金)(运)(作)(方)(式)(、更)(换)(基)(金)(管)(理)(人)(或)(者)(基)(金)(托)(管)(人)(、终)(止)(《基)(金)(合)(同)(》、本)(基)(金)(与)(其)(他)(基)(金)(合)(并)(以)(特)(别)(决)(议)(通)(过)(方)(为)(有)(效)(。
基)(金)(份)(额)(持)(有)(人)(大)(会)(采)(取)(记)(名)(方)(式)(进)(行)(投)(票)(表)(决)(。
采)(取)(通)(讯)(方)(式)(进)(行)(表)(决)(时)(,除)(非)(在)(计)(票)(时)(监)(督)(员)(及)(公)(证)(机)(关)(均)(认)(为)(有)(充)(分)(的)(相)(反)(证)(据)(证)(明)(,否)(则)(提)(交)(符)(合)(会)(议)(通)(知)(中)(规)(定)(的)(确)(认)(投)(资)(者)(身)(份)(文)(件)(的)(表)(决)(视)(为)(有)(效)(出)(席)(的)(投)(资)(者)(,表)(面)(符)(合)(会)(议)(通)(知)(规)(定)(的)(表)(决)(意)(见)(视)(为)(有)(效)(表)(决)(,表)(决)(意)(见)(模)(糊)(不)(清)(或)(相)(互)(矛)(盾)(的)(视)(为)(弃)(权)(表)(决)(,但)(应)(当)(计)(入)(出)(具)(表)(决)(意)(见)(的)(基)(金)(份)(额)(持)(有)(人)(所)(代)(表)(的)(基)(金)(份)(额)(总)(数)(。
基)(金)(份)(额)(持)(有)(人)(大)(会)(的)(各)(项)(提)(案)(或)(同)(一)(项)(提)(案)(内)(并)(列)(的)(各)(项)(议)(题)(应)(当)(分)(开)(审)(议)(、逐)(项)(表)(决)(。
(七)()计)(票)(
1、现)(场)(开)(会)((1)如)(大)(会)(由)(基)(金)(管)(理)(人)(或)(基)(金)(托)(管)(人)(召)(集)(,基)(金)(份)(额)(持)(有)(人)(大)(会)(的)(主)(持)(人)(应)(当)(在)(会)(议)(开)(始)(后)(宣)(布)(在)(出)(席)(会)(议)(的)(基)(金)(份)(额)(持)(有)(人)(和)(代)(理)(人)(中)(选)(举)(两)(名)(基)(金)(份)(额)(持)(有)(人)(代)(表)(与)(大)(会)(召)(集)(人)(授)(权)(的)(一)(名)(监)(督)(员)(共)(同)(担)(任)(监)(票)(人)(;如)(大)(会)(由)(基)(金)(份)(额)(持)(有)(人)(自)(行)(召)(集)(或)(大)(会)(虽)(然)(由)(基)(金)(管)(理)(人)(或)(基)(金)(托)(管)(人)(召)(集)(,但)(是)(基)(金)(管)(理)(人)(或)(基)(金)(托)(管)(人)(未)(出)(席)(大)(会)(的)(,基)(金)(份)(额)(持)(有)(人)(大)(会)(的)(主)(持)(人)(应)(当)(在)(会)(议)(开)(始)(后)(宣)(布)(在)(出)(席)(会)(议)(的)(基)(金)(份)(额)(持)(有)(人)(中)(选)(举)(三)(名)(基)(金)(份)(额)(持)(有)(人)(代)(表)(担)(任)(监)(票)(人)(。基)(金)(管)(理)(人)(或)(基)(金)(托)(管)(人)(不)(出)(席)(大)(会)(的)(,不)(影)(响)(计)(票)(的)(效)(力)(。
(2)监)(票)(人)(应)(当)(在)(基)(金)(份)(额)(持)(有)(人)(表)(决)(后)(立)(即)(进)(行)(清)(点)(并)(由)(大)(会)(主)(持)(人)(当)(场)(公)(布)(计)(票)(结)(果)(。
(3)如)(果)(会)(议)(主)(持)(人)(或)(基)(金)(份)(额)(持)(有)(人)(或)(代)(理)(人)(对)(于)(提)(交)(的)(表)(决)(结)(果)(有)(怀)(疑)(,可)(以)(在)(宣)(布)(表)(决)(结)(果)(后)(立)(即)(对)(所)(投)(票)(数)(要)(求)(进)(行)(重)(新)(清)(点)(。监)(票)(人)(应)(当)(进)(行)(重)(新)(清)(点)(,重)(新)(清)(点)(以)(一)(次)(为)(限)(。重)(新)(清)(点)(后)(,大)(会)(主)(持)(人)(应)(当)(当)(场)(公)(布)(重)(新)(清)(点)(结)(果)(。
(4)计)(票)(过)(程)(应)(由)(公)(证)(机)(关)(予)(以)(公)(证)(,基)(金)(管)(理)(人)(或)(基)(金)(托)(管)(人)(拒)(不)(出)(席)(大)(会)(的)(,不)(影)(响)(计)(票)(的)(效)(力)(。
2、通)(讯)(开)(会)(
在)(通)(讯)(开)(会)(的)(情)(况)(下)(,计)(票)(方)(式)(为)(:由)(大)(会)(召)(集)(人)(授)(权)(的)(两)(名)(监)(督)(员)(在)(基)(金)(托)(管)(人)(授)(权)(代)(表)((若)(由)(基)(金)(托)(管)(人)(召)(集)(,则)(为)(基)(金)(管)(理)(人)(授)(权)(代)(表)()的)(监)(督)(下)(进)(行)(计)(票)(,并)(由)(公)(证)(机)(关)(对)(其)(计)(票)(过)(程)(予)(以)(公)(证)(。基)(金)(管)(理)(人)(或)(基)(金)(托)(管)(人)(拒)(派)(代)(表)(对)(表)(决)(意)(见)(的)(计)(票)(进)(行)(监)(督)(的)(,不)(影)(响)(计)(票)(和)(表)(决)(结)(果)(。
(八)()生)(效)(与)(公)(告)(
基)(金)(份)(额)(持)(有)(人)(大)(会)(的)(决)(议)(,召)(集)(人)(应)(当)(自)(通)(过)(之)(日)(起)(5日)(内)(报)(中)(国)(证)(监)(会)(备)(案)(。
基)(金)(份)(额)(持)(有)(人)(大)(会)(的)(决)(议)(自)(表)(决)(通)(过)(之)(日)(起)(生)(效)(。
基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(自)(生)(效)(之)(日)(起)(2个)(工)(作)(日)(内)(在)(指)(定)(媒)(介)(上)(公)(告)(。如)(果)(采)(用)(通)(讯)(方)(式)(进)(行)(表)(决)(,在)(公)(告)(基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(时)(,必)(须)(将)(公)(证)(书)(全)(文)(、公)(证)(机)(构)(、公)(证)(员)(姓)(名)(等)(一)(同)(公)(告)(。
基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(和)(基)(金)(份)(额)(持)(有)(人)(应)(当)(执)(行)(生)(效)(的)(基)(金)(份)(额)(持)(有)(人)(大)(会)(的)(决)(议)(。生)(效)(的)(基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(对)(全)(体)(基)(金)(份)(额)(持)(有)(人)(、基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(均)(有)(约)(束)(力)(。
(九)()本)(部)(分)(关)(于)(基)(金)(份)(额)(持)(有)(人)(大)(会)(召)(开)(事)(由)(、召)(开)(条)(件)(、议)(事)(程)(序)(、表)(决)(条)(件)(等)(规)(定)(,凡)(是)(直)(接)(引)(用)(法)(律)(法)(规)(的)(部)(分)(,如)(将)(来)(法)(律)(法)(规)(修)(改)(导)(致)(被)(取)(消)(或)(变)(更)(的)(,基)(金)(管)(理)(人)(提)(前)(公)(告)(后)(,可)(直)(接)(对)(本)(部)(分)(内)(容)(进)(行)(修)(改)(和)(调)(整)(,无)(需)(召)(开)(基)(金)(份)(额)(持)(有)(人)(大)(会)(审)(议)(。
三)(、基)(金)(合)(同)(解)(除)(和)(终)(止)(的)(事)(由)(、程)(序)(以)(及)(基)(金)(财)(产)(清)(算)(方)(式)((一)()《基)(金)(合)(同)(》的)(变)(更)(
1、变)(更)(基)(金)(合)(同)(涉)(及)(法)(律)(法)(规)(规)(定)(或)(本)(基)(金)(合)(同)(约)(定)(应)(经)(基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(通)(过)(的)(事)(项)(的)(,应)(召)(开)(基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(通)(过)(。对)(于)(法)(律)(法)(规)(规)(定)(和)(基)(金)(合)(同)(约)(定)(可)(不)(经)(基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(通)(过)(的)(事)(项)(,由)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(同)(意)(后)(变)(更)(并)(公)(告)(,并)(报)(中)(国)(证)(监)(会)(备)(案)(。
2、关)(于)(《基)(金)(合)(同)(》变)(更)(的)(基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(自)(表)(决)(通)(过)(之)(日)(起)(生)(效)(,并)(自)(决)(议)(生)(效)(后)(两)(个)(工)(作)(日)(内)(在)(指)(定)(媒)(介)(公)(告)(。
(二)()《基)(金)(合)(同)(》的)(终)(止)(事)(由)(
有)(下)(列)(情)(形)(之)(一)(的)(,《基)(金)(合)(同)(》应)(当)(终)(止)(:
1、基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(定)(终)(止)(的)(;
2、基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(职)(责)(终)(止)(,在)(6个)(月)(内)(没)(有)(新)(基)(金)(管)(理)(人)(、新)(基)(金)(托)(管)(人)(承)(接)(的)(;
3、《基)(金)(合)(同)(》约)(定)(的)(其)(他)(情)(形)(;
4、相)(关)(法)(律)(法)(规)(和)(中)(国)(证)(监)(会)(规)(定)(的)(其)(他)(情)(况)(。
(三)()基)(金)(财)(产)(的)(清)(算)(
1、基)(金)(财)(产)(清)(算)(小)(组)(:自)(出)(现)(基)(金)(合)(同)(终)(止)(事)(由)(之)(日)(起)(30个)(工)(作)(日)(内)(成)(立)(基)(金)(财)(产)(清)(算)(小)(组)(,基)(金)(管)(理)(人)(组)(织)(基)(金)(财)(产)(清)(算)(小)(组)(并)(在)(中)(国)(证)(监)(会)(的)(监)(督)(下)(进)(行)(基)(金)(清)(算)(。
2、在)(基)(金)(财)(产)(清)(算)(小)(组)(接)(管)(基)(金)(财)(产)(之)(前)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(应)(按)(照)(《基)(金)(合)(同)(》和)(托)(管)(协)(议)(的)(规)(定)(继)(续)(履)(行)(保)(护)(基)(金)(财)(产)(安)(全)(的)(职)(责)(。
3、基)(金)(财)(产)(清)(算)(小)(组)(组)(成)(:基)(金)(财)(产)(清)(算)(小)(组)(成)(员)(由)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(、具)(有)(从)(事)(证)(券)(相)(关)(业)(务)(资)(格)(的)(注)(册)(会)(计)(师)(、律)(师)(以)(及)(中)(国)(证)(监)(会)(指)(定)(的)(人)(员)(组)(成)(。基)(金)(财)(产)(清)(算)(小)(组)(可)(以)(聘)(用)(必)(要)(的)(工)(作)(人)(员)(。
4、基)(金)(财)(产)(清)(算)(小)(组)(职)(责)(:基)(金)(财)(产)(清)(算)(小)(组)(负)(责)(基)(金)(财)(产)(的)(保)(管)(、清)(理)(、估)(价)(、变)(现)(和)(分)(配)(。基)(金)(财)(产)(清)(算)(小)(组)(可)(以)(依)(法)(进)(行)(必)(要)(的)(民)(事)(活)(动)(。
5、基)(金)(财)(产)(清)(算)(程)(序)(:
(1)《基)(金)(合)(同)(》终)(止)(情)(形)(出)(现)(时)(,由)(基)(金)(财)(产)(清)(算)(小)(组)(统)(一)(接)(管)(基)(金)(财)(产)(;
(2)对)(基)(金)(财)(产)(和)(债)(权)(债)(务)(进)(行)(清)(理)(和)(确)(认)(;
(3)对)(基)(金)(财)(产)(进)(行)(估)(值)(和)(变)(现)(;
(4)制)(作)(清)(算)(报)(告)(;
(5)聘)(请)(会)(计)(师)(事)(务)(所)(对)(清)(算)(报)(告)(进)(行)(外)(部)(审)(计)(,聘)(请)(律)(师)(事)(务)(所)(对)(清)(算)(报)(告)(出)(具)(法)(律)(意)(见)(书)(;
(6)将)(清)(算)(报)(告)(报)(中)(国)(证)(监)(会)(备)(案)(并)(公)(告)(;
(7)对)(基)(金)(剩)(余)(财)(产)(进)(行)(分)(配)(。
6、基)(金)(财)(产)(清)(算)(的)(期)(限)(为)(6个)(月)(,但)(因)(本)(基)(金)(所)(持)(证)(券)(的)(流)(动)(性)(受)(到)(限)(制)(而)(不)(能)(及)(时)(变)(现)(的)(,清)(算)(期)(限)(可)(相)(应)(顺)(延)(。
(四)()清)(算)(费)(用)(
清)(算)(费)(用)(是)(指)(基)(金)(财)(产)(清)(算)(小)(组)(在)(进)(行)(基)(金)(清)(算)(过)(程)(中)(发)(生)(的)(所)(有)(合)(理)(费)(用)(,清)(算)(费)(用)(由)(基)(金)(财)(产)(清)(算)(小)(组)(优)(先)(从)(基)(金)(剩)(余)(财)(产)(中)(支)(付)(。
(五)()基)(金)(财)(产)(清)(算)(剩)(余)(资)(产)(的)(分)(配)(
依)(据)(基)(金)(财)(产)(清)(算)(的)(分)(配)(方)(案)(,将)(基)(金)(财)(产)(清)(算)(后)(的)(全)(部)(剩)(余)(资)(产)(扣)(除)(基)(金)(财)(产)(清)(算)(费)(用)(、交)(纳)(所)(欠)(税)(款)(并)(清)(偿)(基)(金)(债)(务)(后)(,按)(基)(金)(份)(额)(持)(有)(人)(持)(有)(的)(基)(金)(份)(额)(比)(例)(进)(行)(分)(配)(。
(六)()基)(金)(财)(产)(清)(算)(的)(公)(告)(
清)(算)(过)(程)(中)(的)(有)(关)(重)(大)(事)(项)(须)(及)(时)(公)(告)(;基)(金)(财)(产)(清)(算)(报)(告)(经)(会)(计)(师)(事)(务)(所)(审)(计)(并)(由)(律)(师)(事)(务)(所)(出)(具)(法)(律)(意)(见)(书)(后)(报)(中)(国)(证)(监)(会)(备)(案)(并)(公)(告)(。基)(金)(财)(产)(清)(算)(公)(告)(于)(基)(金)(财)(产)(清)(算)(报)(告)(报)(中)(国)(证)(监)(会)(备)(案)(后)(5个)(工)(作)(日)(内)(由)(基)(金)(财)(产)(清)(算)(小)(组)(进)(行)(公)(告)(。
(七)()基)(金)(财)(产)(清)(算)(账)(册)(及)(文)(件)(的)(保)(存)(
基)(金)(财)(产)(清)(算)(账)(册)(及)(有)(关)(文)(件)(由)(基)(金)(托)(管)(人)(保)(存)(15年)(以)(上)(。
四)(、争)(议)(解)(决)(方)(式)(
各)(方)(当)(事)(人)(同)(意)(,因)(《基)(金)(合)(同)(》而)(产)(生)(的)(或)(与)(《基)(金)(合)(同)(》有)(关)(的)(一)(切)(争)(议)(,如)(不)(愿)(或)(者)(不)(能)(通)(过)(协)(商)(、调)(解)(解)(决)(的)(,任)(何)(一)(方)(均)(有)(权)(将)(争)(议)(提)(交)(中)(国)(国)(际)(经)(济)(贸)(易)(仲)(裁)(委)(员)(会)(,根)(据)(该)(会)(当)(时)(有)(效)(的)(仲)(裁)(规)(则)(进)(行)(仲)(裁)(,仲)(裁)(的)(地)(点)(在)(北)(京)(市)(,仲)(裁)(裁)(决)(是)(终)(局)(的)(,并)(对)(相)(关)(各)(方)(当)(事)(人)(均)(有)(约)(束)(力)(。仲)(裁)(费)(用)(、律)(师)(费)(用)(由)(败)(诉)(方)(承)(担)(。
争)(议)(处)(理)(期)(间)(,双)(方)(当)(事)(人)(应)(恪)(守)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(职)(责)(,各)(自)(继)(续)(忠)(实)(、勤)(勉)(、尽)(责)(地)(履)(行)(基)(金)(合)(同)(和)(托)(管)(协)(议)(规)(定)(的)(义)(务)(,维)(护)(基)(金)(份)(额)(持)(有)(人)(的)(合)(法)(权)(益)(。
《基)(金)(合)(同)(》受)(中)(国)(法)(律)((为)(本)(基)(金)(合)(同)(之)(目)(的)(,在)(此)(不)(包)(括)(香)(港)(、澳)(门)(特)(别)(行)(政)(区)(和)(台)(湾)(地)(区)(法)(律)()管)(辖)(,并)(按)(其)(解)(释)(。
五)(、基)(金)(合)(同)(存)(放)(地)(和)(投)(资)(人)(取)(得)(基)(金)(合)(同)(的)(方)(式)(
《基)(金)(合)(同)(》可)(印)(制)(成)(册)(,供)(投)(资)(者)(在)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(、销)(售)(机)(构)(的)(办)(公)(场)(所)(和)(营)(业)(场)(所)(查)(阅)(。
第)(十)(九)(部)(分)(基)(金)(托)(管)(协)(议)(的)(内)(容)(摘)(要)(
一)(、托)(管)(协)(议)(当)(事)(人)((一)()基)(金)(管)(理)(人)(
名)(称)(:博)(时)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:广)(东)(省)(深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(29层)(
邮)(政)(编)(码)(:518040
法)(定)(代)(表)(人)(:张)(光)(华)(
成)(立)(日)(期)(:1998年)(7月)(13日)(
批)(准)(设)(立)(机)(关)(及)(批)(准)(设)(立)(文)(号)(:中)(国)(证)(监)(会)(证)(监)(基)(字)(【1998】26号)(
组)(织)(形)(式)(:有)(限)(责)(任)(公)(司)(
注)(册)(资)(本)(:2.5亿)(元)(人)(民)(币)(
存)(续)(期)(间)(:持)(续)(经)(营)(
经)(营)(范)(围)(:基)(金)(募)(集)(、基)(金)(销)(售)(、特)(定)(客)(户)(资)(产)(管)(理)(、资)(产)(管)(理)(和)(中)(国)(证)(监)(会)(许)(可)(的)(其)(他)(业)(务)((二)()基)(金)(托)(管)(人)(
名)(称)(:徽)(商)(银)(行)(股)(份)(有)(限)(公)(司)(
住)(所)(:安)(徽)(合)(肥)(安)(庆)(路)(79号)(天)(徽)(大)(厦)(A座)(
办)(公)(地)(址)(:安)(徽)(合)(肥)(安)(庆)(路)(79号)(天)(徽)(大)(厦)(A座)(
法)(定)(代)(表)(人)(:吴)(学)(民)(
成)(立)(日)(期)(:1997年)(4月)(4日)(
批)(准)(设)(立)(机)(关)(和)(批)(准)(设)(立)(文)(号)(:中)(国)(银)(监)(会)(银)(复)(【1997】70号)(
基)(金)(托)(管)(业)(务)(批)(准)(文)(号)(:中)(国)(证)(监)(会)(证)(监)(许)(可)(【2014】63号)(
组)(织)(形)(式)(:股)(份)(有)(限)(公)(司)(
注)(册)(资)(本)(:110.5亿)(元)(人)(民)(币)(
存)(续)(期)(间)(:持)(续)(经)(营)(
经)(营)(范)(围)(:包)(括)(在)(中)(国)(吸)(收)(公)(司)(和)(零)(售)(客)(户)(存)(款)(,利)(用)(吸)(收)(的)(存)(款)(发)(放)(贷)(款)(,以)(及)(从)(事)(资)(金)(业)(务)(,包)(括)(货)(币)(市)(场)(业)(务)(,投)(资)(和)(交)(易)(业)(务)(及)(代)(客)(交)(易)(等)(。
二)(、基)(金)(托)(管)(人)(对)(基)(金)(管)(理)(人)(的)(业)(务)(监)(督)(和)(核)(查)((一)()基)(金)(托)(管)(人)(根)(据)(有)(关)(法)(律)(法)(规)(的)(规)(定)(及)(基)(金)(合)(同)(的)(约)(定)(,对)(基)(金)(投)(资)(范)(围)(、投)(资)(对)(象)(进)(行)(监)(督)(。
本)(基)(金)(的)(投)(资)(范)(围)(主)(要)(包)(括)(国)(债)(、金)(融)(债)(、企)(业)(债)(、公)(司)(债)(、地)(方)(政)(府)(债)(、央)(行)(票)(据)(、中)(期)(票)(据)(、短)(期)(融)(资)(券)(、超)(短)(期)(融)(资)(券)(、资)(产)(支)(持)(证)(券)(、债)(券)(回)(购)(、银)(行)(存)(款)(、同)(业)(存)(单)(等)(法)(律)(法)(规)(或)(中)(国)(证)(监)(会)(允)(许)(基)(金)(投)(资)(的)(其)(他)(金)(融)(工)(具)((但)(须)(符)(合)(中)(国)(证)(监)(会)(的)(相)(关)(规)(定)()。
本)(基)(金)(不)(投)(资)(于)(股)(票)(、权)(证)(等)(资)(产)(,也)(不)(投)(资)(于)(可)(转)(换)(债)(券)(、可)(交)(换)(债)(券)(。
基)(金)(的)(投)(资)(组)(合)(比)(例)(为)(:本)(基)(金)(对)(债)(券)(的)(投)(资)(比)(例)(不)(低)(于)(基)(金)(资)(产)(的)(80%;本)(基)(金)(持)(有)(现)(金)(或)(者)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)(投)(资)(比)(例)(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)(、应)(收)(申)(购)(款)(等)(。
如)(法)(律)(法)(规)(或)(监)(管)(机)(构)(以)(后)(允)(许)(基)(金)(投)(资)(的)(其)(他)(品)(种)(,基)(金)(管)(理)(人)(在)(履)(行)(适)(当)(程)(序)(后)(,可)(以)(将)(其)(纳)(入)(投)(资)(范)(围)(,并)(可)(依)(据)(届)(时)(有)(效)(的)(法)(律)(法)(规)(适)(时)(合)(理)(地)(调)(整)(投)(资)(范)(围)(。
(二)()基)(金)(托)(管)(人)(根)(据)(有)(关)(法)(律)(法)(规)(的)(规)(定)(及)(基)(金)(合)(同)(的)(约)(定)(,对)(基)(金)(投)(资)(、融)(资)(比)(例)(进)(行)(监)(督)(。基)(金)(托)(管)(人)(按)(下)(述)(比)(例)(和)(调)(整)(期)(限)(进)(行)(监)(督)(:
基)(金)(的)(投)(资)(组)(合)(应)(遵)(循)(以)(下)(限)(制)(:
(1)本)(基)(金)(对)(债)(券)(的)(投)(资)(比)(例)(不)(低)(于)(基)(金)(资)(产)(的)(80%;
(2)本)(基)(金)(持)(有)(现)(金)(或)(者)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)(投)(资)(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)(、应)(收)(申)(购)(款)(等)(;
(3)本)(基)(金)(持)(有)(一)(家)(公)(司)(发)(行)(的)(证)(券)(,其)(市)(值)(不)(超)(过)(基)(金)(资)(产)(净)(值)(的)(10%;
(4)本)(基)(金)(管)(理)(人)(管)(理)(的)(全)(部)(基)(金)(持)(有)(一)(家)(公)(司)(发)(行)(的)(证)(券)(,不)(超)(过)(该)(证)(券)(的)(10%;
(5)本)(基)(金)(进)(入)(全)(国)(银)(行)(间)(同)(业)(市)(场)(进)(行)(债)(券)(回)(购)(的)(资)(金)(余)(额)(不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(40%;在)(全)(国)(银)(行)(间)(同)(业)(市)(场)(中)(的)(债)(券)(回)(购)(最)(长)(期)(限)(为)(1年)(,债)(券)(回)(购)(到)(期)(后)(不)(展)(期)(;
(6)本)(基)(金)(投)(资)(于)(同)(一)(原)(始)(权)(益)(人)(的)(各)(类)(资)(产)(支)(持)(证)(券)(的)(比)(例)(,不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(10%;
(7)本)(基)(金)(持)(有)(的)(全)(部)(资)(产)(支)(持)(证)(券)(,其)(市)(值)(不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(20%;
(8)本)(基)(金)(持)(有)(的)(同)(一)((指)(同)(一)(信)(用)(级)(别)()资)(产)(支)(持)(证)(券)(的)(比)(例)(,不)(得)(超)(过)(该)(资)(产)(支)(持)(证)(券)(规)(模)(的)(10%;
(9)本)(基)(金)(管)(理)(人)(管)(理)(的)(全)(部)(基)(金)(投)(资)(于)(同)(一)(原)(始)(权)(益)(人)(的)(各)(类)(资)(产)(支)(持)(证)(券)(,不)(得)(超)(过)(其)(各)(类)(资)(产)(支)(持)(证)(券)(合)(计)(规)(模)(的)(10%;
(10)该)(基)(金)(应)(投)(资)(于)(信)(用)(级)(别)(评)(级)(为)(BBB以)(上)((含)(BBB)的)(资)(产)(支)(持)(证)(券)(。基)(金)(持)(有)(资)(产)(支)(持)(证)(券)(期)(间)(,如)(果)(其)(信)(用)(等)(级)(下)(降)(、不)(再)(符)(合)(投)(资)(标)(准)(,应)(在)(评)(级)(报)(告)(发)(布)(之)(日)(起)(3个)(月)(内)(予)(以)(全)(部)(卖)(出)(;
(11)基)(金)(资)(产)(总)(值)(不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(140%;
(12)本)(基)(金)(主)(动)(投)(资)(于)(流)(动)(性)(受)(限)(资)(产)(的)(市)(值)(合)(计)(不)(得)(超)(过)(本)(基)(金)(资)(产)(净)(值)(的)(15%;因)(证)(券)(市)(场)(波)(动)(、基)(金)(规)(模)(变)(动)(等)(基)(金)(管)(理)(人)(之)(外)(的)(因)(素)(致)(使)(基)(金)(不)(符)(合)(前)(述)(比)(例)(限)(制)(的)(,基)(金)(管)(理)(人)(不)(得)(主)(动)(新)(增)(流)(动)(性)(受)(限)(资)(产)(的)(投)(资)(;
(13)本)(基)(金)(与)(私)(募)(类)(证)(券)(资)(管)(产)(品)(及)(中)(国)(证)(监)(会)(认)(定)(的)(其)(他)(主)(体)(为)(交)(易)(对)(手)(开)(展)(逆)(回)(购)(交)(易)(的)(,可)(接)(受)(质)(押)(品)(的)(资)(质)(要)(求)(应)(当)(与)(基)(金)(合)(同)(约)(定)(的)(投)(资)(范)(围)(保)(持)(一)(致)(;
(14)法)(律)(法)(规)(及)(中)(国)(证)(监)(会)(规)(定)(的)(和)(《基)(金)(合)(同)(》约)(定)(的)(其)(他)(投)(资)(限)(制)(。
除)(上)(述)(第)((2)、(10)、(12)、(13)项)(外)(,因)(证)(券)(市)(场)(波)(动)(、证)(券)(发)(行)(人)(合)(并)(、基)(金)(规)(模)(变)(动)(等)(基)(金)(管)(理)(人)(之)(外)(的)(因)(素)(致)(使)(基)(金)(投)(资)(比)(例)(不)(符)(合)(上)(述)(规)(定)(投)(资)(比)(例)(的)(,基)(金)(管)(理)(人)(应)(当)(在)(10个)(交)(易)(日)(内)(进)(行)(调)(整)(,但)(法)(律)(法)(规)(或)(中)(国)(证)(监)(会)(规)(定)(的)(特)(殊)(情)(形)(除)(外)(。
基)(金)(管)(理)(人)(应)(当)(自)(基)(金)(合)(同)(生)(效)(之)(日)(起)(6个)(月)(内)(使)(基)(金)(的)(投)(资)(组)(合)(比)(例)(符)(合)(基)(金)(合)(同)(的)(有)(关)(约)(定)(。在)(上)(述)(期)(间)(内)(,本)(基)(金)(的)(投)(资)(范)(围)(、投)(资)(策)(略)(应)(当)(符)(合)(基)(金)(合)(同)(的)(约)(定)(。基)(金)(托)(管)(人)(对)(基)(金)(的)(投)(资)(的)(监)(督)(与)(检)(查)(自)(基)(金)(合)(同)(生)(效)(之)(日)(起)(开)(始)(。
法)(律)(法)(规)(或)(监)(管)(部)(门)(取)(消)(或)(调)(整)(上)(述)(限)(制)(,如)(适)(用)(于)(本)(基)(金)(,基)(金)(管)(理)(人)(在)(履)(行)(适)(当)(程)(序)(后)(,则)(本)(基)(金)(投)(资)(不)(再)(受)(相)(关)(限)(制)(或)(按)(调)(整)(后)(的)(规)(定)(执)(行)(,但)(须)(提)(前)(公)(告)(。
(三)()基)(金)(托)(管)(人)(根)(据)(有)(关)(法)(律)(法)(规)(的)(规)(定)(及)(基)(金)(合)(同)(的)(约)(定)(,对)(本)(托)(管)(协)(议)(第)(十)(五)(条)(第)((九)()款)(基)(金)(投)(资)(禁)(止)(行)(为)(进)(行)(监)(督)(。
为)(维)(护)(基)(金)(份)(额)(持)(有)(人)(的)(合)(法)(权)(益)(,基)(金)(财)(产)(不)(得)(用)(于)(下)(列)(投)(资)(或)(者)(活)(动)(:
(1)承)(销)(证)(券)(;
(2)违)(反)(规)(定)(向)(他)(人)(贷)(款)(或)(者)(提)(供)(担)(保)(;
(3)从)(事)(承)(担)(无)(限)(责)(任)(的)(投)(资)(;
(4)买)(卖)(其)(他)(基)(金)(份)(额)(,但)(是)(中)(国)(证)(监)(会)(另)(有)(规)(定)(的)(除)(外)(;
(5)向)(其)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(出)(资)(;
(6)从)(事)(内)(幕)(交)(易)(、操)(纵)(证)(券)(交)(易)(价)(格)(及)(其)(他)(不)(正)(当)(的)(证)(券)(交)(易)(活)(动)(;
(7)法)(律)(、行)(政)(法)(规)(和)(中)(国)(证)(监)(会)(规)(定)(禁)(止)(的)(其)(他)(活)(动)(。
基)(金)(管)(理)(人)(运)(用)(基)(金)(财)(产)(买)(卖)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(及)(其)(控)(股)(股)(东)(、实)(际)(控)(制)(人)(或)(者)(与)(其)(有)(其)(他)(重)(大)(利)(害)(关)(系)(的)(公)(司)(发)(行)(的)(证)(券)(或)(者)(承)(销)(的)(证)(券)(,或)(者)(从)(事)(其)(他)(重)(大)(关)(联)(交)(易)(的)(,应)(当)(符)(合)(基)(金)(的)(投)(资)(目)(标)(和)(投)(资)(策)(略)(,遵)(循)(基)(金)(份)(额)(持)(有)(人)(利)(益)(优)(先)(的)(原)(则)(,防)(范)(利)(益)(冲)(突)(,建)(立)(健)(全)(内)(部)(审)(批)(机)(制)(和)(评)(估)(机)(制)(,按)(照)(市)(场)(公)(平)(合)(理)(价)(格)(执)(行)(。相)(关)(交)(易)(必)(须)(事)(先)(得)(到)(基)(金)(托)(管)(人)(的)(同)(意)(,并)(按)(法)(律)(法)(规)(予)(以)(披)(露)(。重)(大)(关)(联)(交)(易)(应)(提)(交)(基)(金)(管)(理)(人)(董)(事)(会)(审)(议)(,并)(经)(过)(三)(分)(之)(二)(以)(上)(的)(独)(立)(董)(事)(通)(过)(。基)(金)(管)(理)(人)(董)(事)(会)(应)(至)(少)(每)(半)(年)(对)(关)(联)(交)(易)(事)(项)(进)(行)(审)(查)(。
法)(律)(、行)(政)(法)(规)(或)(监)(管)(部)(门)(取)(消)(或)(变)(更)(上)(述)(禁)(止)(性)(规)(定)(,如)(适)(用)(于)(本)(基)(金)(,基)(金)(管)(理)(人)(在)(履)(行)(适)(当)(程)(序)(后)(,则)(本)(基)(金)(投)(资)(不)(再)(受)(相)(关)(限)(制)(或)(按)(变)(更)(后)(的)(规)(定)(执)(行)(。
(四)()基)(金)(托)(管)(人)(根)(据)(有)(关)(法)(律)(法)(规)(的)(规)(定)(及)(基)(金)(合)(同)(的)(约)(定)(,对)(基)(金)(管)(理)(人)(参)(与)(银)(行)(间)(债)(券)(市)(场)(进)(行)(监)(督)(。
基)(金)(管)(理)(人)(应)(在)(基)(金)(投)(资)(运)(作)(之)(前)(按)(照)(规)(定)(的)(数)(据)(格)(式)(向)(基)(金)(托)(管)(人)(提)(供)(符)(合)(法)(律)(法)(规)(及)(行)(业)(标)(准)(的)(、经)(慎)(重)(选)(择)(的)(、本)(基)(金)(适)(用)(的)(银)(行)(间)(债)(券)(市)(场)(交)(易)(对)(手)(名)(单)(,并)(约)(定)(各)(交)(易)(对)(手)(所)(适)(用)(的)(交)(易)(结)(算)(方)(式)(。基)(金)(管)(理)(人)(应)(严)(格)(按)(照)(交)(易)(对)(手)(名)(单)(的)(范)(围)(在)(银)(行)(间)(债)(券)(市)(场)(选)(择)(交)(易)(对)(手)(。基)(金)(托)(管)(人)(事)(后)(监)(督)(基)(金)(管)(理)(人)(是)(否)(按)(事)(前)(提)(供)(的)(银)(行)(间)(债)(券)(市)(场)(交)(易)(对)(手)(名)(单)(进)(行)(交)(易)(。基)(金)(管)(理)(人)(可)(以)(每)(半)(年)(对)(银)(行)(间)(债)(券)(市)(场)(交)(易)(对)(手)(名)(单)(及)(结)(算)(方)(式)(进)(行)(更)(新)(,新)(名)(单)(确)(定)(前)(已)(与)(本)(次)(剔)(除)(的)(交)(易)(对)(手)(所)(进)(行)(但)(尚)(未)(结)(算)(的)(交)(易)(,仍)(应)(按)(照)(协)(议)(进)(行)(结)(算)(。如)(基)(金)(管)(理)(人)(根)(据)(市)(场)(情)(况)(需)(要)(临)(时)(调)(整)(银)(行)(间)(债)(券)(市)(场)(交)(易)(对)(手)(名)(单)(及)(结)(算)(方)(式)(的)(,应)(向)(基)(金)(托)(管)(人)(说)(明)(理)(由)(,并)(在)(与)(交)(易)(对)(手)(发)(生)(交)(易)(前)(3个)(工)(作)(日)(内)(与)(基)(金)(托)(管)(人)(协)(商)(解)(决)(。
基)(金)(管)(理)(人)(负)(责)(对)(交)(易)(对)(手)(的)(资)(信)(控)(制)(,按)(银)(行)(间)(债)(券)(市)(场)(的)(交)(易)(规)(则)(进)(行)(交)(易)(,并)(承)(担)(交)(易)(对)(手)(不)(履)(行)(合)(同)(造)(成)(的)(损)(失)(,基)(金)(托)(管)(人)(则)(根)(据)(银)(行)(间)(债)(券)(市)(场)(成)(交)(单)(对)(合)(同)(履)(行)(情)(况)(进)(行)(监)(督)(。如)(基)(金)(托)(管)(人)(事)(后)(发)(现)(基)(金)(管)(理)(人)(没)(有)(按)(照)(事)(先)(约)(定)(的)(交)(易)(对)(手)(或)(交)(易)(方)(式)(进)(行)(交)(易)(时)(,基)(金)(托)(管)(人)(应)(及)(时)(提)(醒)(基)(金)(管)(理)(人)(,基)(金)(托)(管)(人)(不)(承)(担)(由)(此)(造)(成)(的)(任)(何)(损)(失)(和)(责)(任)(。
(五)()基)(金)(管)(理)(人)(投)(资)(银)(行)(定)(期)(存)(款)(应)(符)(合)(相)(关)(法)(律)(法)(规)(约)(定)(。基)(金)(管)(理)(人)(在)(投)(资)(银)(行)(定)(期)(存)(款)(的)(过)(程)(中)(,必)(须)(符)(合)(基)(金)(合)(同)(就)(投)(资)(品)(种)(、投)(资)(比)(例)(、存)(款)(期)(限)(等)(方)(面)(的)(限)(制)(。基)(金)(管)(理)(人)(应)(基)(于)(审)(慎)(原)(则)(评)(估)(存)(款)(银)(行)(信)(用)(风)(险)(并)(据)(此)(选)(择)(存)(款)(银)(行)(。
(六)()基)(金)(托)(管)(人)(根)(据)(有)(关)(法)(律)(法)(规)(的)(规)(定)(及)(基)(金)(合)(同)(的)(约)(定)(,对)(基)(金)(资)(产)(净)(值)(计)(算)(、基)(金)(份)(额)(净)(值)(计)(算)(、应)(收)(资)(金)(到)(账)(、基)(金)(费)(用)(开)(支)(及)(收)(入)(确)(定)(、基)(金)(收)(益)(分)(配)(、相)(关)(信)(息)(披)(露)(、基)(金)(宣)(传)(推)(介)(材)(料)(中)(登)(载)(基)(金)(业)(绩)(表)(现)(数)(据)(等)(进)(行)(监)(督)(和)(核)(查)(。
如)(果)(基)(金)(管)(理)(人)(未)(经)(基)(金)(托)(管)(人)(的)(审)(核)(擅)(自)(将)(不)(实)(的)(业)(绩)(表)(现)(数)(据)(印)(制)(在)(宣)(传)(推)(介)(材)(料)(上)(,则)(基)(金)(托)(管)(人)(对)(此)(不)(承)(担)(任)(何)(责)(任)(,并)(将)(在)(发)(现)(后)(立)(即)(报)(告)(中)(国)(证)(监)(会)(。
(七)()基)(金)(托)(管)(人)(发)(现)(基)(金)(管)(理)(人)(的)(上)(述)(事)(项)(及)(投)(资)(指)(令)(或)(实)(际)(投)(资)(运)(作)(违)(反)(法)(律)(法)(规)(、基)(金)(合)(同)(和)(本)(托)(管)(协)(议)(的)(规)(定)(,应)(及)(时)(以)(电)(话)(提)(醒)(或)(书)(面)(提)(示)(等)(方)(式)(通)(知)(基)(金)(管)(理)(人)(限)(期)(纠)(正)(。
基)(金)(管)(理)(人)(应)(积)(极)(配)(合)(和)(协)(助)(基)(金)(托)(管)(人)(的)(监)(督)(和)(核)(查)(。基)(金)(管)(理)(人)(收)(到)(书)(面)(通)(知)(后)(应)(在)(下)(一)(工)(作)(日)(前)(及)(时)(核)(对)(并)(以)(书)(面)(形)(式)(给)(基)(金)(托)(管)(人)(发)(出)(回)(函)(,就)(基)(金)(托)(管)(人)(合)(理)(的)(疑)(义)(进)(行)(解)(释)(或)(举)(证)(,说)(明)(违)(规)(原)(因)(及)(纠)(正)(期)(限)(,并)(保)(证)(在)(规)(定)(期)(限)(内)(及)(时)(改)(正)(。在)(上)(述)(规)(定)(期)(限)(内)(,基)(金)(托)(管)(人)(有)(权)(随)(时)(对)(通)(知)(事)(项)(进)(行)(复)(查)(,督)(促)(基)(金)(管)(理)(人)(改)(正)(。基)(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)(。
(八)()基)(金)(管)(理)(人)(有)(义)(务)(配)(合)(和)(协)(助)(基)(金)(托)(管)(人)(依)(照)(法)(律)(法)(规)(、基)(金)(合)(同)(和)(本)(托)(管)(协)(议)(对)(基)(金)(业)(务)(执)(行)(核)(查)(。
对)(基)(金)(托)(管)(人)(发)(出)(的)(书)(面)(提)(示)(,基)(金)(管)(理)(人)(应)(在)(规)(定)(时)(间)(内)(答)(复)(并)(改)(正)(,或)(就)(基)(金)(托)(管)(人)(合)(理)(的)(疑)(义)(进)(行)(解)(释)(或)(举)(证)(;对)(基)(金)(托)(管)(人)(按)(照)(法)(律)(法)(规)(、基)(金)(合)(同)(和)(本)(托)(管)(协)(议)(的)(要)(求)(需)(向)(中)(国)(证)(监)(会)(报)(送)(基)(金)(监)(督)(报)(告)(的)(事)(项)(,基)(金)(管)(理)(人)(应)(积)(极)(配)(合)(提)(供)(相)(关)(数)(据)(资)(料)(和)(制)(度)(等)(。
(九)()若)(基)(金)(托)(管)(人)(发)(现)(基)(金)(管)(理)(人)(依)(据)(交)(易)(程)(序)(已)(经)(生)(效)(的)(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)(的)(,应)(当)(立)(即)(通)(知)(基)(金)(管)(理)(人)(。
(十)()基)(金)(托)(管)(人)(发)(现)(基)(金)(管)(理)(人)(有)(重)(大)(违)(规)(行)(为)(,有)(权)(报)(告)(中)(国)(证)(监)(会)(,同)(时)(通)(知)(基)(金)(管)(理)(人)(限)(期)(纠)(正)(,并)(将)(纠)(正)(结)(果)(报)(告)(中)(国)(证)(监)(会)(。
基)(金)(管)(理)(人)(无)(正)(当)(理)(由)(,拒)(绝)(、阻)(挠)(对)(方)(根)(据)(本)(托)(管)(协)(议)(规)(定)(行)(使)(监)(督)(权)(,或)(采)(取)(拖)(延)(、欺)(诈)(等)(手)(段)(妨)(碍)(对)(方)(进)(行)(有)(效)(监)(督)(,情)(节)(严)(重)(或)(经)(基)(金)(托)(管)(人)(提)(出)(警)(告)(仍)(不)(改)(正)(的)(,基)(金)(托)(管)(人)(应)(报)(告)(中)(国)(证)(监)(会)(。
三)(、基)(金)(管)(理)(人)(对)(基)(金)(托)(管)(人)(的)(业)(务)(核)(查)((一)()基)(金)(管)(理)(人)(对)(基)(金)(托)(管)(人)(履)(行)(托)(管)(职)(责)(情)(况)(进)(行)(核)(查)(,核)(查)(事)(项)(包)(括)(基)(金)(托)(管)(人)(安)(全)(保)(管)(基)(金)(财)(产)(、开)(设)(基)(金)(财)(产)(的)(资)(金)(账)(户)(和)(证)(券)(账)(户)(等)(投)(资)(所)(需)(账)(户)(、复)(核)(基)(金)(管)(理)(人)(计)(算)(的)(基)(金)(资)(产)(净)(值)(和)(基)(金)(份)(额)(净)(值)(、根)(据)(基)(金)(管)(理)(人)(指)(令)(办)(理)(清)(算)(交)(收)(、相)(关)(信)(息)(披)(露)(和)(监)(督)(基)(金)(投)(资)(运)(作)(等)(行)(为)(。
(二)()基)(金)(管)(理)(人)(发)(现)(基)(金)(托)(管)(人)(擅)(自)(挪)(用)(基)(金)(财)(产)(、未)(对)(基)(金)(财)(产)(实)(行)(分)(账)(管)(理)(、未)(执)(行)(或)(无)(故)(延)(迟)(执)(行)(基)(金)(管)(理)(人)(资)(金)(划)(拨)(指)(令)(、泄)(露)(基)(金)(投)(资)(信)(息)(等)(违)(反)(《基)(金)(法)(》、基)(金)(合)(同)(、本)(协)(议)(及)(其)(他)(有)(关)(规)(定)(时)(,应)(及)(时)(以)(书)(面)(形)(式)(通)(知)(基)(金)(托)(管)(人)(限)(期)(纠)(正)(。
基)(金)(托)(管)(人)(收)(到)(通)(知)(后)(应)(及)(时)(核)(对)(并)(以)(书)(面)(形)(式)(给)(基)(金)(管)(理)(人)(发)(出)(回)(函)(,说)(明)(违)(规)(原)(因)(及)(纠)(正)(期)(限)(,并)(保)(证)(在)(规)(定)(期)(限)(内)(及)(时)(改)(正)(。在)(上)(述)(规)(定)(期)(限)(内)(,基)(金)(管)(理)(人)(有)(权)(随)(时)(对)(通)(知)(事)(项)(进)(行)(复)(查)(,督)(促)(基)(金)(托)(管)(人)(改)(正)(。基)(金)(托)(管)(人)(应)(积)(极)(配)(合)(基)(金)(管)(理)(人)(的)(核)(查)(行)(为)(,包)(括)(但)(不)(限)(于)(:提)(交)(相)(关)(资)(料)(以)(供)(基)(金)(管)(理)(人)(核)(查)(托)(管)(财)(产)(的)(完)(整)(性)(和)(真)(实)(性)(,在)(规)(定)(时)(间)(内)(答)(复)(基)(金)(管)(理)(人)(并)(改)(正)(。
(三)()基)(金)(管)(理)(人)(发)(现)(基)(金)(托)(管)(人)(有)(重)(大)(违)(规)(行)(为)(,应)(及)(时)(报)(告)(中)(国)(证)(监)(会)(,同)(时)(通)(知)(基)(金)(托)(管)(人)(限)(期)(纠)(正)(,并)(将)(纠)(正)(结)(果)(报)(告)(中)(国)(证)(监)(会)(。
基)(金)(托)(管)(人)(无)(正)(当)(理)(由)(,拒)(绝)(、阻)(挠)(对)(方)(根)(据)(本)(协)(议)(规)(定)(行)(使)(监)(督)(权)(,或)(采)(取)(拖)(延)(、欺)(诈)(等)(手)(段)(妨)(碍)(对)(方)(进)(行)(有)(效)(监)(督)(,情)(节)(严)(重)(或)(经)(基)(金)(管)(理)(人)(提)(出)(警)(告)(仍)(不)(改)(正)(的)(,基)(金)(管)(理)(人)(应)(报)(告)(中)(国)(证)(监)(会)(。
四)(、基)(金)(财)(产)(的)(保)(管)((一)()基)(金)(财)(产)(保)(管)(的)(原)(则)(
1.基)(金)(财)(产)(应)(独)(立)(于)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(的)(固)(有)(财)(产)(;
2.基)(金)(托)(管)(人)(应)(安)(全)(保)(管)(基)(金)(财)(产)(;
3.基)(金)(托)(管)(人)(按)(照)(规)(定)(开)(设)(基)(金)(财)(产)(的)(资)(金)(账)(户)(、证)(券)(账)(户)(等)(投)(资)(所)(需)(账)(户)(;
4.基)(金)(托)(管)(人)(对)(所)(托)(管)(的)(不)(同)(基)(金)(财)(产)(分)(别)(设)(置)(账)(户)(,确)(保)(基)(金)(财)(产)(的)(完)(整)(与)(独)(立)(;
5.基)(金)(托)(管)(人)(根)(据)(基)(金)(管)(理)(人)(的)(指)(令)(,按)(照)(基)(金)(合)(同)(和)(本)(协)(议)(的)(约)(定)(保)(管)(基)(金)(财)(产)(,如)(有)(特)(殊)(情)(况)(双)(方)(可)(另)(行)(协)(商)(解)(决)(;
6.对)(于)(因)(为)(基)(金)(投)(资)(产)(生)(的)(应)(收)(资)(产)(,应)(由)(基)(金)(管)(理)(人)(负)(责)(与)(有)(关)(当)(事)(人)(确)(定)(到)(账)(日)(期)(并)(通)(知)(基)(金)(托)(管)(人)(,到)(账)(日)(基)(金)(财)(产)(没)(有)(到)(达)(基)(金)(账)(户)(的)(,基)(金)(托)(管)(人)(应)(及)(时)(通)(知)(并)(配)(合)(基)(金)(管)(理)(人)(采)(取)(措)(施)(进)(行)(催)(收)(。由)(此)(给)(基)(金)(财)(产)(造)(成)(损)(失)(的)(,基)(金)(管)(理)(人)(应)(负)(责)(向)(有)(关)(当)(事)(人)(追)(偿)(基)(金)(财)(产)(的)(损)(失)(,基)(金)(托)(管)(人)(对)(基)(金)(管)(理)(人)(的)(追)(偿)(行)(为)(应)(予)(以)(必)(要)(的)(协)(助)(;
7.除)(依)(据)(法)(律)(法)(规)(和)(基)(金)(合)(同)(的)(规)(定)(外)(,基)(金)(托)(管)(人)(不)(得)(委)(托)(第)(三)(人)(托)(管)(基)(金)(财)(产)(。
(二)()基)(金)(募)(集)(期)(间)(及)(募)(集)(资)(金)(的)(验)(资)(
1.基)(金)(募)(集)(期)(间)(募)(集)(的)(资)(金)(应)(存)(于)(基)(金)(管)(理)(人)(在)(具)(有)(托)(管)(资)(格)(的)(商)(业)(银)(行)(开)(立)(的)(“基)(金)(募)(集)(专)(户)(”,该)(账)(户)(由)(基)(金)(管)(理)(人)(开)(立)(并)(管)(理)(。
2.基)(金)(募)(集)(期)(满)(或)(基)(金)(停)(止)(募)(集)(时)(,基)(金)(管)(理)(人)(应)(将)(属)(于)(基)(金)(财)(产)(的)(全)(部)(资)(金)(划)(入)(基)(金)(托)(管)(人)(为)(本)(基)(金)(开)(立)(的)(基)(金)(托)(管)(专)(户)(,同)(时)(在)(规)(定)(时)(间)(内)(,聘)(请)(具)(有)(从)(事)(证)(券)(相)(关)(业)(务)(资)(格)(的)(会)(计)(师)(事)(务)(所)(进)(行)(验)(资)(,出)(具)(验)(资)(报)(告)(。出)(具)(的)(验)(资)(报)(告)(由)(参)(加)(验)(资)(的)(2名)(或)(2名)(以)(上)(中)(国)(注)(册)(会)(计)(师)(签)(字)(方)(为)(有)(效)(。
3.若)(基)(金)(募)(集)(期)(限)(届)(满)(或)(基)(金)(停)(止)(募)(集)(时)(,未)(能)(达)(到)(基)(金)(合)(同)(生)(效)(的)(条)(件)(,由)(基)(金)(管)(理)(人)(按)(规)(定)(办)(理)(退)(款)(等)(事)(宜)(,基)(金)(托)(管)(人)(应)(提)(供)(必)(要)(协)(助)(。
(三)()基)(金)(托)(管)(专)(户)(的)(开)(立)(和)(管)(理)(
1.基)(金)(托)(管)(人)(以)(本)(基)(金)(的)(名)(义)(在)(其)(营)(业)(机)(构)(开)(设)(基)(金)(托)(管)(专)(户)(,保)(管)(基)(金)(的)(银)(行)(存)(款)(。本)(基)(金)(的)(一)(切)(货)(币)(收)(支)(活)(动)(,包)(括)(但)(不)(限)(于)(投)(资)(、支)(付)(赎)(回)(金)(额)(、支)(付)(基)(金)(收)(益)(、收)(取)(申)(购)(款)(,均)(需)(通)(过)(基)(金)(托)(管)(专)(户)(进)(行)(。
2.基)(金)(托)(管)(专)(户)(的)(开)(立)(和)(使)(用)(,限)(于)(满)(足)(开)(展)(本)(基)(金)(业)(务)(的)(需)(要)(。基)(金)(托)(管)(人)(和)(基)(金)(管)(理)(人)(不)(得)(假)(借)(本)(基)(金)(的)(名)(义)(开)(立)(任)(何)(其)(他)(银)(行)(账)(户)(;亦)(不)(得)(使)(用)(基)(金)(的)(任)(何)(账)(户)(进)(行)(本)(基)(金)(业)(务)(以)(外)(的)(活)(动)(。
3.基)(金)(托)(管)(专)(户)(的)(开)(立)(和)(管)(理)(应)(符)(合)(有)(关)(法)(律)(法)(规)(以)(及)(银)(行)(业)(监)(督)(管)(理)(机)(构)(的)(其)(他)(有)(关)(规)(定)(。
(四)()基)(金)(证)(券)(账)(户)(和)(结)(算)(备)(付)(金)(账)(户)(的)(开)(立)(和)(管)(理)(
1.基)(金)(托)(管)(人)(在)(中)(国)(证)(券)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(上)(海)(分)(公)(司)(、深)(圳)(分)(公)(司)(为)(基)(金)(开)(立)(基)(金)(托)(管)(人)(与)(本)(基)(金)(联)(名)(的)(证)(券)(账)(户)(。
2.基)(金)(证)(券)(账)(户)(的)(开)(立)(和)(使)(用)(,仅)(限)(于)(满)(足)(开)(展)(本)(基)(金)(业)(务)(的)(需)(要)(。基)(金)(托)(管)(人)(和)(基)(金)(管)(理)(人)(不)(得)(出)(借)(或)(未)(经)(对)(方)(同)(意)(擅)(自)(转)(让)(基)(金)(的)(任)(何)(证)(券)(账)(户)(,亦)(不)(得)(使)(用)(基)(金)(的)(任)(何)(账)(户)(进)(行)(本)(基)(金)(业)(务)(以)(外)(的)(活)(动)(。
3.基)(金)(证)(券)(账)(户)(的)(开)(立)(和)(证)(券)(账)(户)(卡)(的)(保)(管)(由)(基)(金)(托)(管)(人)(负)(责)(,账)(户)(资)(产)(的)(管)(理)(和)(运)(用)(由)(基)(金)(管)(理)(人)(负)(责)(。
4.基)(金)(托)(管)(人)(以)(基)(金)(托)(管)(人)(的)(名)(义)(在)(中)(国)(证)(券)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(开)(立)(结)(算)(备)(付)(金)(账)(户)(,并)(代)(表)(本)(基)(金)(完)(成)(与)(中)(国)(证)(券)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(的)(一)(级)(法)(人)(清)(算)(工)(作)(,基)(金)(管)(理)(人)(应)(予)(以)(积)(极)(协)(助)(。结)(算)(备)(付)(金)(、交)(收)(价)(差)(资)(金)(等)(的)(收)(取)(按)(照)(中)(国)(证)(券)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(的)(规)(定)(执)(行)(。
5.若)(中)(国)(证)(监)(会)(或)(其)(他)(监)(管)(机)(构)(在)(本)(托)(管)(协)(议)(订)(立)(日)(之)(后)(允)(许)(基)(金)(从)(事)(其)(他)(投)(资)(品)(种)(的)(投)(资)(业)(务)(,涉)(及)(相)(关)(账)(户)(的)(开)(立)(、使)(用)(的)(,若)(无)(相)(关)(规)(定)(,则)(基)(金)(托)(管)(人)(比)(照)(上)(述)(关)(于)(账)(户)(开)(立)(、使)(用)(的)(规)(定)(执)(行)(。
(五)()银)(行)(间)(债)(券)(托)(管)(专)(户)(的)(开)(设)(和)(管)(理)(
基)(金)(合)(同)(生)(效)(后)(,基)(金)(管)(理)(人)(负)(责)(以)(本)(基)(金)(的)(名)(义)(申)(请)(并)(取)(得)(进)(入)(全)(国)(银)(行)(间)(同)(业)(拆)(借)(市)(场)(的)(交)(易)(资)(格)(,并)(代)(表)(本)(基)(金)(进)(行)(交)(易)(;基)(金)(托)(管)(人)(负)(责)(以)(本)(基)(金)(的)(名)(义)(在)(中)(央)(国)(债)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(和)(银)(行)(间)(市)(场)(清)(算)(所)(股)(份)(有)(限)(公)(司)(开)(设)(银)(行)(间)(债)(券)(市)(场)(债)(券)(托)(管)(账)(户)(,并)(代)(表)(基)(金)(进)(行)(银)(行)(间)(市)(场)(债)(券)(的)(结)(算)(。基)(金)(管)(理)(人)(代)(表)(本)(基)(金)(签)(订)(全)(国)(银)(行)(间)(债)(券)(市)(场)(债)(券)(回)(购)(主)(协)(议)(,基)(金)(管)(理)(人)(保)(存)(协)(议)(正)(本)(,可)(将)(副)(本)(交)(由)(基)(金)(托)(管)(人)(保)(管)(。
(六)()其)(他)(账)(户)(的)(开)(立)(和)(管)(理)(
在)(本)(托)(管)(协)(议)(签)(订)(日)(之)(后)(,本)(基)(金)(被)(允)(许)(从)(事)(符)(合)(法)(律)(法)(规)(规)(定)(和)(《基)(金)(合)(同)(》约)(定)(的)(其)(他)(投)(资)(品)(种)(的)(投)(资)(业)(务)(时)(,如)(果)(涉)(及)(相)(关)(账)(户)(的)(开)(设)(和)(使)(用)(,由)(基)(金)(管)(理)(人)(协)(助)(基)(金)(托)(管)(人)(根)(据)(有)(关)(法)(律)(法)(规)(的)(规)(定)(和)(《基)(金)(合)(同)(》的)(约)(定)(,开)(立)(有)(关)(账)(户)(。该)(账)(户)(按)(有)(关)(规)(则)(使)(用)(并)(管)(理)(。
(七)()基)(金)(财)(产)(投)(资)(的)(有)(关)(有)(价)(凭)(证)(等)(的)(保)(管)(
基)(金)(财)(产)(投)(资)(的)(有)(关)(实)(物)(证)(券)(等)(有)(价)(凭)(证)(由)(基)(金)(托)(管)(人)(存)(放)(于)(基)(金)(托)(管)(人)(的)(保)(管)(库)(,也)(可)(存)(入)(中)(央)(国)(债)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(、中)(国)(证)(券)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(上)(海)(分)(公)(司)(/深)(圳)(分)(公)(司)(、银)(行)(间)(市)(场)(清)(算)(所)(股)(份)(有)(限)(公)(司)(或)(票)(据)(营)(业)(中)(心)(的)(代)(保)(管)(库)(,保)(管)(凭)(证)(由)(基)(金)(托)(管)(人)(持)(有)(。实)(物)(证)(券)(等)(有)(价)(凭)(证)(的)(购)(买)(和)(转)(让)(,由)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(共)(同)(办)(理)(。基)(金)(托)(管)(人)(对)(由)(基)(金)(托)(管)(人)(及)(基)(金)(托)(管)(人)(委)(托)(保)(管)(的)(机)(构)(以)(外)(机)(构)(实)(际)(有)(效)(控)(制)(的)(证)(券)(不)(承)(担)(保)(管)(责)(任)(。
(八)()与)(基)(金)(财)(产)(有)(关)(的)(重)(大)(合)(同)(的)(保)(管)(
与)(基)(金)(财)(产)(有)(关)(的)(重)(大)(合)(同)(的)(签)(署)(,由)(基)(金)(管)(理)(人)(负)(责)(。由)(基)(金)(管)(理)(人)(代)(表)(基)(金)(签)(署)(的)(、与)(基)(金)(财)(产)(有)(关)(的)(重)(大)(合)(同)(的)(原)(件)(分)(别)(由)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(保)(管)(。除)(本)(协)(议)(另)(有)(规)(定)(外)(,基)(金)(管)(理)(人)(代)(表)(基)(金)(签)(署)(的)(与)(基)(金)(财)(产)(有)(关)(的)(重)(大)(合)(同)(包)(括)(但)(不)(限)(于)(基)(金)(年)(度)(审)(计)(合)(同)(、基)(金)(信)(息)(披)(露)(协)(议)(及)(基)(金)(投)(资)(业)(务)(中)(产)(生)(的)(重)(大)(合)(同)(,基)(金)(管)(理)(人)(应)(保)(证)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(至)(少)(各)(持)(有)(一)(份)(正)(本)(的)(原)(件)(。基)(金)(管)(理)(人)(应)(在)(重)(大)(合)(同)(签)(署)(后)(及)(时)(将)(重)(大)(合)(同)(传)(真)(件)(或)(原)(件)(扫)(描)(件)(给)(基)(金)(托)(管)(人)(,并)(在)(30个)(工)(作)(日)(内)(将)(正)(本)(送)(达)(基)(金)(托)(管)(人)(处)(。因)(基)(金)(管)(理)(人)(发)(送)(的)(合)(同)(传)(真)(件)(或)(扫)(描)(件)(与)(事)(后)(送)(达)(的)(合)(同)(原)(件)(不)(一)(致)(所)(造)(成)(的)(后)(果)(,由)(基)(金)(管)(理)(人)(负)(责)(。重)(大)(合)(同)(的)(保)(管)(期)(限)(为)(基)(金)(合)(同)(终)(止)(后)(15年)(。
对)(于)(无)(法)(取)(得)(二)(份)(以)(上)(的)(正)(本)(的)(,基)(金)(管)(理)(人)(应)(向)(基)(金)(托)(管)(人)(提)(供)(加)(盖)(授)(权)(业)(务)(章)(的)(合)(同)(传)(真)(件)(或)(原)(件)(扫)(描)(件)(,未)(经)(双)(方)(协)(商)(或)(未)(在)(合)(同)(约)(定)(范)(围)(内)(,合)(同)(原)(件)(不)(得)(转)(移)(。
五)(、基)(金)(资)(产)(净)(值)(计)(算)(和)(会)(计)(核)(算)((一)()基)(金)(资)(产)(净)(值)(的)(计)(算)(、复)(核)(与)(完)(成)(的)(时)(间)(及)(程)(序)(
1.基)(金)(资)(产)(净)(值)(
基)(金)(资)(产)(净)(值)(是)(指)(基)(金)(资)(产)(总)(值)(减)(去)(负)(债)(后)(的)(价)(值)(。
基)(金)(份)(额)(净)(值)(是)(按)(照)(每)(个)(工)(作)(日)(闭)(市)(后)(,基)(金)(资)(产)(净)(值)(除)(以)(当)(日)(基)(金)(份)(额)(的)(余)(额)(数)(量)(计)(算)(,精)(确)(到)(0.0001元)(,小)(数)(点)(后)(第)(5位)(四)(舍)(五)(入)(。国)(家)(另)(有)(规)(定)(的)(,从)(其)(规)(定)(。
基)(金)(管)(理)(人)(每)(个)(工)(作)(日)(计)(算)(基)(金)(资)(产)(净)(值)(及)(基)(金)(份)(额)(净)(值)(,经)(基)(金)(托)(管)(人)(复)(核)(,按)(规)(定)(公)(告)(。但)(基)(金)(管)(理)(人)(根)(据)(法)(律)(法)(规)(或)(基)(金)(合)(同)(的)(规)(定)(暂)(停)(估)(值)(时)(除)(外)(。
2.复)(核)(程)(序)(
基)(金)(管)(理)(人)(每)(工)(作)(日)(对)(基)(金)(资)(产)(进)(行)(估)(值)(后)(,将)(基)(金)(份)(额)(净)(值)(结)(果)(发)(送)(基)(金)(托)(管)(人)(,经)(基)(金)(托)(管)(人)(复)(核)(无)(误)(后)(,由)(基)(金)(管)(理)(人)(按)(规)(定)(对)(外)(公)(布)(。
3.根)(据)(有)(关)(法)(律)(法)(规)(,基)(金)(资)(产)(净)(值)(计)(算)(和)(基)(金)(会)(计)(核)(算)(的)(义)(务)(由)(基)(金)(管)(理)(人)(承)(担)(。本)(基)(金)(的)(基)(金)(会)(计)(责)(任)(方)(由)(基)(金)(管)(理)(人)(担)(任)(,因)(此)(,就)(与)(本)(基)(金)(有)(关)(的)(会)(计)(问)(题)(,如)(经)(相)(关)(各)(方)(在)(平)(等)(基)(础)(上)(充)(分)(讨)(论)(后)(,仍)(无)(法)(达)(成)(一)(致)(意)(见)(的)(,按)(照)(基)(金)(管)(理)(人)(对)(基)(金)(资)(产)(净)(值)(的)(计)(算)(结)(果)(对)(外)(予)(以)(公)(布)(。
(二)()基)(金)(资)(产)(估)(值)(方)(法)(和)(特)(殊)(情)(形)(的)(处)(理)(
1.估)(值)(对)(象)(
基)(金)(所)(拥)(有)(的)(债)(券)(和)(银)(行)(存)(款)(本)(息)(、应)(收)(款)(项)(、其)(它)(投)(资)(等)(资)(产)(及)(负)(债)(。
2.估)(值)(方)(法)((1)证)(券)(交)(易)(所)(上)(市)(的)(有)(价)(证)(券)(的)(估)(值)(
1)交)(易)(所)(上)(市)(交)(易)(或)(挂)(牌)(转)(让)(的)(固)(定)(收)(益)(品)(种)((基)(金)(合)(同)(另)(有)(规)(定)(的)(除)(外)(),选)(取)(估)(值)(日)(第)(三)(方)(估)(值)(机)(构)(提)(供)(的)(相)(应)(品)(种)(对)(应)(的)(估)(值)(净)(价)(估)(值)(,具)(体)(估)(值)(机)(构)(由)(基)(金)(管)(理)(人)(与)(基)(金)(托)(管)(人)(另)(行)(协)(商)(约)(定)(;
2)交)(易)(所)(上)(市)(不)(存)(在)(活)(跃)(市)(场)(的)(有)(价)(证)(券)(,采)(用)(估)(值)(技)(术)(确)(定)(公)(允)(价)(值)(。交)(易)(所)(上)(市)(的)(资)(产)(支)(持)(证)(券)(,采)(用)(估)(值)(技)(术)(确)(定)(公)(允)(价)(值)(,在)(估)(值)(技)(术)(难)(以)(可)(靠)(计)(量)(公)(允)(价)(值)(的)(情)(况)(下)(,按)(成)(本)(估)(值)(。
(2)首)(次)(公)(开)(发)(行)(未)(上)(市)(的)(债)(券)(,采)(用)(估)(值)(技)(术)(确)(定)(公)(允)(价)(值)(,在)(估)(值)(技)(术)(难)(以)(可)(靠)(计)(量)(公)(允)(价)(值)(的)(情)(况)(下)(,按)(成)(本)(估)(值)(。
(3)全)(国)(银)(行)(间)(债)(券)(市)(场)(交)(易)(的)(债)(券)(等)(固)(定)(收)(益)(品)(种)(,选)(取)(第)(三)(方)(估)(值)(机)(构)(提)(供)(的)(相)(应)(品)(种)(当)(日)(的)(估)(值)(净)(价)(确)(定)(公)(允)(价)(值)(。
(4)资)(产)(支)(持)(证)(券)(采)(用)(估)(值)(技)(术)(确)(定)(公)(允)(价)(值)(。
(5)同)(一)(债)(券)(同)(时)(在)(两)(个)(或)(两)(个)(以)(上)(市)(场)(交)(易)(的)(,按)(债)(券)(所)(处)(的)(市)(场)(分)(别)(估)(值)(。
(6)当)(发)(生)(大)(额)(申)(购)(或)(赎)(回)(情)(形)(时)(,基)(金)(管)(理)(人)(可)(以)(采)(用)(摆)(动)(定)(价)(机)(制)(,以)(确)(保)(基)(金)(估)(值)(的)(公)(平)(性)(。
(7)如)(有)(确)(凿)(证)(据)(表)(明)(按)(上)(述)(方)(法)(进)(行)(估)(值)(不)(能)(客)(观)(反)(映)(其)(公)(允)(价)(值)(的)(,基)(金)(管)(理)(人)(可)(根)(据)(具)(体)(情)(况)(与)(基)(金)(托)(管)(人)(商)(定)(后)(,按)(最)(能)(反)(映)(公)(允)(价)(值)(的)(价)(格)(估)(值)(。
(8)相)(关)(法)(律)(法)(规)(以)(及)(监)(管)(部)(门)(有)(强)(制)(规)(定)(的)(,从)(其)(规)(定)(。如)(有)(新)(增)(事)(项)(,按)(国)(家)(最)(新)(规)(定)(估)(值)(。
如)(基)(金)(管)(理)(人)(或)(基)(金)(托)(管)(人)(发)(现)(基)(金)(估)(值)(违)(反)(基)(金)(合)(同)(订)(明)(的)(估)(值)(方)(法)(、程)(序)(及)(相)(关)(法)(律)(法)(规)(的)(规)(定)(或)(者)(未)(能)(充)(分)(维)(护)(基)(金)(份)(额)(持)(有)(人)(利)(益)(时)(,应)(立)(即)(通)(知)(对)(方)(,共)(同)(查)(明)(原)(因)(,双)(方)(协)(商)(解)(决)(。
根)(据)(有)(关)(法)(律)(法)(规)(,基)(金)(资)(产)(净)(值)(计)(算)(和)(基)(金)(会)(计)(核)(算)(的)(义)(务)(由)(基)(金)(管)(理)(人)(承)(担)(。本)(基)(金)(的)(基)(金)(会)(计)(责)(任)(方)(由)(基)(金)(管)(理)(人)(担)(任)(,因)(此)(,就)(与)(本)(基)(金)(有)(关)(的)(会)(计)(问)(题)(,如)(经)(相)(关)(各)(方)(在)(平)(等)(基)(础)(上)(充)(分)(讨)(论)(后)(,仍)(无)(法)(达)(成)(一)(致)(的)(意)(见)(,按)(照)(基)(金)(管)(理)(人)(对)(基)(金)(资)(产)(净)(值)(的)(计)(算)(结)(果)(对)(外)(予)(以)(公)(布)(。
3.特)(殊)(情)(形)(的)(处)(理)(
基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(按)(估)(值)(方)(法)(的)(第)((7)项)(条)(款)(进)(行)(估)(值)(时)(,所)(造)(成)(的)(误)(差)(不)(作)(为)(基)(金)(份)(额)(净)(值)(错)(误)(处)(理)(。
由)(于)(不)(可)(抗)(力)(原)(因)(,或)(由)(于)(证)(券)(交)(易)(所)(、登)(记)(结)(算)(公)(司)(等)(第)(三)(方)(机)(构)(发)(送)(的)(数)(据)(错)(误)(等)(原)(因)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(虽)(然)(已)(经)(采)(取)(必)(要)(、适)(当)(、合)(理)(的)(措)(施)(进)(行)(检)(查)(,但)(是)(未)(能)(发)(现)(该)(错)(误)(的)(,由)(此)(造)(成)(的)(基)(金)(资)(产)(估)(值)(错)(误)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(免)(除)(赔)(偿)(责)(任)(。但)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(应)(当)(积)(极)(采)(取)(必)(要)(的)(措)(施)(消)(除)(或)(减)(轻)(由)(此)(造)(成)(的)(影)(响)(。
(三)()基)(金)(份)(额)(净)(值)(错)(误)(的)(处)(理)(方)(式)(
1.当)(基)(金)(份)(额)(净)(值)(小)(数)(点)(后)(4位)(以)(内)((含)(第)(4位)()发)(生)(差)(错)(时)(,视)(为)(基)(金)(份)(额)(净)(值)(错)(误)(;基)(金)(份)(额)(净)(值)(出)(现)(错)(误)(时)(,基)(金)(管)(理)(人)(应)(当)(立)(即)(予)(以)(纠)(正)(,通)(报)(基)(金)(托)(管)(人)(,并)(采)(取)(合)(理)(的)(措)(施)(防)(止)(损)(失)(进)(一)(步)(扩)(大)(;错)(误)(偏)(差)(达)(到)(基)(金)(份)(额)(净)(值)(的)(0.25%时)(,基)(金)(管)(理)(人)(应)(当)(通)(报)(基)(金)(托)(管)(人)(并)(报)(中)(国)(证)(监)(会)(备)(案)(;错)(误)(偏)(差)(达)(到)(基)(金)(份)(额)(净)(值)(的)(0.50%时)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(应)(当)(公)(告)(。
2.当)(基)(金)(份)(额)(净)(值)(计)(算)(差)(错)(给)(基)(金)(和)(基)(金)(份)(额)(持)(有)(人)(造)(成)(损)(失)(需)(要)(进)(行)(赔)(偿)(时)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(应)(根)(据)(实)(际)(情)(况)(界)(定)(双)(方)(承)(担)(的)(责)(任)(并)(进)(行)(赔)(偿)(。
3.基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(由)(于)(各)(自)(技)(术)(系)(统)(设)(置)(而)(产)(生)(的)(净)(值)(计)(算)(尾)(差)(,以)(基)(金)(管)(理)(人)(计)(算)(结)(果)(为)(准)(。
4.前)(述)(内)(容)(如)(法)(律)(法)(规)(或)(监)(管)(机)(关)(另)(有)(规)(定)(的)(,从)(其)(规)(定)(处)(理)(。如)(果)(行)(业)(另)(有)(通)(行)(做)(法)(,双)(方)(当)(事)(人)(应)(本)(着)(平)(等)(和)(保)(护)(基)(金)(份)(额)(持)(有)(人)(利)(益)(的)(原)(则)(进)(行)(协)(商)(。
(四)()暂)(停)(估)(值)(的)(情)(形)(
1.基)(金)(投)(资)(所)(涉)(及)(的)(证)(券)(交)(易)(市)(场)(遇)(法)(定)(节)(假)(日)(或)(因)(其)(他)(原)(因)(暂)(停)(营)(业)(时)(;
2.因)(不)(可)(抗)(力)(或)(其)(他)(情)(形)(致)(使)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(无)(法)(准)(确)(评)(估)(基)(金)(资)(产)(价)(值)(时)(;
3.当)(前)(一)(估)(值)(日)(基)(金)(资)(产)(净)(值)(50%以)(上)(的)(资)(产)(出)(现)(无)(可)(参)(考)(的)(活)(跃)(市)(场)(价)(格)(且)(采)(用)(估)(值)(技)(术)(仍)(导)(致)(公)(允)(价)(值)(存)(在)(重)(大)(不)(确)(定)(性)(时)(,经)(与)(基)(金)(托)(管)(人)(协)(商)(一)(致)(的)(,应)(当)(暂)(停)(估)(值)(;
4.法)(律)(法)(规)(规)(定)(、中)(国)(证)(监)(会)(和)(基)(金)(合)(同)(认)(定)(的)(其)(它)(情)(形)(。
(五)()基)(金)(会)(计)(制)(度)(
按)(国)(家)(有)(关)(部)(门)(规)(定)(的)(会)(计)(制)(度)(执)(行)(。
(六)()基)(金)(账)(册)(的)(建)(立)(
基)(金)(管)(理)(人)(进)(行)(基)(金)(会)(计)(核)(算)(并)(编)(制)(基)(金)(财)(务)(会)(计)(报)(告)(。基)(金)(管)(理)(人)(独)(立)(地)(设)(置)(、记)(录)(和)(保)(管)(本)(基)(金)(的)(全)(套)(账)(册)(。若)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(对)(会)(计)(处)(理)(方)(法)(存)(在)(分)(歧)(,应)(以)(基)(金)(管)(理)(人)(的)(处)(理)(方)(法)(为)(准)(。若)(当)(日)(核)(对)(不)(符)(,暂)(时)(无)(法)(查)(找)(到)(错)(账)(的)(原)(因)(而)(影)(响)(到)(基)(金)(资)(产)(净)(值)(的)(计)(算)(和)(公)(告)(的)(,以)(基)(金)(管)(理)(人)(的)(账)(册)(为)(准)(。
(七)()基)(金)(财)(务)(报)(表)(与)(报)(告)(的)(编)(制)(和)(复)(核)(
1.财)(务)(报)(表)(的)(编)(制)(
基)(金)(财)(务)(报)(表)(由)(基)(金)(管)(理)(人)(编)(制)(,基)(金)(托)(管)(人)(复)(核)(。
2.报)(表)(复)(核)(
基)(金)(托)(管)(人)(在)(收)(到)(基)(金)(管)(理)(人)(编)(制)(的)(基)(金)(财)(务)(报)(表)(后)(,进)(行)(独)(立)(的)(复)(核)(。核)(对)(不)(符)(时)(,应)(及)(时)(通)(知)(基)(金)(管)(理)(人)(共)(同)(查)(出)(原)(因)(,进)(行)(调)(整)(,直)(至)(双)(方)(数)(据)(完)(全)(一)(致)(。
3.财)(务)(报)(表)(的)(编)(制)(与)(复)(核)(时)(间)(安)(排)((1)报)(表)(的)(编)(制)(
基)(金)(管)(理)(人)(应)(当)(在)(每)(月)(结)(束)(后)(5个)(工)(作)(日)(内)(完)(成)(月)(度)(报)(表)(的)(编)(制)(;在)(每)(个)(季)(度)(结)(束)(之)(日)(起)(15个)(工)(作)(日)(内)(完)(成)(基)(金)(季)(度)(报)(告)(的)(编)(制)(;在)(上)(半)(年)(结)(束)(之)(日)(起)(60日)(内)(完)(成)(基)(金)(半)(年)(度)(报)(告)(的)(编)(制)(;在)(每)(年)(结)(束)(之)(日)(起)(90日)(内)(完)(成)(基)(金)(年)(度)(报)(告)(的)(编)(制)(。基)(金)(年)(度)(报)(告)(的)(财)(务)(会)(计)(报)(告)(应)(当)(经)(过)(审)(计)(。基)(金)(合)(同)(生)(效)(不)(足)(两)(个)(月)(的)(,基)(金)(管)(理)(人)(可)(以)(不)(编)(制)(当)(期)(季)(度)(报)(告)(、半)(年)(度)(报)(告)(或)(者)(年)(度)(报)(告)(。
(2)报)(表)(的)(复)(核)(
基)(金)(管)(理)(人)(应)(及)(时)(完)(成)(报)(表)(编)(制)(,将)(有)(关)(报)(表)(提)(供)(基)(金)(托)(管)(人)(复)(核)(;基)(金)(托)(管)(人)(在)(复)(核)(过)(程)(中)(,发)(现)(双)(方)(的)(报)(表)(存)(在)(不)(符)(时)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(应)(共)(同)(查)(明)(原)(因)(,进)(行)(调)(整)(,调)(整)(以)(国)(家)(有)(关)(规)(定)(为)(准)(。
基)(金)(管)(理)(人)(应)(留)(足)(充)(分)(的)(时)(间)(,便)(于)(基)(金)(托)(管)(人)(复)(核)(相)(关)(报)(表)(及)(报)(告)(。
六)(、基)(金)(份)(额)(持)(有)(人)(名)(册)(的)(保)(管)(
基)(金)(份)(额)(持)(有)(人)(名)(册)(至)(少)(应)(包)(括)(基)(金)(份)(额)(持)(有)(人)(的)(名)(称)(和)(持)(有)(的)(基)(金)(份)(额)(。基)(金)(份)(额)(持)(有)(人)(名)(册)(由)(基)(金)(登)(记)(机)(构)(根)(据)(基)(金)(管)(理)(人)(的)(指)(令)(编)(制)(和)(保)(管)(.基)(金)(管)(理)(人)(应)(定)(期)(向)(基)(金)(托)(管)(人)(提)(供)(基)(金)(份)(额)(持)(有)(人)(名)(册)(,基)(金)(托)(管)(人)(得)(到)(基)(金)(管)(理)(人)(提)(供)(的)(持)(有)(人)(名)(册)(后)(与)(基)(金)(管)(理)(人)(分)(别)(进)(行)(保)(管)(。保)(管)(方)(式)(可)(以)(采)(用)(电)(子)(或)(文)(档)(的)(形)(式)(,保)(存)(期)(不)(少)(于)(15年)(。如)(不)(能)(妥)(善)(保)(管)(,则)(按)(相)(关)(法)(规)(承)(担)(责)(任)(。法)(律)(法)(规)(另)(有)(规)(定)(或)(有)(权)(机)(关)(另)(有)(要)(求)(的)(除)(外)(。
基)(金)(托)(管)(人)(因)(编)(制)(基)(金)(定)(期)(报)(告)(等)(合)(理)(原)(因)(要)(求)(基)(金)(管)(理)(人)(提)(供)(相)(关)(资)(料)(时)(,基)(金)(管)(理)(人)(应)(将)(有)(关)(资)(料)(送)(交)(基)(金)(托)(管)(人)(,不)(得)(无)(故)(拒)(绝)(或)(延)(误)(提)(供)(,并)(保)(证)(其)(真)(实)(性)(、准)(确)(性)(和)(完)(整)(性)(。基)(金)(托)(管)(人)(不)(得)(将)(所)(保)(管)(的)(基)(金)(份)(额)(持)(有)(人)(名)(册)(用)(于)(基)(金)(托)(管)(业)(务)(以)(外)(的)(其)(他)(用)(途)(,并)(应)(遵)(守)(保)(密)(义)(务)(。
七)(、争)(议)(解)(决)(方)(式)(
各)(方)(当)(事)(人)(同)(意)(,因)(《托)(管)(协)(议)(》而)(产)(生)(的)(或)(与)(《托)(管)(协)(议)(》有)(关)(的)(一)(切)(争)(议)(,如)(不)(愿)(或)(者)(不)(能)(通)(过)(协)(商)(、调)(解)(解)(决)(的)(,任)(何)(一)(方)(均)(有)(权)(将)(争)(议)(提)(交)(中)(国)(国)(际)(经)(济)(贸)(易)(仲)(裁)(委)(员)(会)(,根)(据)(该)(会)(当)(时)(有)(效)(的)(仲)(裁)(规)(则)(进)(行)(仲)(裁)(,仲)(裁)(的)(地)(点)(在)(北)(京)(市)(,仲)(裁)(裁)(决)(是)(终)(局)(的)(,并)(对)(相)(关)(各)(方)(当)(事)(人)(均)(有)(约)(束)(力)(。除)(非)(仲)(裁)(裁)(决)(另)(有)(决)(定)(,仲)(裁)(费)(用)(、律)(师)(费)(用)(由)(败)(诉)(方)(承)(担)(。
争)(议)(处)(理)(期)(间)(,双)(方)(当)(事)(人)(应)(恪)(守)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(职)(责)(,各)(自)(继)(续)(忠)(实)(、勤)(勉)(、尽)(责)(地)(履)(行)(基)(金)(合)(同)(和)(本)(托)(管)(协)(议)(规)(定)(的)(义)(务)(,维)(护)(基)(金)(份)(额)(持)(有)(人)(的)(合)(法)(权)(益)(。
本)(协)(议)(受)(中)(国)(法)(律)((为)(本)(协)(议)(之)(目)(的)(,在)(此)(不)(包)(括)(香)(港)(、澳)(门)(特)(别)(行)(政)(区)(和)(台)(湾)(地)(区)(法)(律)()管)(辖)(,并)(按)(其)(解)(释)(。
八)(、托)(管)(协)(议)(的)(变)(更)(、终)(止)(与)(基)(金)(财)(产)(的)(清)(算)((一)()托)(管)(协)(议)(的)(变)(更)(程)(序)(
本)(协)(议)(双)(方)(当)(事)(人)(经)(协)(商)(一)(致)(,可)(以)(对)(协)(议)(进)(行)(修)(改)(。修)(改)(后)(的)(新)(协)(议)(,其)(内)(容)(不)(得)(与)(基)(金)(合)(同)(的)(规)(定)(有)(任)(何)(冲)(突)(。基)(金)(托)(管)(协)(议)(的)(变)(更)(报)(中)(国)(证)(监)(会)(备)(案)(。
(二)()基)(金)(托)(管)(协)(议)(终)(止)(出)(现)(的)(情)(形)(
1.基)(金)(合)(同)(终)(止)(;
2.基)(金)(托)(管)(人)(解)(散)(、依)(法)(被)(撤)(销)(、破)(产)(或)(由)(其)(他)(基)(金)(托)(管)(人)(接)(管)(基)(金)(资)(产)(;
3.基)(金)(管)(理)(人)(解)(散)(、依)(法)(被)(撤)(销)(、破)(产)(或)(由)(其)(他)(基)(金)(管)(理)(人)(接)(管)(基)(金)(管)(理)(权)(;
4.发)(生)(法)(律)(法)(规)(或)(基)(金)(合)(同)(规)(定)(的)(终)(止)(事)(项)(。
(三)()基)(金)(财)(产)(的)(清)(算)(
1.基)(金)(财)(产)(清)(算)(小)(组)((1)自)(出)(现)(基)(金)(合)(同)(终)(止)(事)(由)(之)(日)(起)(30个)(工)(作)(日)(内)(成)(立)(清)(算)(小)(组)(,基)(金)(管)(理)(人)(组)(织)(基)(金)(财)(产)(清)(算)(小)(组)(在)(中)(国)(证)(监)(会)(的)(监)(督)(下)(进)(行)(基)(金)(清)(算)(。
(2)基)(金)(财)(产)(清)(算)(小)(组)(成)(员)(由)(基)(金)(管)(理)(人)(、基)(金)(托)(管)(人)(、具)(有)(从)(事)(证)(券)(相)(关)(业)(务)(资)(格)(的)(注)(册)(会)(计)(师)(、律)(师)(以)(及)(中)(国)(证)(监)(会)(指)(定)(的)(人)(员)(组)(成)(。基)(金)(财)(产)(清)(算)(小)(组)(可)(以)(聘)(用)(必)(要)(的)(工)(作)(人)(员)(。
(3)在)(基)(金)(财)(产)(清)(算)(过)(程)(中)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(应)(各)(自)(履)(行)(职)(责)(,继)(续)(忠)(实)(、勤)(勉)(、尽)(责)(地)(履)(行)(基)(金)(合)(同)(和)(本)(托)(管)(协)(议)(规)(定)(的)(义)(务)(,维)(护)(基)(金)(份)(额)(持)(有)(人)(的)(合)(法)(权)(益)(。
(4)基)(金)(财)(产)(清)(算)(小)(组)(负)(责)(基)(金)(财)(产)(的)(保)(管)(、清)(理)(、估)(价)(、变)(现)(和)(分)(配)(。基)(金)(财)(产)(清)(算)(小)(组)(可)(以)(依)(法)(进)(行)(必)(要)(的)(民)(事)(活)(动)(。
2.基)(金)(财)(产)(清)(算)(程)(序)((1)《基)(金)(合)(同)(》终)(止)(情)(形)(出)(现)(时)(,由)(基)(金)(财)(产)(清)(算)(小)(组)(统)(一)(接)(管)(基)(金)(财)(产)(;
(2)对)(基)(金)(财)(产)(和)(债)(权)(债)(务)(进)(行)(清)(理)(和)(确)(认)(;
(3)对)(基)(金)(财)(产)(进)(行)(估)(值)(和)(变)(现)(;
(4)制)(作)(清)(算)(报)(告)(;
(5)聘)(请)(会)(计)(师)(事)(务)(所)(对)(清)(算)(报)(告)(进)(行)(外)(部)(审)(计)(,聘)(请)(律)(师)(事)(务)(所)(对)(清)(算)(报)(告)(出)(具)(法)(律)(意)(见)(书)(;
(6)将)(清)(算)(报)(告)(报)(中)(国)(证)(监)(会)(备)(案)(并)(公)(告)(;
(7)对)(基)(金)(剩)(余)(财)(产)(进)(行)(分)(配)(。
3.基)(金)(财)(产)(清)(算)(的)(期)(限)(为)(6个)(月)(,但)(因)(本)(基)(金)(所)(持)(证)(券)(的)(流)(动)(性)(受)(到)(限)(制)(而)(不)(能)(及)(时)(变)(现)(的)(,清)(算)(期)(限)(可)(相)(应)(顺)(延)(。
4.清)(算)(费)(用)(
清)(算)(费)(用)(是)(指)(基)(金)(财)(产)(清)(算)(小)(组)(在)(进)(行)(基)(金)(财)(产)(清)(算)(过)(程)(中)(发)(生)(的)(所)(有)(合)(理)(费)(用)(,清)(算)(费)(用)(由)(基)(金)(财)(产)(清)(算)(小)(组)(优)(先)(从)(基)(金)(剩)(余)(财)(产)(中)(支)(付)(。
5.基)(金)(财)(产)(按)(下)(列)(顺)(序)(清)(偿)(:
(1)支)(付)(清)(算)(费)(用)(;
(2)交)(纳)(所)(欠)(税)(款)(;
(3)清)(偿)(基)(金)(债)(务)(;
(4)按)(基)(金)(份)(额)(持)(有)(人)(持)(有)(的)(基)(金)(份)(额)(比)(例)(进)(行)(分)(配)(。
基)(金)(财)(产)(未)(按)(前)(款)((1)-(3)项)(规)(定)(清)(偿)(前)(,不)(分)(配)(给)(基)(金)(份)(额)(持)(有)(人)(。
6.基)(金)(财)(产)(清)(算)(的)(公)(告)(
清)(算)(过)(程)(中)(的)(有)(关)(重)(大)(事)(项)(须)(及)(时)(公)(告)(;基)(金)(财)(产)(清)(算)(结)(果)(经)(会)(计)(师)(事)(务)(所)(审)(计)(并)(由)(律)(师)(事)(务)(所)(出)(具)(法)(律)(意)(见)(书)(后)(报)(中)(国)(证)(监)(会)(备)(案)(并)(公)(告)(。基)(金)(财)(产)(清)(算)(公)(告)(于)(基)(金)(财)(产)(清)(算)(报)(告)(报)(中)(国)(证)(监)(会)(备)(案)(后)(5个)(工)(作)(日)(内)(由)(基)(金)(财)(产)(清)(算)(小)(组)(进)(行)(公)(告)(。
7.基)(金)(财)(产)(清)(算)(账)(册)(及)(文)(件)(的)(保)(存)(
基)(金)(财)(产)(清)(算)(账)(册)(及)(有)(关)(文)(件)(由)(基)(金)(托)(管)(人)(保)(存)(15年)(以)(上)(。
第)(二)(十)(部)(分)(对)(基)(金)(份)(额)(持)(有)(人)(的)(服)(务)(
对)(本)(基)(金)(份)(额)(持)(有)(人)(的)(服)(务)(主)(要)(由)(基)(金)(管)(理)(人)(、基)(金)(销)(售)(机)(构)(提)(供)(。基)(金)(管)(理)(人)(承)(诺)(为)(基)(金)(份)(额)(持)(有)(人)(提)(供)(一)(系)(列)(的)(服)(务)(,根)(据)(基)(金)(份)(额)(持)(有)(人)(的)(需)(要)(和)(市)(场)(的)(变)(化)(,有)(权)(增)(加)(和)(修)(改)(服)(务)(项)(目)(,主)(要)(提)(供)(的)(服)(务)(内)(容)(如)(下)(:
一)(、持)(有)(人)(交)(易)(资)(料)(的)(寄)(送)(服)(务)(
1、交)(易)(确)(认)(单)(
基)(金)(合)(同)(生)(效)(后)(,每)(次)(交)(易)(结)(束)(后)(,对)(T日)(提)(交)(的)(有)(效)(申)(请)(,投)(资)(者)(可)(在)(T+2个)(工)(作)(日)(后)(通)(过)(销)(售)(机)(构)(的)(网)(点)(或)(以)(销)(售)(机)(构)(规)(定)(的)(其)(他)(方)(式)(查)(询)(和)(打)(印)(交)(易)(确)(认)(单)(,或)(在)(T+1个)(工)(作)(日)(后)(通)(过)(博)(时)(一)(线)(通)(电)(话)(、博)(时)(网)(站)(查)(询)(交)(易)(确)(认)(情)(况)(。基)(金)(管)(理)(人)(不)(向)(投)(资)(者)(寄)(送)(交)(易)(确)(认)(单)(。
2、纸)(质)(对)(账)(单)(
根)(据)(客)(户)(需)(要)(,博)(时)(基)(金)(向)(投)(资)(人)(提)(供)(纸)(质)(账)(单)(寄)(送)(服)(务)(。每)(季)(度)(结)(束)(后)(10个)(工)(作)(日)(内)(,基)(金)(管)(理)(人)(向)(本)(季)(度)(有)(交)(易)(的)(投)(资)(者)(寄)(送)(纸)(质)(对)(账)(单)(;每)(年)(度)(结)(束)(后)(15个)(工)(作)(日)(内)(,基)(金)(管)(理)(人)(向)(所)(有)(持)(有)(本)(基)(金)(份)(额)(的)(投)(资)(者)(寄)(送)(纸)(质)(对)(账)(单)(。
3、电)(子)(对)(账)(单)(
每)(月)(结)(束)(后)(,基)(金)(管)(理)(人)(向)(所)(有)(订)(阅)(电)(子)(邮)(件)(对)(账)(单)(的)(投)(资)(者)(发)(送)(电)(子)(邮)(件)(对)(账)(单)(。
投)(资)(者)(可)(以)(登)(录)(基)(金)(管)(理)(人)(网)(站)((http://www.bosera.com)自)(助)(订)(阅)(;或)(发)(送)(“订)(阅)(电)(子)(对)(账)(单)(”邮)(件)(到)(客)(服)(邮)(箱)(service@bosera.com;也)(可)(直)(接)(拨)(打)(博)(时)(一)(线)(通)(95105568(免)(长)(途)(话)(费)()订)(阅)(。
4、由)(于)(投)(资)(者)(提)(供)(的)(邮)(寄)(地)(址)(、手)(机)(号)(码)(、电)(子)(邮)(箱)(不)(详)(、错)(误)(、未)(及)(时)(变)(更)(或)(邮)(局)(投)(递)(差)(错)(、通)(讯)(故)(障)(、延)(误)(等)(原)(因)(有)(可)(能)(造)(成)(对)(账)(单)(无)(法)(按)(时)(或)(准)(确)(送)(达)(。因)(上)(述)(原)(因)(无)(法)(正)(常)(收)(取)(对)(账)(单)(的)(投)(资)(者)(,敬)(请)(及)(时)(通)(过)(本)(基)(金)(管)(理)(人)(网)(站)(,或)(拨)(打)(博)(时)(一)(线)(通)(客)(服)(电)(话)(查)(询)(、核)(对)(、变)(更)(您)(的)(预)(留)(联)(系)(方)(式)(。
二)(、网)(上)(理)(财)(服)(务)(
通)(过)(基)(金)(管)(理)(人)(网)(站)(,投)(资)(者)(可)(获)(得)(如)(下)(服)(务)(:
1、自)(助)(开)(户)(交)(易)(
投)(资)(者)(可)(登)(录)(基)(金)(管)(理)(人)(网)(站)(网)(上)(交)(易)(系)(统)(,与)(基)(金)(管)(理)(人)(达)(成)(电)(子)(交)(易)(的)(相)(关)(协)(议)(,接)(受)(基)(金)(管)(理)(人)(有)(关)(服)(务)(条)(款)(并)(办)(理)(相)(关)(手)(续)(后)(,即)(可)(自)(助)(开)(户)(并)(进)(行)(网)(上)(交)(易)(,如)(基)(金)(认)(/申)(购)(、定)(投)(、转)(换)(、赎)(回)(、赎)(回)(转)(申)(购)(及)(分)(红)(方)(式)(变)(更)(等)(。具)(体)(业)(务)(办)(理)(情)(况)(及)(业)(务)(规)(则)(请)(登)(录)(基)(金)(管)(理)(人)(网)(站)(查)(询)(。
2、查)(询)(服)(务)(
投)(资)(者)(可)(以)(通)(过)(基)(金)(管)(理)(人)(网)(站)(查)(询)(所)(持)(有)(基)(金)(的)(基)(金)(份)(额)(、交)(易)(记)(录)(等)(信)(息)(,同)(时)(可)(以)(修)(改)(基)(金)(账)(户)(信)(息)(等)(基)(本)(资)(料)(。
3、信)(息)(资)(讯)(服)(务)(
投)(资)(者)(可)(以)(利)(用)(基)(金)(管)(理)(人)(网)(站)(获)(取)(基)(金)(和)(基)(金)(管)(理)(人)(各)(类)(信)(息)(,包)(括)(基)(金)(法)(律)(文)(件)(、基)(金)(管)(理)(人)(最)(新)(动)(态)(、热)(点)(问)(题)(等)(。
4、在)(线)(客)(服)(
投)(资)(者)(可)(以)(通)(过)(基)(金)(管)(理)(人)(网)(站)(返)(回)(搜)(狐)(,查)(看)(更)(多)(
责)(任)(编)(辑)(:
)


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