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信达澳银领先增长混合型证券投资基金招募说明书(更新)摘要

来源: 南方日报网络版     时间: 2020年02月19日 12:57:27
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(联)(系)(人)(:郑)(妍)(
经)(营)(范)(围)(:基)(金)(募)(集)(、基)(金)(销)(售)(、资)(产)(管)(理)(和)(中)(国)(证)(监)(会)(许)(可)(的)(其)(他)(业)(务)(
组)(织)(形)(式)(:有)(限)(责)(任)(公)(司)(
注)(册)(资)(本)(:壹)(亿)(元)(人)(民)(币)(
股)(本)(结)(构)(:信)(达)(证)(券)(股)(份)(有)(限)(公)(司)(出)(资)(5400万)(元)(,占)(公)(司)(总)(股)(本)(的)(54%;康)(联)(首)(域)(集)(团)(有)(限)(公)(司)((ColonialFirstStateGroupLimited)出)(资)(4600万)(元)(,占)(公)(司)(总)(股)(本)(的)(46%
存)(续)(期)(间)(:持)(续)(经)(营)((二)()主)(要)(人)(员)(情)(况)(
1、董)(事)(、监)(事)(、高)(级)(管)(理)(人)(员)(
董)(事)(:
于)(帆)(先)(生)(,董)(事)(长)(,毕)(业)(于)(厦)(门)(大)(学)(法)(律)(系)(。1987年)(7月)(至)(1988年)(10月)(任)(化)(工)(部)(管)(理)(干)(部)(学)(院)(经)(济)(系)(法)(学)(教)(师)(,1988年)(10月)(至)(1999年)(6月)(任)(中)(国)(信)(达)(信)(托)(投)(资)(公)(司)(部)(门)(副)(总)(经)(理)(、部)(门)(总)(经)(理)(,1999年)(6月)(至)(2000年)(9月)(任)(中)(国)(信)(达)(资)(产)(管)(理)(公)(司)(债)(权)(管)(理)(部)(高)(级)(经)(理)(,2000年)(9月)(至)(2007年)(9月)(任)(宏)(源)(证)(券)(股)(份)(有)(限)(公)(司)(董)(事)(会)(秘)(书)(、副)(总)(经)(理)(,2007年)(9月)(至)(2011年)(10月)(任)(信)(达)(证)(券)(股)(份)(有)(限)(公)(司)(党)(委)(委)(员)(、董)(事)(会)(秘)(书)(、副)(总)(经)(理)(、常)(务)(副)(总)(经)(理)(,2011年)(10月)(至)(2013年)(8月)(任)(中)(国)(信)(达)(资)(产)(管)(理)(公)(司)(投)(融)(资)(业)(务)(部)(总)(经)(理)(,2013年)(8月)(至)(今)(任)(信)(达)(证)(券)(股)(份)(有)(限)(公)(司)(董)(事)(、总)(经)(理)(。2014年)(9月)(16日)(起)(兼)(任)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(董)(事)(长)(。
施)(普)(敦)((MichaelStapleton)先)(生)(,副)(董)(事)(长)(,澳)(大)(利)(亚)(墨)(尔)(本)(Monash大)(学)(经)(济)(学)(学)(士)(。1996年)(至)(1998年)(担)(任)(JP摩)(根)(投)(资)(管)(理)(有)(限)(公)(司)((澳)(大)(利)(亚)()机)(构)(客)(户)(经)(理)(,1998年)(加)(入)(康)(联)(首)(域)(投)(资)(有)(限)(公)(司)(机)(构)(业)(务)(开)(发)(部)(门)(,负)(责)(澳)(大)(利)(亚)(机)(构)(客)(户)(销)(售)(和)(关)(系)(管)(理)(,2002年)(加)(入)(首)(域)(投)(资)(国)(际)((伦)(敦)(),历)(任)(机)(构)(销)(售)(总)(监)(、机)(构)(业)(务)(开)(发)(主)(管)(,2009年)(6月)(起)(担)(任)(首)(域)(投)(资)(有)(限)(公)(司)((香)(港)()亚)(洲)(及)(日)(本)(区)(域)(董)(事)(总)(经)(理)(。
于)(建)(伟)(先)(生)(,董)(事)(,中)(央)(财)(政)(金)(融)(学)(院)(金)(融)(专)(业)(学)(士)(,东)(北)(财)(经)(大)(学)(EMBA。30年)(证)(券)(从)(业)(经)(历)(,具)(有)(证)(券)(与)(基)(金)(从)(业)(资)(格)(、基)(金)(业)(高)(管)(人)(员)(任)(职)(资)(格)(。1989年)(至)(1996年)(在)(中)(国)(建)(设)(银)(行)(信)(托)(投)(资)(公)(司)(工)(作)(,历)(任)(证)(券)(部)(副)(总)(经)(理)(、深)(圳)(证)(券)(业)(务)(部)(总)(经)(理)(、资)(产)(中)(介)(部)(负)(责)(人)(;1996年)(至)(2000年)(任)(中)(国)(科)(技)(国)(际)(信)(托)(投)(资)(有)(限)(公)(司)(天)(津)(赤)(峰)(道)(证)(券)(营)(业)(部)(总)(经)(理)(;2000年)(至)(2004年)(任)(宏)(源)(证)(券)(有)(限)(公)(司)(北)(京)(北)(洼)(路)(营)(业)(部)(总)(经)(理)(;2004年)(至)(2008年)(任)(宏)(源)(证)(券)(有)(限)(公)(司)(营)(销)(经)(纪)(总)(部)(总)(经)(理)(;2008年)(至)(2013年)(5月)(任)(世)(纪)(证)(券)(有)(限)(公)(司)(副)(总)(裁)(;2013年)(7月)(加)(入)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(,2013年)(8月)(9日)(起)(任)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(总)(经)(理)(兼)(任)(信)(达)(新)(兴)(财)(富)(资)(产)(管)(理)(有)(限)(公)(司)(执)(行)(董)(事)(。
潘)(广)(建)(先)(生)(,英)(国)(伯)(明)(翰)(大)(学)(工)(商)(管)(理)(硕)(士)(,加)(拿)(大)(注)(册)(会)(计)(师)(。曾)(任)(职)(于)(德)(勤)(会)(计)(师)(事)(务)(所)(稽)(核)(部)(、香)(港)(期)(货)(交)(易)(所)(监)(察)(部)(。1997年)(起)(历)(任)(山)(一)(证)(券)(分)(析)(员)(、香)(港)(证)(券)(及)(期)(货)(事)(务)(监)(察)(委)(员)(会)(助)(理)(经)(理)(、香)(港)(强)(制)(性)(公)(积)(金)(计)(划)(管)(理)(局)(经)(理)(、景)(顺)(亚)(洲)(业)(务)(发)(展)(经)(理)(、景)(顺)(长)(城)(基)(金)(管)(理)(公)(司)(财)(务)(总)(监)(、AXA国)(卫)(市)(场)(部)(助)(理)(总)(经)(理)(、银)(联)(信)(托)(有)(限)(公)(司)(市)(场)(及)(产)(品)(部)(主)(管)(。潘)(广)(建)(先)(生)(于)(2007年)(5月)(起)(任)(首)(域)(投)(资)((香)(港)()有)(限)(公)(司)(中)(国)(业)(务)(开)(发)(董)(事)(N&于)(同)(年)(兼)(任)(信)(达)(澳)(银)(基)(金)(管)(理)(公)(司)(监)(事)(至)(2016年)(5月)(13日)(,自)(2016年)(5月)(14日)(起)(,潘)(广)(建)(先)(生)(兼)(任)(信)(达)(澳)(银)(基)(金)(管)(理)(公)(司)(董)(事)(。
孙)(志)(新)(先)(生)(,独)(立)(董)(事)(,山)(西)(财)(经)(学)(院)(财)(政)(金)(融)(学)(学)(士)(,高)(级)(经)(济)(师)(。历)(任)(中)(国)(建)(设)(银)(行)(总)(行)(人)(事)(教)(育)(部)(副)(处)(长)(,总)(行)(教)(育)(部)(副)(主)(任)(,总)(行)(监)(察)(室)(主)(任)(,广)(东)(省)(分)(行)(党)(组)(副)(书)(记)(、副)(行)(长)(,广)(西)(区)(分)(行)(党)(委)(书)(记)(、行)(长)(,总)(行)(人)(力)(资)(源)(部)(总)(经)(理)((党)(委)(组)(织)(部)(部)(长)(),总)(行)(个)(人)(业)(务)(管)(理)(委)(员)(会)(副)(主)(任)(,总)(行)(党)(校)((高)(级)(研)(修)(院)()常)(务)(副)(校)(长)(,总)(行)(人)(力)(资)(源)(部)(总)(经)(理)((党)(委)(组)(织)(部)(部)(长)(),总)(行)(工)(会)(常)(务)(副)(主)(席)(,总)(行)(监)(事)(会)(监)(事)(,于)(2011年)(1月)(退)(休)(。
刘)(颂)(兴)(先)(生)(,独)(立)(董)(事)(,香)(港)(中)(文)(大)(学)(工)(商)(管)(理)(硕)(士)(。历)(任)(W.I.Carr(远)(东)()有)(限)(公)(司)(投)(资)(分)(析)(师)(,霸)(菱)(国)(际)(资)(产)(管)(理)(有)(限)(公)(司)(投)(资)(分)(析)(师)(、投)(资)(经)(理)(,纽)(约)(摩)(根)(担)(保)(信)(托)(公)(司)(Intl投)(资)(管)(理)(副)(经)(理)(,景)(顺)(亚)(洲)(有)(限)(公)(司)(投)(资)(董)(事)(,汇)(丰)(资)(产)(管)(理)((香)(港)()有)(限)(公)(司)((2005年)(5月)(起)(改)(组)(为)(汇)(丰)(卓)(誉)(投)(资)(管)(理)(公)(司)()股)(票)(董)(事)(,中)(银)(保)(诚)(资)(产)(管)(理)(有)(限)(公)(司)(投)(资)(董)(事)(,新)(鸿)(基)(地)(产)(有)(限)(公)(司)(企)(业)(策)(划)(总)(经)(理)(,中)(国)(平)(安)(资)(产)(管)(理)((香)(港)()有)(限)(公)(司)(高)(级)(副)(总)(裁)(兼)(股)(票)(投)(资)(董)(事)(,中)(国)(国)(际)(金)(融)((香)(港)()有)(限)(公)(司)(资)(产)(管)(理)(部)(执)(行)(董)(事)(,SeekersAdvisors(香)(港)()有)(限)(公)(司)(执)(行)(董)(事)(兼)(投)(资)(总)(监)(。2012年)(6月)(19日)(起)(担)(任)(广)(发)(资)(产)(管)(理)((香)(港)()有)(限)(公)(司)(董)(事)(总)(经)(理)(。
刘)(治)(海)(先)(生)(,独)(立)(董)(事)(,全)(国)(律)(师)(协)(会)(公)(司)(法)(专)(业)(委)(员)(会)(委)(员)(,北)(京)(市)(人)(大)(立)(法)(咨)(询)(专)(家)(,中)(国)(政)(法)(大)(学)(法)(学)(硕)(士)(,历)(任)(江)(苏)(省)(盐)(城)(市)(政)(法)(干)(校)(教)(师)(,首)(都)(经)(贸)(大)(学)(经)(济)(系)(讲)(师)(,自)(1993年)(2月)(起)(担)(任)(北)(京)(金)(诚)(同)(达)(律)(师)(事)(务)(所)(高)(级)(合)(伙)(人)(。2015年)(5月)(8日)(起)(兼)(任)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(独)(立)(董)(事)(。
执)(行)(监)(事)(:
郑)(妍)(女)(士)(,中)(国)(农)(业)(大)(学)(管)(理)(学)(硕)(士)(,现)(任)(监)(察)(稽)(核)(部)(总)(监)(。2007年)(5月)(加)(入)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(,历)(任)(客)(户)(服)(务)(部)(副)(总)(经)(理)(、监)(察)(稽)(核)(部)(副)(总)(经)(理)(、监)(察)(稽)(核)(总)(监)(助)(理)(。自)(2015年)(1月)(起)(兼)(任)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(职)(工)(监)(事)(。
高)(级)(管)(理)(人)(员)(:
于)(建)(伟)(先)(生)(,总)(经)(理)(,中)(央)(财)(政)(金)(融)(学)(院)(金)(融)(专)(业)(学)(士)(,东)(北)(财)(经)(大)(学)(EMBA。30年)(证)(券)(从)(业)(经)(历)(,具)(有)(证)(券)(与)(基)(金)(从)(业)(资)(格)(、基)(金)(业)(高)(管)(人)(员)(任)(职)(资)(格)(。1989年)(至)(1996年)(在)(中)(国)(建)(设)(银)(行)(信)(托)(投)(资)(公)(司)(工)(作)(,历)(任)(证)(券)(部)(副)(总)(经)(理)(、深)(圳)(证)(券)(业)(务)(部)(总)(经)(理)(、资)(产)(中)(介)(部)(负)(责)(人)(;1996年)(至)(2000年)(任)(中)(国)(科)(技)(国)(际)(信)(托)(投)(资)(有)(限)(公)(司)(天)(津)(赤)(峰)(道)(证)(券)(营)(业)(部)(总)(经)(理)(;2000年)(至)(2004年)(任)(宏)(源)(证)(券)(有)(限)(公)(司)(北)(京)(北)(洼)(路)(营)(业)(部)(总)(经)(理)(;2004年)(至)(2008年)(任)(宏)(源)(证)(券)(有)(限)(公)(司)(营)(销)(经)(纪)(总)(部)(总)(经)(理)(;2008年)(至)(2013年)(5月)(任)(世)(纪)(证)(券)(有)(限)(公)(司)(副)(总)(裁)(;2013年)(7月)(加)(入)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(,2013年)(8月)(9日)(起)(任)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(总)(经)(理)(兼)(任)(信)(达)(新)(兴)(财)(富)(资)(产)(管)(理)(有)(限)(公)(司)(执)(行)(董)(事)(。
黄)(晖)(女)(士)(,督)(察)(长)(,中)(南)(财)(经)(大)(学)(经)(济)(学)(学)(士)(,加)(拿)(大)(ConcordiaUniversity经)(济)(学)(硕)(士)(。21年)(证)(券)(、基)(金)(从)(业)(经)(历)(,具)(有)(证)(券)(与)(基)(金)(从)(业)(资)(格)(、基)(金)(业)(高)(管)(人)(员)(任)(职)(资)(格)(。1999年)(起)(历)(任)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(研)(究)(部)(分)(析)(师)(、市)(场)(部)(副)(总)(监)(、规)(划)(发)(展)(部)(副)(总)(监)(、机)(构)(理)(财)(部)(总)(监)(等)(职)(务)(,其)(间)(两)(次)(借)(调)(到)(中)(国)(证)(监)(会)(基)(金)(部)(工)(作)(,参)(与)(养)(老)(基)(金)(重)(组)(、首)(批)(开)(放)(式)(基)(金)(评)(审)(等)(工)(作)(。2000-2001年)(参)(与)(英)(国)(政)(府)(“中)(国)(金)(融)(人)(才)(培)(训)(计)(划)(”(FIST项)(目)(),任)(职)(于)(东)(方)(汇)(理)(证)(券)(公)(司)((伦)(敦)()。2005年)(8月)(加)(入)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(,任)(督)(察)(长)(兼)(董)(事)(会)(秘)(书)(。
于)(鹏)(先)(生)(,副)(总)(经)(理)(,中)(国)(人)(民)(大)(学)(经)(济)(学)(学)(士)(。24年)(证)(券)(、基)(金)(从)(业)(经)(历)(,具)(有)(证)(券)(与)(基)(金)(从)(业)(资)(格)(、基)(金)(业)(高)(管)(人)(员)(任)(职)(资)(格)(。历)(任)(中)(国)(建)(设)(银)(行)(总)(行)(信)(托)(投)(资)(公)(司)(证)(券)(总)(部)(驻)(武)(汉)(证)(券)(交)(易)(中)(心)(交)(易)(员)(、计)(划)(财)(务)(部)(会)(计)(、深)(圳)(证)(券)(营)(业)(部)(计)(划)(财)(务)(部)(副)(经)(理)(、经)(理)(;中)(国)(信)(达)(信)(托)(投)(资)(公)(司)(北)(京)(证)(券)(营)(业)(部)(总)(经)(理)(助)(理)(兼)(计)(财)(部)(经)(理)(;宏)(源)(证)(券)(股)(份)(有)(限)(公)(司)(北)(京)(营)(业)(部)(副)(总)(经)(理)(、机)(构)(管)(理)(总)(部)(业)(务)(监)(控)(部)(经)(理)(兼)(清)(算)(中)(心)(经)(理)(、资)(金)(财)(务)(总)(部)(副)(总)(经)(理)(、资)(金)(管)(理)(总)(部)(总)(经)(理)(兼)(客)(户)(资)(金)(存)(管)(中)(心)(总)(经)(理)(等)(职)(务)(。2005年)(10月)(加)(入)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(,历)(任)(财)(务)(总)(监)(、总)(经)(理)(助)(理)(兼)(财)(务)(总)(监)(、副)(总)(经)(理)(。
王)(咏)(辉)(先)(生)(,总)(经)(理)(助)(理)(,英)(国)(牛)(津)(大)(学)(工)(程)(专)(业)(本)(科)(和)(牛)(津)(大)(学)(计)(算)(机)(专)(业)(硕)(士)(,20年)(证)(券)(、基)(金)(从)(业)(经)(验)(。曾)(任)(伦)(敦)(摩)(根)(大)(通)((JPMorgan)投)(资)(基)(金)(管)(理)(公)(司)(分)(析)(员)(、高)(级)(分)(析)(师)(,汇)(丰)(投)(资)(基)(金)(管)(理)(公)(司)((HSBC)高)(级)(分)(析)(师)(,伦)(敦)(巴)(克)(莱)(国)(际)(投)(资)(基)(金)(管)(理)(公)(司)(基)(金)(经)(理)(、部)(门)(负)(责)(人)(,巴)(克)(莱)(资)(本)(公)(司)((BarclaysCapital)部)(门)(负)(责)(人)(,泰)(达)(宏)(利)(基)(金)(管)(理)(公)(司)((ManulifeTeda)国)(际)(投)(资)(部)(负)(责)(人)(、量)(化)(投)(资)(与)(金)(融)(工)(程)(部)(负)(责)(人)(、基)(金)(经)(理)(,鹏)(华)(基)(金)(管)(理)(有)(限)(公)(司)(量)(化)(及)(衍)(生)(品)(投)(资)(部)(总)(经)(理)(、资)(产)(配)(置)(与)(基)(金)(投)(资)(部)(总)(监)(、基)(金)(经)(理)(兼)(投)(资)(决)(策)(委)(员)(会)(委)(员)(等)(职)(务)(。2017年)(10月)(加)(入)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(,任)(总)(经)(理)(助)(理)(兼)(投)(资)(总)(监)(。王)(咏)(辉)(先)(生)(具)(备)(基)(金)(从)(业)(资)(格)(,英)(国)(基)(金)(经)(理)(从)(业)(资)(格)((IMC),英)(国)(IET颁)(发)(的)(特)(许)(工)(程)(师)((CEng)认)(证)(资)(格)(。
阳)(先)(伟)(先)(生)(,总)(经)(理)(助)(理)(,西)(南)(财)(经)(大)(学)(金)(融)(学)(本)(科)(和)(西)(南)(财)(经)(大)(学)(金)(融)(学)(硕)(士)(,16年)(证)(券)(、基)(金)(从)(业)(经)(验)(。曾)(任)(民)(生)(证)(券)(有)(限)(公)(司)(业)(务)(经)(理)(、债)(券)(研)(究)(员)(,国)(海)(证)(券)(有)(限)(公)(司)(高)(级)(经)(理)(,鹏)(华)(基)(金)(管)(理)(有)(限)(公)(司)(研)(究)(员)(、基)(金)(经)(理)(、公)(司)(投)(资)(决)(策)(委)(员)(会)(成)(员)(、固)(定)(收)(益)(部)(总)(经)(理)(,东)(吴)(证)(券)(深)(圳)(分)(公)(司)(董)(事)(总)(经)(理)(,资)(管)(分)(部)(总)(经)(理)(,深)(圳)(分)(公)(司)(固)(定)(收)(益)(总)(监)(。2018年)(8月)(加)(入)(信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(,任)(总)(经)(理)(助)(理)(,分)(管)(固)(定)(收)(益)(业)(务)(。
2、基)(金)(经)(理)((1)现)(任)(基)(金)(经)(理)((2)历)(任)(基)(金)(经)(理)(
3、公)(司)(公)(募)(基)(金)(投)(资)(审)(议)(委)(员)(会)(
公)(司)(公)(募)(基)(金)(投)(资)(审)(议)(委)(员)(会)(由)(6名)(成)(员)(组)(成)(,设)(主)(席)(1名)(,委)(员)(5名)(。名)(单)(如)(下)(:
主)(席)(:于)(建)(伟)(,总)(经)(理)(
委)(员)(:
王)(咏)(辉)(,投)(资)(总)(监)(、总)(经)(理)(助)(理)(
曾)(国)(富)(,公)(募)(投)(资)(总)(部)(副)(总)(监)(、基)(金)(经)(理)(
孔)(学)(峰)(,公)(募)(投)(资)(总)(部)(副)(总)(监)(、基)(金)(经)(理)(
邹)(运)(,投)(委)(会)(秘)(书)(、基)(金)(经)(理)(助)(理)(
刘)(涛)(,产)(品)(创)(新)(部)(总)(监)(
上)(述)(人)(员)(之)(间)(不)(存)(在)(亲)(属)(关)(系)(。
二)(、基)(金)(托)(管)(人)((一)()基)(金)(托)(管)(人)(情)(况)(
1.基)(本)(情)(况)(
名)(称)(:中)(国)(建)(设)(银)(行)(股)(份)(有)(限)(公)(司)((简)(称)(:中)(国)(建)(设)(银)(行)()
住)(所)(:北)(京)(市)(西)(城)(区)(金)(融)(大)(街)(25号)(
办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(闹)(市)(口)(大)(街)(1号)(院)(1号)(楼)(
法)(定)(代)(表)(人)(:田)(国)(立)(
成)(立)(时)(间)(:2004年)(09月)(17日)(
组)(织)(形)(式)(:股)(份)(有)(限)(公)(司)(
注)(册)(资)(本)(:贰)(仟)(伍)(佰)(亿)(壹)(仟)(零)(玖)(拾)(柒)(万)(柒)(仟)(肆)(佰)(捌)(拾)(陆)(元)(整)(
存)(续)(期)(间)(:持)(续)(经)(营)(
基)(金)(托)(管)(资)(格)(批)(文)(及)(文)(号)(:中)(国)(证)(监)(会)(证)(监)(基)(字)([1998]12号)(
联)(系)(人)(:田)(青)(
联)(系)(电)(话)(:(010)67595096
中)(国)(建)(设)(银)(行)(成)(立)(于)(1954年)(10月)(,是)(一)(家)(国)(内)(领)(先)(、国)(际)(知)(名)(的)(大)(型)(股)(份)(制)(商)(业)(银)(行)(,总)(部)(设)(在)(北)(京)(。本)(行)(于)(2005年)(10月)(在)(香)(港)(联)(合)(交)(易)(所)(挂)(牌)(上)(市)((股)(票)(代)(码)(939),于)(2007年)(9月)(在)(上)(海)(证)(券)(交)(易)(所)(挂)(牌)(上)(市)((股)(票)(代)(码)(601939)。
2017年)(6月)(末)(,本)(集)(团)(资)(产)(总)(额)(216,920.67亿)(元)(,较)(上)(年)(末)(增)(加)(7,283.62亿)(元)(,增)(幅)(3.47%。上)(半)(年)(,本)(集)(团)(实)(现)(利)(润)(总)(额)(1,720.93亿)(元)(,较)(上)(年)(同)(期)(增)(长)(1.30%;净)(利)(润)(较)(上)(年)(同)(期)(增)(长)(3.81%至)(1,390.09亿)(元)(,盈)(利)(水)(平)(实)(现)(平)(稳)(增)(长)(。
2016年)(,本)(集)(团)(先)(后)(获)(得)(国)(内)(外)(知)(名)(机)(构)(授)(予)(的)(100余)(项)(重)(要)(奖)(项)(。荣)(获)(《欧)(洲)(货)(币)(》“2016中)(国)(最)(佳)(银)(行)(”,《环)(球)(金)(融)(》“2016中)(国)(最)(佳)(消)(费)(者)(银)(行)(”、“2016亚)(太)(区)(最)(佳)(流)(动)(性)(管)(理)(银)(行)(”,《机)(构)(投)(资)(者)(》“人)(民)(币)(国)(际)(化)(服)(务)(钻)(石)(奖)(”,《亚)(洲)(银)(行)(家)(》“中)(国)(最)(佳)(大)(型)(零)(售)(银)(行)(奖)(”及)(中)(国)(银)(行)(业)(协)(会)(“年)(度)(最)(具)(社)(会)(责)(任)(金)(融)(机)(构)(奖)(”。本)(集)(团)(在)(英)(国)(《银)(行)(家)(》2016年)(“世)(界)(银)(行)(1000强)(排)(名)(”中)(,以)(一)(级)(资)(本)(总)(额)(继)(续)(位)(列)(全)(球)(第)(2;在)(美)(国)(《财)(富)(》2016年)(世)(界)(500强)(排)(名)(第)(22位)(。
中)(国)(建)(设)(银)(行)(总)(行)(设)(资)(产)(托)(管)(业)(务)(部)(,下)(设)(综)(合)(处)(、基)(金)(市)(场)(处)(、证)(券)(保)(险)(资)(产)(市)(场)(处)(、理)(财)(信)(托)(股)(权)(市)(场)(处)(、QFII托)(管)(处)(、养)(老)(金)(托)(管)(处)(、清)(算)(处)(、核)(算)(处)(、跨)(境)(托)(管)(运)(营)(处)(、监)(督)(稽)(核)(处)(等)(10个)(职)(能)(处)(室)(,在)(上)(海)(设)(有)(投)(资)(托)(管)(服)(务)(上)(海)(备)(份)(中)(心)(,共)(有)(员)(工)(220余)(人)(。自)(2007年)(起)(,托)(管)(部)(连)(续)(聘)(请)(外)(部)(会)(计)(师)(事)(务)(所)(对)(托)(管)(业)(务)(进)(行)(内)(部)(控)(制)(审)(计)(,并)(已)(经)(成)(为)(常)(规)(化)(的)(内)(控)(工)(作)(手)(段)(。
2.主)(要)(人)(员)(情)(况)(
纪)(伟)(,资)(产)(托)(管)(业)(务)(部)(总)(经)(理)(,曾)(先)(后)(在)(中)(国)(建)(设)(银)(行)(南)(通)(分)(行)(、总)(行)(计)(划)(财)(务)(部)(、信)(贷)(经)(营)(部)(任)(职)(,并)(在)(总)(行)(公)(司)(业)(务)(部)(、投)(资)(托)(管)(业)(务)(部)(、授)(信)(审)(批)(部)(担)(任)(领)(导)(职)(务)(。其)(拥)(有)(八)(年)(托)(管)(从)(业)(经)(历)(,熟)(悉)(各)(项)(托)(管)(业)(务)(,具)(有)(丰)(富)(的)(客)(户)(服)(务)(和)(业)(务)(管)(理)(经)(验)(。
龚)(毅)(,资)(产)(托)(管)(业)(务)(部)(副)(总)(经)(理)(,曾)(就)(职)(于)(中)(国)(建)(设)(银)(行)(北)(京)(市)(分)(行)(国)(际)(部)(、营)(业)(部)(并)(担)(任)(副)(行)(长)(,长)(期)(从)(事)(信)(贷)(业)(务)(和)(集)(团)(客)(户)(业)(务)(等)(工)(作)(,具)(有)(丰)(富)(的)(客)(户)(服)(务)(和)(业)(务)(管)(理)(经)(验)(。
郑)(绍)(平)(,资)(产)(托)(管)(业)(务)(部)(副)(总)(经)(理)(,曾)(就)(职)(于)(中)(国)(建)(设)(银)(行)(总)(行)(投)(资)(部)(、委)(托)(代)(理)(部)(、战)(略)(客)(户)(部)(,长)(期)(从)(事)(客)(户)(服)(务)(、信)(贷)(业)(务)(管)(理)(等)(工)(作)(,具)(有)(丰)(富)(的)(客)(户)(服)(务)(和)(业)(务)(管)(理)(经)(验)(。
黄)(秀)(莲)(,资)(产)(托)(管)(业)(务)(部)(副)(总)(经)(理)(,曾)(就)(职)(于)(中)(国)(建)(设)(银)(行)(总)(行)(会)(计)(部)(,长)(期)(从)(事)(托)(管)(业)(务)(管)(理)(等)(工)(作)(,具)(有)(丰)(富)(的)(客)(户)(服)(务)(和)(业)(务)(管)(理)(经)(验)(。
原)(玎)(,资)(产)(托)(管)(业)(务)(部)(副)(总)(经)(理)(,曾)(就)(职)(于)(中)(国)(建)(设)(银)(行)(总)(行)(国)(际)(业)(务)(部)(,长)(期)(从)(事)(海)(外)(机)(构)(及)(海)(外)(业)(务)(管)(理)(、境)(内)(外)(汇)(业)(务)(管)(理)(、国)(外)(金)(融)(机)(构)(客)(户)(营)(销)(拓)(展)(等)(工)(作)(,具)(有)(丰)(富)(的)(客)(户)(服)(务)(和)(业)(务)(管)(理)(经)(验)(。
3.基)(金)(托)(管)(业)(务)(经)(营)(情)(况)(
作)(为)(国)(内)(首)(批)(开)(办)(证)(券)(投)(资)(基)(金)(托)(管)(业)(务)(的)(商)(业)(银)(行)(,中)(国)(建)(设)(银)(行)(一)(直)(秉)(持)(“以)(客)(户)(为)(中)(心)(”的)(经)(营)(理)(念)(,不)(断)(加)(强)(风)(险)(管)(理)(和)(内)(部)(控)(制)(,严)(格)(履)(行)(托)(管)(人)(的)(各)(项)(职)(责)(,切)(实)(维)(护)(资)(产)(持)(有)(人)(的)(合)(法)(权)(益)(,为)(资)(产)(委)(托)(人)(提)(供)(高)(质)(量)(的)(托)(管)(服)(务)(。经)(过)(多)(年)(稳)(步)(发)(展)(,中)(国)(建)(设)(银)(行)(托)(管)(资)(产)(规)(模)(不)(断)(扩)(大)(,托)(管)(业)(务)(品)(种)(不)(断)(增)(加)(,已)(形)(成)(包)(括)(证)(券)(投)(资)(基)(金)(、社)(保)(基)(金)(、保)(险)(资)(金)(、基)(本)(养)(老)(个)(人)(账)(户)(、(R)QFII、(R)QDII、企)(业)(年)(金)(等)(产)(品)(在)(内)(的)(托)(管)(业)(务)(体)(系)(,是)(目)(前)(国)(内)(托)(管)(业)(务)(品)(种)(最)(齐)(全)(的)(商)(业)(银)(行)(之)(一)(。截)(至)(2017年)(二)(季)(度)(末)(,中)(国)(建)(设)(银)(行)(已)(托)(管)(759只)(证)(券)(投)(资)(基)(金)(。中)(国)(建)(设)(银)(行)(专)(业)(高)(效)(的)(托)(管)(服)(务)(能)(力)(和)(业)(务)(水)(平)(,赢)(得)(了)(业)(内)(的)(高)(度)(认)(同)(。中)(国)(建)(设)(银)(行)(连)(续)(11年)(获)(得)(《全)(球)(托)(管)(人)(》、《财)(资)(》、《环)(球)(金)(融)(》“中)(国)(最)(佳)(托)(管)(银)(行)(”、“中)(国)(最)(佳)(次)(托)(管)(银)(行)(”、“最)(佳)(托)(管)(专)(家)(一)(一)(QFII”等)(奖)(项)(,并)(在)(2016年)(被)(《环)(球)(金)(融)(》评)(为)(中)(国)(市)(场)(唯)(一)(一)(家)(“最)(佳)(托)(管)(银)(行)(”。
(二)()基)(金)(托)(管)(人)(的)(内)(部)(控)(制)(制)(度)(
1.内)(部)(控)(制)(目)(标)(
作)(为)(基)(金)(托)(管)(人)(,中)(国)(建)(设)(银)(行)(严)(格)(遵)(守)(国)(家)(有)(关)(托)(管)(业)(务)(的)(法)(律)(法)(规)(、行)(业)(监)(管)(规)(章)(和)(本)(行)(内)(有)(关)(管)(理)(规)(定)(,守)(法)(经)(营)(、规)(范)(运)(作)(、严)(格)(监)(察)(,确)(保)(业)(务)(的)(稳)(健)(运)(行)(,保)(证)(基)(金)(财)(产)(的)(安)(全)(完)(整)(,确)(保)(有)(关)(信)(息)(的)(真)(实)(、准)(确)(、完)(整)(、及)(时)(,保)(护)(基)(金)(份)(额)(持)(有)(人)(的)(合)(法)(权)(益)(。
2.内)(部)(控)(制)(组)(织)(结)(构)(
中)(国)(建)(设)(银)(行)(设)(有)(风)(险)(与)(内)(控)(管)(理)(委)(员)(会)(,负)(责)(全)(行)(风)(险)(管)(理)(与)(内)(部)(控)(制)(工)(作)(,对)(托)(管)(业)(务)(风)(险)(控)(制)(工)(作)(进)(行)(检)(查)(指)(导)(。资)(产)(托)(管)(业)(务)(部)(配)(备)(了)(专)(职)(内)(控)(合)(规)(人)(员)(负)(责)(托)(管)(业)(务)(的)(内)(控)(合)(规)(工)(作)(,具)(有)(独)(立)(行)(使)(内)(控)(合)(规)(工)(作)(职)(权)(和)(能)(力)(。
3.内)(部)(控)(制)(制)(度)(及)(措)(施)(
资)(产)(托)(管)(业)(务)(部)(具)(备)(系)(统)(、完)(善)(的)(制)(度)(控)(制)(体)(系)(,建)(立)(了)(管)(理)(制)(度)(、控)(制)(制)(度)(、岗)(位)(职)(责)(、业)(务)(操)(作)(流)(程)(,可)(以)(保)(证)(托)(管)(业)(务)(的)(规)(范)(操)(作)(和)(顺)(利)(进)(行)(;业)(务)(人)(员)(具)(备)(从)(业)(资)(格)(;业)(务)(管)(理)(严)(格)(实)(行)(复)(核)(、审)(核)(、检)(查)(制)(度)(,授)(权)(工)(作)(实)(行)(集)(中)(控)(制)(,业)(务)(印)(章)(按)(规)(程)(保)(管)(、存)(放)(、使)(用)(,账)(户)(资)(料)(严)(格)(保)(管)(,制)(约)(机)(制)(严)(格)(有)(效)(;业)(务)(操)(作)(区)(专)(门)(设)(置)(,封)(闭)(管)(理)(,实)(施)(音)(像)(监)(控)(;业)(务)(信)(息)(由)(专)(职)(信)(息)(披)(露)(人)(负)(责)(,防)(止)(泄)(密)(;业)(务)(实)(现)(自)(动)(化)(操)(作)(,防)(止)(人)(为)(事)(故)(的)(发)(生)(,技)(术)(系)(统)(完)(整)(、独)(立)(。
(三)()基)(金)(托)(管)(人)(对)(基)(金)(管)(理)(人)(运)(作)(基)(金)(进)(行)(监)(督)(的)(方)(法)(和)(程)(序)(
1.监)(督)(方)(法)(
依)(照)(《基)(金)(法)(》及)(其)(配)(套)(法)(规)(和)(基)(金)(合)(同)(的)(约)(定)(,监)(督)(所)(托)(管)(基)(金)(的)(投)(资)(运)(作)(。利)(用)(自)(行)(开)(发)(的)(“新)(一)(代)(托)(管)(应)(用)(监)(督)(子)(系)(统)(”,严)(格)(按)(照)(现)(行)(法)(律)(法)(规)(以)(及)(基)(金)(合)(同)(规)(定)(,对)(基)(金)(管)(理)(人)(运)(作)(基)(金)(的)(投)(资)(比)(例)(、投)(资)(范)(围)(、投)(资)(组)(合)(等)(情)(况)(进)(行)(监)(督)(。在)(日)(常)(为)(基)(金)(投)(资)(运)(作)(所)(提)(供)(的)(基)(金)(清)(算)(和)(核)(算)(服)(务)(环)(节)(中)(,对)(基)(金)(管)(理)(人)(发)(送)(的)(投)(资)(指)(令)(、基)(金)(管)(理)(人)(对)(各)(基)(金)(费)(用)(的)(提)(取)(与)(开)(支)(情)(况)(进)(行)(检)(查)(监)(督)(。
2.监)(督)(流)(程)((1)每)(工)(作)(日)(按)(时)(通)(过)(新)(一)(代)(托)(管)(应)(用)(监)(督)(子)(系)(统)(,对)(各)(基)(金)(投)(资)(运)(作)(比)(例)(控)(制)(等)(情)(况)(进)(行)(监)(控)(,如)(发)(现)(投)(资)(异)(常)(情)(况)(,向)(基)(金)(管)(理)(人)(进)(行)(风)(险)(提)(示)(,与)(基)(金)(管)(理)(人)(进)(行)(情)(况)(核)(实)(,督)(促)(其)(纠)(正)(,如)(有)(重)(大)(异)(常)(事)(项)(及)(时)(报)(告)(中)(国)(证)(监)(会)(。
(2)收)(到)(基)(金)(管)(理)(人)(的)(划)(款)(指)(令)(后)(,对)(指)(令)(要)(素)(等)(内)(容)(进)(行)(核)(查)(。
(3)根)(据)(基)(金)(投)(资)(运)(作)(监)(督)(情)(况)(,定)(期)(编)(写)(基)(金)(投)(资)(运)(作)(监)(督)(报)(告)(,对)(各)(基)(金)(投)(资)(运)(作)(的)(合)(法)(合)(规)(性)(和)(投)(资)(独)(立)(性)(等)(方)(面)(进)(行)(评)(价)(,报)(送)(中)(国)(证)(监)(会)(。
(4)通)(过)(技)(术)(或)(非)(技)(术)(手)(段)(发)(现)(基)(金)(涉)(嫌)(违)(规)(交)(易)(,电)(话)(或)(书)(面)(要)(求)(基)(金)(管)(理)(人)(进)(行)(解)(释)(或)(举)(证)(,并)(及)(时)(报)(告)(中)(国)(证)(监)(会)(。
三)(、相)(关)(服)(务)(机)(构)((一)()销)(售)(机)(构)(及)(联)(系)(人)(
1、直)(销)(机)(构)(
名)(称)(:信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:广)(东)(省)(深)(圳)(市)(南)(山)(区)(科)(苑)(南)(路)((深)(圳)(湾)(段)()3331号)(阿)(里)(巴)(巴)(大)(厦)(N1座)(第)(8层)(和)(第)(9层)(
办)(公)(地)(址)(:广)(东)(省)(深)(圳)(市)(南)(山)(区)(科)(苑)(南)(路)((深)(圳)(湾)(段)()3331号)(阿)(里)(巴)(巴)(大)(厦)(T1座)(第)(8层)(和)(第)(9层)(
法)(定)(代)(表)(人)(:于)(建)(伟)(
电)(话)(:0755-82858168/0755-83077068
传)(真)(:0755-83077038
联)(系)(人)(:王)(丽)(燕)(
公)(司)(网)(址)(:www.fscinda.com
邮)(政)(编)(码)(:518054
2、代)(销)(机)(构)(
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)(代)(理)(销)(售)(本)(基)(金)(或)(变)(更)(上)(述)(代)(销)(机)(构)(,并)(及)(时)(公)(告)(。
(二)()注)(册)(登)(记)(机)(构)(
名)(称)(:信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:广)(东)(省)(深)(圳)(市)(南)(山)(区)(科)(苑)(南)(路)((深)(圳)(湾)(段)()3331号)(阿)(里)(巴)(巴)(大)(厦)(N1座)(第)(8层)(和)(第)(9层)(
办)(公)(地)(址)(:广)(东)(省)(深)(圳)(市)(南)(山)(区)(科)(苑)(南)(路)((深)(圳)(湾)(段)()3331号)(阿)(里)(巴)(巴)(大)(厦)(T1座)(第)(8层)(和)(第)(9层)(
法)(定)(代)(表)(人)(:于)(建)(伟)(
电)(话)(:0755-83172666
传)(真)(:0755-83196151
联)(系)(人)(:刘)(玉)(兰)((三)()律)(师)(事)(务)(所)(和)(经)(办)(律)(师)(
名)(称)(:上)(海)(源)(泰)(律)(师)(事)(务)(所)(
办)(公)(地)(址)(:上)(海)(市)(浦)(东)(南)(路)(256号)(华)(夏)(银)(行)(大)(厦)(1405室)(
负)(责)(人)(:廖)(海)(
电)(话)(:021-51150298
传)(真)(:021-51150398
联)(系)(人)(:刘)(佳)(
经)(办)(律)(师)(:刘)(佳)(、徐)(莘)((四)()会)(计)(师)(事)(务)(所)(和)(经)(办)(注)(册)(会)(计)(师)(
名)(称)(:安)(永)(华)(明)(会)(计)(师)(事)(务)(所)((特)(殊)(普)(通)(合)(伙)()
住)(所)(:北)(京)(市)(东)(城)(区)(东)(长)(安)(街)(1号)(东)(方)(广)(场)(安)(永)(大)(楼)(17层)(01-12室)(
办)(公)(地)(址)(:北)(京)(市)(东)(城)(区)(东)(长)(安)(街)(1号)(东)(方)(广)(场)(安)(永)(大)(楼)(17层)(01-12室)(
法)(定)(代)(表)(人)((执)(行)(事)(务)(合)(伙)(人)():毛)(鞍)(宁)(
联)(系)(电)(话)(:010-58153000
传)(真)(:010-85188298
联)(系)(人)(:昌)(华)(
经)(办)(注)(册)(会)(计)(师)(:昌)(华)(、高)(鹤)(
四)(、基)(金)(的)(名)(称)(
信)(达)(澳)(银)(领)(先)(增)(长)(混)(合)(型)(证)(券)(投)(资)(基)(金)(
五)(、基)(金)(的)(运)(作)(方)(式)(和)(类)(型)(
运)(作)(方)(式)(:契)(约)(型)(、开)(放)(式)(
类)(型)(:混)(合)(型)(证)(券)(投)(资)(基)(金)(
六)(、基)(金)(的)(投)(资)(目)(标)(
本)(基)(金)(依)(据)(严)(谨)(的)(投)(资)(管)(理)(程)(序)(,挖)(掘)(并)(长)(期)(投)(资)(于)(盈)(利)(能)(力)(持)(续)(增)(长)(的)(优)(势)(公)(司)(,通)(过)(分)(享)(公)(司)(价)(值)(持)(续)(增)(长)(实)(现)(基)(金)(资)(产)(的)(长)(期)(增)(值)(。
七)(、基)(金)(的)(投)(资)(范)(围)(
本)(基)(金)(投)(资)(于)(监)(管)(机)(构)(允)(许)(投)(资)(的)(具)(有)(良)(好)(流)(动)(性)(的)(金)(融)(工)(具)(,包)(括)(国)(内)(依)(法)(发)(行)(上)(市)(的)(股)(票)((含)(新)(股)(发)(行)(、增)(发)(与)(配)(售)(等)()、国)(债)(、可)(转)(换)(债)(券)(、政)(策)(性)(金)(融)(债)(、企)(业)(债)(、次)(级)(债)(、短)(期)(融)(资)(券)(、中)(央)(银)(行)(票)(据)(、债)(券)(回)(购)(、银)(行)(存)(款)(、权)(证)(、资)(产)(支)(持)(证)(券)(等)(等)(。
本)(基)(金)(投)(资)(组)(合)(的)(资)(产)(配)(置)(为)(:股)(票)(资)(产)(为)(基)(金)(资)(产)(的)(60%-95%,债)(券)(资)(产)(为)(基)(金)(资)(产)(的)(0%-35%,现)(金)(及)(其)(他)(短)(期)(金)(融)(工)(具)(为)(基)(金)(资)(产)(的)(5%-40%,其)(中)(基)(金)(保)(留)(的)(现)(金)(或)(者)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)(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)(。
根)(据)(未)(来)(法)(律)(法)(规)(或)(监)(管)(机)(构)(相)(关)(政)(策)(的)(变)(动)(,本)(基)(金)(管)(理)(人)(在)(履)(行)(适)(当)(程)(序)(后)(,可)(以)(相)(应)(调)(整)(上)(述)(投)(资)(比)(例)(并)(投)(资)(于)(法)(律)(法)(规)(或)(监)(管)(机)(构)(允)(许)(投)(资)(的)(其)(他)(金)(融)(产)(品)(。
八)(、基)(金)(的)(投)(资)(策)(略)(
本)(基)(金)(将)(秉)(承)(澳)(洲)(联)(邦)(银)(行)(首)(域)(投)(资)(集)(团)(在)(全)(球)(新)(兴)(市)(场)(股)(票)(投)(资)(的)(成)(功)(经)(验)(及)(首)(域)(中)(国)(增)(长)(基)(金)(的)(投)(资)(理)(念)(,用)(全)(球)(化)(视)(野)(评)(估)(和)(研)(究)(中)(国)(市)(场)(。同)(时)(,充)(分)(结)(合)(国)(内)(资)(本)(市)(场)(的)(运)(行)(特)(征)(,以)(自)(下)(而)(上)(的)(精)(选)(证)(券)(策)(略)(为)(核)(心)(,适)(度)(运)(用)(资)(产)(配)(置)(与)(行)(业)(配)(置)(策)(略)(调)(整)(投)(资)(方)(向)(,系)(统)(有)(效)(控)(制)(风)(险)(,挖)(掘)(并)(长)(期)(投)(资)(于)(能)(抗)(击)(多)(重)(经)(济)(波)(动)(,盈)(利)(能)(力)(持)(续)(增)(长)(的)(优)(势)(公)(司)(,通)(过)(分)(享)(公)(司)(价)(值)(持)(续)(增)(长)(实)(现)(基)(金)(资)(产)(的)(长)(期)(增)(值)(。
1、股)(票)(投)(资)(策)(略)(
本)(基)(金)(通)(过)(积)(极)(主)(动)(的)(投)(资)(管)(理)(为)(投)(资)(人)(创)(造)(价)(值)(,秉)(承)(自)(下)(而)(上)(的)(投)(资)(分)(析)(方)(法)(,对)(企)(业)(及)(其)(发)(展)(环)(境)(的)(深)(入)(分)(析)(,寻)(求)(具)(有)(长)(期)(竞)(争)(力)(的)(成)(长)(型)(企)(业)(和)(他)(们)(被)(市)(场)(低)(估)(时)(产)(生)(的)(投)(资)(机)(会)(,通)(过)(投)(资)(具)(有)(持)(续)(盈)(利)(增)(长)(能)(力)(和)(长)(期)(投)(资)(价)(值)(的)(优)(质)(企)(业)(为)(投)(资)(人)(实)(现)(股)(票)(资)(产)(的)(持)(续)(增)(值)(。
一)(般)(情)(况)(下)(,本)(基)(金)(通)(过)(投)(资)(每)(股)(盈)(利)(持)(续)(增)(长)(能)(力)(被)(市)(场)(低)(估)(的)(优)(质)(公)(司)(来)(把)(握)(市)(场)(无)(效)(性)(发)(生)(时)(产)(生)(的)(投)(资)(机)(会)(。本)(基)(金)(的)(股)(票)(投)(资)(策)(略)(有)(以)(下)(三)(个)(主)(要)(的)(立)(足)(点)(:投)(资)(在)(管)(理)(层)(素)(质)(高)(,核)(心)(业)(务)(价)(值)(突)(出)(的)(公)(司)(;坚)(信)(每)(股)(盈)(利)(的)(增)(长)(推)(动)(股)(票)(价)(格)(的)(长)(期)(增)(长)(;力)(争)(对)(公)(司)(长)(期)(每)(股)(盈)(利)(增)(长)(潜)(力)(予)(以)(合)(理)(的)(定)(价)(,当)(认)(为)(市)(场)(低)(估)(了)(这)(一)(合)(理)(定)(价)(时)(坚)(决)(买)(入)(并)(持)(有)(该)(公)(司)(股)(票)(,当)(认)(为)(市)(场)(对)(公)(司)(的)(合)(理)(定)(价)(给)(与)(了)(太)(高)(预)(期)(则)(果)(断)(出)(售)(该)(公)(司)(股)(票)(。
运)(用)(“信)(达)(澳)(银)(公)(司)(价)(值)(分)(析)(体)(系)((QGV,Quality,GrowthValuation)”,从)(公)(司)(素)(质)(、盈)(利)(增)(长)(和)(估)(值)(三)(个)(方)(面)(对)(公)(司)(进)(行)(严)(格)(的)(综)(合)(评)(估)(,以)(深)(度)(挖)(掘)(能)(够)(持)(续)(保)(持)(盈)(利)(增)(长)(的)(成)(长)(型)(公)(司)(。
运)(用)(“信)(达)(澳)(银)(行)(业)(优)(势)(分)(析)(体)(系)((ITC,IndustrialTrendsCompetitiveness)”,从)(行)(业)(长)(期)(发)(展)(的)(维)(度)(对)(比)(分)(析)(行)(业)(内)(的)(公)(司)(,从)(行)(业)(层)(面)(对)(公)(司)(做)(出)(筛)(选)(,挑)(选)(行)(业)(内)(竞)(争)(力)(强)(、符)(合)(行)(业)(发)(展)(趋)(势)(的)(优)(秀)(公)(司)(。
运)(用)(“信)(达)(澳)(银)(宏)(观)(景)(气)(分)(析)(体)(系)((MDE,MacroDriversEnvironment)”,考)(察)(不)(同)(宏)(观)(景)(气)(状)(态)(下)(的)(行)(业)(景)(气)(变)(化)(、宏)(观)(景)(气)(变)(动)(对)(不)(同)(行)(业)(及)(相)(关)(公)(司)(的)(潜)(在)(影)(响)(,以)(及)(宏)(观)(经)(济)(政)(策)(对)(相)(关)(行)(业)(的)(影)(响)(,进)(而)(判)(断)(行)(业)(景)(气)(周)(期)(、盈)(利)(能)(力)(、成)(长)(性)(、相)(对)(投)(资)(价)(值)(的)(变)(化)(,选)(择)(未)(来)(一)(段)(时)(间)(内)(持)(续)(增)(长)(能)(力)(突)(出)(的)(行)(业)(并)(调)(整)(对)(相)(关)(公)(司)(的)(价)(值)(判)(断)(,最)(终)(完)(成)(对)(行)(业)(配)(置)(的)(适)(度)(调)(控)(。
相)(关)(公)(司)(根)(据)(满)(足)(“信)(达)(澳)(银)(公)(司)(价)(值)(分)(析)(体)(系)((QGV)”和)(“信)(达)(澳)(银)(行)(业)(优)(势)(分)(析)(体)(系)((ITC)”的)(不)(同)(程)(度)(,以)(及)(投)(资)(团)(队)(对)(该)(公)(司)(的)(研)(究)(深)(度)(,分)(别)(被)(确)(定)(为)(“核)(心)(品)(种)(”、“重)(点)(品)(种)(”和)(“观)(察)(性)(品)(种)(”3个)(层)(级)(并)(不)(断)(循)(环)(论)(证)(,在)(此)(基)(础)(之)(上)(基)(金)(经)(理)(根)(据)(自)(身)(判)(断)(,结)(合)(“信)(达)(澳)(银)(宏)(观)(景)(气)(分)(析)(体)(系)((MDE)”提)(出)(的)(行)(业)(投)(资)(建)(议)(,构)(建)(基)(金)(的)(股)(票)(投)(资)(组)(合)(。
2、债)(券)(投)(资)(策)(略)(
本)(基)(金)(将)(债)(券)(投)(资)(管)(理)(作)(为)(控)(制)(基)(金)(整)(体)(投)(资)(风)(险)(和)(提)(高)(非)(股)(票)(资)(产)(收)(益)(率)(的)(策)(略)(性)(手)(段)(,坚)(持)(价)(值)(投)(资)(理)(念)(,在)(深)(入)(研)(究)(的)(基)(础)(上)(实)(施)(积)(极)(主)(动)(的)(组)(合)(投)(资)(,并)(通)(过)(类)(属)(配)(置)(与)(个)(券)(选)(择)(进)(行)(分)(层)(次)(投)(资)(管)(理)(。
(1)在)(类)(属)(配)(置)(层)(面)(,本)(基)(金)(对)(宏)(观)(经)(济)(、市)(场)(利)(率)(、债)(券)(供)(求)(等)(各)(种)(影)(响)(债)(券)(投)(资)(的)(因)(素)(作)(出)(细)(致)(深)(入)(的)(分)(析)(,从)(而)(预)(测)(各)(类)(属)(资)(产)(预)(期)(风)(险)(及)(收)(益)(情)(况)(,同)(时)(考)(虑)(债)(券)(品)(种)(期)(限)(和)(两)(个)(债)(券)(市)(场)(流)(动)(性)(及)(收)(益)(性)(现)(状)(,从)(而)(确)(定)(债)(券)(组)(合)(资)(产)(在)(国)(债)(、可)(转)(债)(、金)(融)(债)(、货)(币)(类)(资)(产)(之)(间)(的)(类)(属)(分)(配)(比)(例)(,并)(定)(期)(对)(投)(资)(组)(合)(类)(属)(资)(产)(进)(行)(优)(化)(配)(置)(和)(调)(整)(。
(2)在)(个)(券)(选)(择)(层)(面)(,本)(基)(金)(综)(合)(分)(析)(长)(期)(利)(率)(趋)(势)(与)(短)(期)(利)(率)(变)(化)(,同)(时)(结)(合)(不)(同)(债)(券)(品)(种)(的)(收)(益)(率)(水)(平)(、流)(动)(性)(与)(信)(用)(风)(险)(等)(因)(素)(,综)(合)(运)(用)(久)(期)(管)(理)(策)(略)(、凸)(度)(策)(略)(、收)(益)(率)(利)(差)(策)(略)(、回)(购)(套)(利)(策)(略)(等)(多)(种)(交)(易)(策)(略)(,实)(施)(积)(极)(主)(动)(的)(债)(券)(投)(资)(管)(理)(,不)(断)(经)(过)(债)(券)(投)(资)(组)(合)(优)(化)(和)(调)(整)(过)(程)(,最)(终)(完)(成)(债)(券)(投)(资)(管)(理)(目)(标)(。
未)(来)(随)(着)(国)(内)(债)(券)(市)(场)(的)(不)(断)(发)(展)(,本)(基)(金)(将)(根)(据)(实)(际)(情)(况)(不)(断)(研)(究)(使)(用)(更)(多)(的)(债)(券)(投)(资)(盈)(利)(模)(式)(,在)(控)(制)(风)(险)(的)(前)(提)(下)(谋)(求)(高)(于)(市)(场)(平)(均)(水)(平)(的)(投)(资)(回)(报)(。
3、金)(融)(衍)(生)(产)(品)(投)(资)(策)(略)(
本)(基)(金)(将)(金)(融)(衍)(生)(产)(品)(的)(投)(资)(作)(为)(控)(制)(投)(资)(风)(险)(和)(在)(有)(效)(控)(制)(风)(险)(前)(期)(下)(提)(高)(基)(金)(投)(资)(组)(合)(收)(益)(的)(辅)(助)(手)(段)(。本)(基)(金)(的)(金)(融)(衍)(生)(产)(品)(投)(资)(策)(略)(包)(括)(:
(1)利)(用)(金)(融)(衍)(生)(产)(品)(市)(场)(价)(格)(的)(非)(理)(性)(波)(动)(和)(对)(应)(公)(司)(的)(基)(本)(面)(研)(究)(把)(握)(金)(融)(衍)(生)(产)(品)(定)(价)(严)(重)(偏)(离)(合)(理)(定)(价)(带)(来)(的)(投)(资)(机)(会)(;
(2)根)(据)(权)(证)(对)(应)(公)(司)(基)(本)(面)(研)(究)(成)(果)(确)(定)(权)(证)(的)(合)(理)(估)(值)(,发)(现)(市)(场)(对)(股)(票)(权)(证)(的)(非)(理)(性)(定)(价)(;
(3)在)(产)(品)(定)(价)(时)(主)(要)(采)(用)(市)(场)(公)(认)(的)(多)(种)(期)(权)(定)(价)(模)(型)(以)(及)(研)(究)(人)(员)(对)(包)(括)(对)(应)(公)(司)(基)(本)(面)(等)(不)(同)(变)(量)(的)(预)(测)(对)(金)(融)(衍)(生)(产)(品)(确)(定)(合)(理)(定)(价)(;
(4)利)(用)(权)(证)(衍)(生)(工)(具)(的)(特)(性)(,本)(基)(金)(通)(过)(期)(货)(与)(现)(货)(、权)(证)(与)(证)(券)(的)(组)(合)(投)(资)(,来)(达)(到)(改)(善)(组)(合)(风)(险)(收)(益)(特)(征)(的)(目)(的)(;
(5)本)(基)(金)(投)(资)(金)(融)(衍)(生)(产)(品)(策)(略)(包)(括)(但)(不)(限)(于)(杠)(杆)(交)(易)(策)(略)(、看)(跌)(保)(护)(组)(合)(策)(略)(、保)(护)(组)(合)(成)(本)(策)(略)(、获)(利)(保)(护)(策)(略)(、买)(入)(跨)(式)(投)(资)(策)(略)(等)(等)(。
4、资)(产)(配)(置)(策)(略)(
运)(用)(“信)(达)(澳)(银)(资)(产)(相)(对)(价)(值)(评)(估)(模)(型)((ARV,AssetRelativeValuation)”来)(确)(定)(本)(基)(金)(的)(战)(略)(资)(产)(配)(置)(。
本)(基)(金)(运)(用)(“信)(达)(澳)(银)(资)(产)(相)(对)(价)(值)(评)(估)(模)(型)((ARV,AssetRelativeValuation)”进)(行)(战)(略)(资)(产)(配)(置)((SAA),该)(模)(型)(以)(联)(邦)(模)(型)((FEDModel)为)(基)(础)(,通)(过)(分)(析)(一)(系)(列)(市)(场)(变)(量)((PE、PB、成)(交)(额)(、乖)(离)(率)(水)(平)(等)()与)(市)(场)(环)(境)(变)(量)((包)(括)(利)(率)(、CPI、M2增)(长)(、GDP增)(速)(政)(策)(对)(证)(券)(市)(场)(的)(影)(响)(等)(),分)(别)(建)(立)(股)(票)(市)(场)(相)(对)(价)(值)(ERV及)(债)(券)(市)(场)(相)(对)(价)(值)(BRV与)(这)(些)(变)(量)(的)(多)(因)(素)(模)(型)(,评)(估)(股)(票)(市)(场)(、债)(券)(市)(场)(及)(权)(证)(等)(衍)(生)(品)(市)(场)(的)(相)(对)(投)(资)(价)(值)(,进)(而)(确)(定)(不)(同)(市)(场)(的)(投)(资)(比)(例)(,最)(终)(完)(成)(战)(略)(资)(产)(配)(置)(的)(适)(度)(调)(整)(。
5、投)(资)(组)(合)(构)(建)(策)(略)(
本)(基)(金)(的)(投)(资)(组)(合)(构)(建)(策)(略)(如)(下)(:
(1)本)(基)(金)(将)(按)(照)(严)(格)(的)(“自)(下)(而)(上)(”的)(原)(则)(进)(行)(投)(资)(组)(合)(的)(构)(建)(;
(2)本)(基)(金)(在)(删)(除)(一)(部)(分)(流)(动)(性)(差)(、基)(本)(面)(不)(符)(合)(基)(本)(选)(股)(标)(准)(的)(上)(市)(公)(司)(后)(,形)(成)(“备)(选)(股)(票)(库)(”;
(3)本)(基)(金)(投)(资)(团)(队)(对)(“备)(选)(股)(票)(库)(”中)(的)(公)(司)(,运)(用)(“公)(司)(价)(值)(分)(析)(体)(系)((QGV)”和)(“行)(业)(优)(势)(分)(析)(体)(系)((ITC)”对)(公)(司)(进)(行)(严)(格)(的)(分)(析)(和)(筛)(选)(。通)(过)(案)(头)(分)(析)(、实)(地)(调)(研)(、草)(根)(研)(究)(和)(团)(队)(讨)(论)(,力)(求)(对)(公)(司)(的)(投)(资)(价)(值)(进)(行)(全)(面)(和)(严)(格)(的)(评)(估)(。然)(后)(,根)(据)(被)(评)(估)(公)(司)(的)(素)(质)(、估)(值)(和)(我)(们)(对)(公)(司)(的)(认)(识)(过)(程)(,相)(应)(将)(该)(公)(司)(评)(定)(为)(“观)(察)(性)(品)(种)(”、“重)(点)(品)(种)(”和)(“核)(心)(品)(种)(”,并)(不)(断)(地)(循)(环)(论)(证)(、调)(整)(评)(级)(;
(4)本)(基)(金)(经)(理)(根)(据)(公)(司)(的)(投)(资)(流)(程)(,在)(团)(队)(研)(究)(的)(基)(础)(上)(结)(合)(自)(身)(判)(断)(最)(终)(确)(定)(“观)(察)(性)(买)(入)(”、“重)(点)(投)(资)(”和)(“集)(中)(投)(资)(”的)(股)(票)(,以)(及)(具)(体)(投)(资)(比)(例)(和)(买)(卖)(时)(机)(,构)(建)(和)(动)(态)(调)(整)(本)(基)(金)(的)(股)(票)(投)(资)(组)(合)(;
(5)本)(基)(金)(投)(资)(团)(队)(运)(用)(“信)(达)(澳)(银)(宏)(观)(景)(气)(分)(析)(体)(系)((MDE)”对)(比)(分)(析)(各)(行)(业)(发)(展)(趋)(势)(和)(景)(气)(趋)(势)(,提)(出)(行)(业)(配)(置)(建)(议)(,必)(要)(时)(由)(基)(金)(经)(理)(对)(基)(金)(投)(资)(组)(合)(进)(行)(适)(度)(调)(整)(,以)(规)(避)(预)(期)(存)(在)(严)(重)(投)(资)(风)(险)(的)(行)(业)(,并)(加)(大)(对)(经)(团)(队)(评)(估)(为)(增)(长)(潜)(力)(突)(出)(行)(业)(中)(优)(质)(公)(司)(的)(投)(资)(比)(重)(;
(6)本)(基)(金)(投)(资)(团)(队)(运)(用)(“信)(达)(澳)(银)(资)(产)(相)(对)(价)(值)(评)(估)(模)(型)((ARV,AssetRelativeValuation)”从)(战)(略)(资)(产)(配)(置)((SAA)角)(度)(研)(究)(各)(资)(产)(类)(别)(的)(相)(对)(长)(期)(投)(资)(价)(值)(,提)(出)(大)(类)(资)(产)((股)(票)(、债)(券)(、现)(金)(等)()的)(投)(资)(建)(议)(,在)(投)(资)(过)(程)(中)(协)(助)(基)(金)(经)(理)(在)(认)(为)(必)(要)(时)(按)(照)(公)(司)(的)(投)(资)(流)(程)(适)(度)(调)(整)(投)(资)(组)(合)(,力)(求)(在)(控)(制)(风)(险)(的)(情)(况)(下)(最)(大)(限)(度)(的)(实)(现)(投)(资)(目)(标)(。
6、投)(资)(决)(策)(流)(程)(
本)(基)(金)(投)(资)(决)(策)(基)(本)(原)(则)(是)(根)(据)(基)(金)(合)(同)(规)(定)(的)(投)(资)(目)(标)(、投)(资)(理)(念)(以)(及)(范)(围)(等)(要)(素)(,制)(定)(基)(金)(投)(资)(策)(略)(。本)(基)(金)(采)(用)(投)(资)(团)(队)(分)(级)(负)(责)(制)(的)(投)(资)(决)(策)(方)(式)(,本)(基)(金)(经)(理)(是)(本)(基)(金)(投)(资)(团)(队)(的)(重)(要)(成)(员)(,一)(方)(面)(积)(极)(参)(与)(投)(资)(团)(队)(的)(投)(资)(研)(究)(工)(作)(,另)(一)(方)(面)(在)(投)(资)(授)(权)(下)(主)(动)(行)(使)(投)(资)(决)(策)(和)(本)(基)(金)(的)(投)(资)(组)(合)(管)(理)(职)(责)(。本)(基)(金)(力)(求)(通)(过)(包)(括)(本)(基)(金)(经)(理)(在)(内)(的)(整)(个)(投)(资)(团)(队)(全)(体)(人)(员)(的)(共)(同)(努)(力)(来)(争)(取)(良)(好)(的)(投)(资)(业)(绩)(。在)(投)(资)(过)(程)(中)(,采)(取)(分)(级)(授)(权)(的)(投)(资)(决)(策)(机)(制)(,对)(于)(不)(同)(的)(投)(资)(规)(模)(,决)(策)(程)(序)(有)(所)(不)(同)(。通)(过)(这)(样)(的)(决)(策)(流)(程)(既)(充)(分)(调)(动)(投)(资)(团)(队)(的)(集)(体)(智)(慧)(,也)(使)(得)(基)(金)(经)(理)(的)(主)(观)(能)(动)(性)(得)(到)(充)(分)(的)(发)(挥)(。在)(合)(理)(控)(制)(投)(资)(风)(险)(的)(前)(提)(下)(,追)(求)(本)(基)(金)(持)(有)(人)(最)(优)(化)(的)(投)(资)(收)(益)(。
公)(司)(设)(立)(投)(资)(审)(议)(委)(员)(会)(,作)(为)(公)(司)(投)(资)(管)(理)(的)(最)(高)(决)(策)(和)(监)(督)(机)(构)(。投)(资)(审)(议)(委)(员)(会)(由)(总)(经)(理)(担)(任)(主)(席)(,投)(资)(总)(监)(任)(执)(行)(委)(员)(。为)(提)(高)(投)(资)(决)(策)(效)(率)(和)(专)(业)(性)(水)(平)(,公)(司)(授)(权)(投)(资)(总)(监)(带)(领)(投)(资)(研)(究)(部)(负)(责)(公)(司)(日)(常)(投)(资)(决)(策)(和)(投)(资)(管)(理)(。投)(资)(审)(议)(委)(员)(会)(定)(期)(或)(在)(认)(为)(必)(要)(时)(,评)(估)(基)(金)(投)(资)(业)(绩)(,监)(控)(基)(金)(投)(资)(组)(合)(风)(险)(,并)(对)(基)(金)(重)(大)(投)(资)(计)(划)(做)(出)(决)(策)(。
(1)投)(资)(团)(队)(运)(用)(QGV分)(析)(体)(系)(,对)(符)(合)(基)(本)(流)(通)(性)(条)(件)(和)(素)(质)(要)(求)(的)(上)(市)(公)(司)(展)(开)(广)(泛)(研)(究)(,确)(定)(本)(基)(金)(的)(备)(选)(股)(票)(库)(;
(2)行)(业)(分)(析)(师)(对)(在)(备)(选)(股)(票)(库)(内)(的)(股)(票)(通)(过)(公)(司)(调)(研)(和)(QGV分)(析)(选)(定)(推)(荐)(进)(入)(基)(金)(投)(资)(组)(合)(的)(股)(票)(,并)(提)(交)(公)(司)(研)(究)(报)(告)(。本)(基)(金)(经)(理)(根)(据)(分)(析)(师)(推)(荐)(及)(自)(身)(研)(究)(自)(行)(确)(定)(观)(察)(性)(买)(入)(的)(股)(票)(,以)(及)(买)(入)(数)(量)(和)(价)(格)(;
(3)对)(观)(察)(性)(投)(资)(组)(合)(,基)(金)(经)(理)(和)(行)(业)(分)(析)(师)(运)(用)(QGV和)(ICT分)(析)(体)(系)(,并)(通)(过)(深)(入)(的)(公)(司)(调)(研)(发)(掘)(具)(有)(长)(期)(持)(续)(增)(长)(前)(景)(,并)(且)(内)(在)(价)(值)(被)(市)(场)(低)(估)(的)(股)(票)(,提)(出)(公)(司)(价)(值)(分)(析)(报)(告)(和)(重)(点)(买)(入)(建)(议)(;
(4)投)(资)(总)(监)(每)(周)(或)(在)(认)(为)(必)(要)(时)(组)(织)(投)(资)(团)(队)(召)(开)(股)(票)(分)(析)(会)(,对)(基)(金)(经)(理)(或)(行)(业)(分)(析)(师)(建)(议)(重)(点)(买)(入)(的)(股)(票)(进)(行)(深)(入)(讨)(论)(,对)(认)(为)(达)(到)(QGV和)(ICT分)(析)(体)(系)(重)(点)(投)(资)(要)(求)(的)(股)(票)(,由)(基)(金)(经)(理)(根)(据)(市)(场)(和)(基)(金)(的)(实)(际)(情)(况)(确)(定)(具)(体)(买)(入)(数)(量)(和)(价)(格)(;
(5)对)(进)(入)(基)(金)(重)(点)(投)(资)(范)(围)(的)(股)(票)(,基)(金)(经)(理)(和)(行)(业)(分)(析)(师)(密)(切)(跟)(踪)(上)(市)(公)(司)(的)(发)(展)(动)(态)(,运)(用)(QGV和)(ICT分)(析)(体)(系)(不)(断)(动)(态)(评)(估)(公)(司)(的)(长)(期)(投)(资)(价)(值)(,并)(对)(业)(务)(价)(值)(、发)(展)(前)(景)(出)(众)(且)(具)(有)(长)(期)(投)(资)(价)(值)(的)(公)(司)(提)(出)(集)(中)(投)(资)(建)(议)(;
(6)投)(资)(总)(监)(组)(织)(股)(票)(分)(析)(会)(对)(集)(中)(投)(资)(建)(议)(进)(行)(论)(证)(,当)(建)(议)(同)(时)(获)(得)(投)(资)(总)(监)(、本)(基)(金)(经)(理)(以)(及)(相)(关)(行)(业)(研)(究)(员)(同)(意)(,有)(关)(建)(议)(获)(得)(论)(证)(通)(过)(,对)(通)(过)(论)(证)(的)(公)(司)(,由)(基)(金)(经)(理)(根)(据)(市)(场)(和)(基)(金)(的)(实)(际)(情)(况)(确)(定)(具)(体)(买)(入)(数)(量)(和)(价)(格)(。当)(股)(票)(分)(析)(会)(未)(能)(对)(某)(集)(中)(投)(资)(建)(议)(达)(成)(一)(致)(意)(见)(时)(,本)(基)(金)(经)(理)(可)(以)(单)(独)(提)(出)(公)(司)(的)(研)(究)(报)(告)(和)(投)(资)(建)(议)(,在)(获)(得)(投)(资)(总)(监)(批)(准)(后)(对)(该)(公)(司)(进)(行)(集)(中)(投)(资)(;
(7)基)(金)(经)(理)(在)(认)(为)(必)(要)(时)(,可)(就)(经)(投)(资)(团)(队)(讨)(论)(通)(过)(的)(集)(中)(投)(资)(品)(种)(提)(请)(投)(资)(审)(议)(委)(员)(会)(批)(准)(投)(资)(超)(过)(基)(金)(净)(值)(的)(5%;
(8)投)(资)(总)(监)(组)(织)(基)(金)(经)(理)(和)(投)(资)(团)(队)(相)(关)(人)(员)(运)(用)(MDE和)(ICT分)(析)(体)(系)(,判)(断)(中)(长)(期)(行)(业)(投)(资)(方)(向)(,并)(对)(基)(金)(经)(理)(提)(出)(基)(金)(重)(点)(投)(资)(行)(业)(和)(规)(避)(行)(业)(的)(建)(议)(,基)(金)(经)(理)(根)(据)(有)(关)(建)(议)(结)(合)(基)(金)(的)(实)(际)(情)(况)(调)(整)(投)(资)(组)(合)(。为)(把)(握)(重)(点)(行)(业)(投)(资)(机)(会)(和)(规)(避)(重)(大)(行)(业)(投)(资)(风)(险)(,有)(关)(建)(议)(区)(分)(为)(建)(议)(性)(提)(议)(和)(强)(制)(性)(提)(议)(,对)(强)(制)(性)(建)(议)(基)(金)(经)(理)(必)(须)(在)(特)(定)(时)(间)(内)(完)(成)(组)(合)(调)(整)(;
(9)公)(司)(投)(资)(审)(议)(委)(员)(会)(每)(月)(讨)(论)(并)(每)(季)(正)(式)(评)(议)(本)(基)(金)(的)(投)(资)(业)(绩)(和)(投)(资)(组)(合)(风)(险)(,并)(在)(认)(为)(必)(要)(时)(要)(求)(投)(资)(团)(队)(和)(基)(金)(经)(理)(提)(出)(控)(制)(投)(资)(组)(合)(风)(险)(和)(改)(善)(投)(资)(业)(绩)(的)(方)(案)(,方)(案)(经)(会)(议)(审)(议)(后)(,基)(金)(经)(理)(根)(据)(方)(案)(和)(投)(资)(流)(程)(调)(整)(投)(资)(组)(合)(;
(10)基)(金)(经)(理)(和)(投)(资)(团)(队)(紧)(密)(跟)(踪)(投)(资)(组)(合)(和)(上)(市)(公)(司)(的)(动)(态)(,根)(据)(上)(市)(公)(司)(投)(资)(价)(值)(的)(变)(化)(和)(投)(资)(组)(合)(的)(风)(险)(特)(征)(,依)(据)(以)(上)(投)(资)(流)(程)(对)(基)(金)(投)(资)(组)(合)(进)(行)(动)(态)(调)(整)(;
(11)公)(司)(风)(险)(管)(理)(委)(员)(会)(和)(监)(察)(稽)(核)(部)(实)(时)(监)(控)(本)(基)(金)(投)(资)(的)(全)(过)(程)(,并)(及)(时)(制)(止)(违)(反)(本)(基)(金)(合)(规)(控)(制)(要)(求)(的)(投)(资)(行)(为)(,对)(基)(于)(有)(关)(法)(规)(和)(本)(基)(金)(合)(同)(要)(求)(的)(该)(等)(合)(规)(建)(议)(本)(基)(金)(经)(理)(及)(投)(资)(团)(队)(必)(须)(在)(合)(理)(时)(间)(内)(无)(条)(件)(执)(行)(。
九)(、基)(金)(的)(业)(绩)(比)(较)(基)(准)(
沪)(深)(300指)(数)(收)(益)(率)(×80%+中)(国)(债)(券)(总)(指)(数)(收)(益)(率)(×20%
沪)(深)(300指)(数)(成)(份)(股)(选)(自)(沪)(深)(两)(个)(证)(券)(市)(场)(,覆)(盖)(了)(大)(部)(分)(流)(通)(市)(值)(,为)(中)(国)(A股)(市)(场)(中)(代)(表)(性)(强)(、流)(动)(性)(高)(的)(主)(流)(投)(资)(股)(票)(,能)(够)(反)(映)(A股)(市)(场)(总)(体)(发)(展)(趋)(势)(。沪)(深)(300指)(数)(中)(的)(指)(数)(股)(的)(发)(布)(和)(调)(整)(均)(由)(交)(易)(所)(完)(成)(,具)(有)(较)(强)(的)(公)(正)(性)(与)(权)(威)(性)(。
中)(国)(债)(券)(总)(指)(数)(是)(由)(中)(央)(国)(债)(登)(记)(结)(算)(有)(限)(责)(任)(公)(司)(编)(制)(的)(中)(国)(全)(市)(场)(国)(债)(指)(数)(,拥)(有)(独)(立)(的)(数)(据)(源)(和)(自)(主)(的)(编)(制)(方)(法)(。该)(指)(数)(同)(时)(覆)(盖)(了)(国)(内)(交)(易)(所)(和)(银)(行)(间)(两)(个)(债)(券)(市)(场)(的)(全)(部)(国)(债)(,能)(够)(反)(映)(债)(券)(市)(场)(总)(体)(走)(势)(,具)(有)(较)(强)(的)(市)(场)(代)(表)(性)(。
十)(、基)(金)(的)(风)(险)(收)(益)(特)(征)(
本)(基)(金)(为)(混)(合)(型)(基)(金)(产)(品)(,基)(金)(资)(产)(整)(体)(的)(预)(期)(收)(益)(和)(预)(期)(风)(险)(均)(较)(高)(,属)(于)(较)(高)(风)(险)(、较)(高)(收)(益)(的)(基)(金)(品)(种)(。
十)(一)(、基)(金)(的)(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)(建)(设)(银)(行)(股)(份)(有)(限)(公)(司)(复)(核)(了)(本)(次)(更)(新)(招)(募)(说)(明)(书)(中)(的)(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)(。
基)(金)(管)(理)(人)(承)(诺)(以)(诚)(实)(信)(用)(、勤)(勉)(尽)(责)(的)(原)(则)(管)(理)(和)(运)(用)(基)(金)(资)(产)(,但)(不)(保)(证)(基)(金)(一)(定)(盈)(利)(。
基)(金)(的)(过)(往)(业)(绩)(并)(不)(代)(表)(其)(未)(来)(表)(现)(。投)(资)(有)(风)(险)(,投)(资)(者)(在)(作)(出)(投)(资)(决)(策)(前)(应)(仔)(细)(阅)(读)(本)(基)(金)(的)(招)(募)(说)(明)(书)(。
本)(投)(资)(组)(合)(报)(告)(期)(截)(止)(至)(2018年)(6月)(30日)(。本)(报)(告)(中)(财)(务)(资)(料)(未)(经)(审)(计)(。
(一)()报)(告)(期)(末)(基)(金)(资)(产)(组)(合)(情)(况)((二)()报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(股)(票)(投)(资)(组)(合)(
1、报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(境)(内)(股)(票)(投)(资)(组)(合)(
2、报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(港)(股)(通)(投)(资)(股)(票)(投)(资)(组)(合)(
本)(报)(告)(期)(末)(未)(持)(有)(港)(股)(通)(股)(票)(。
(三)()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)((四)()报)(告)(期)(末)(按)(债)(券)(品)(种)(分)(类)(的)(债)(券)(投)(资)(组)(合)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(债)(券)(。
(五)()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)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(债)(券)(。
(六)()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)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(资)(产)(支)(持)(证)(券)(。
(七)()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)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(贵)(金)(属)(。
(八)()报)(告)(期)(末)(按)(公)(允)(价)(值)(占)(基)(金)(资)(产)(净)(值)(比)(例)(大)(小)(排)(名)(的)(前)(五)(名)(权)(证)(投)(资)(明)(细)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(权)(证)(。
(九)()报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(股)(指)(期)(货)(交)(易)(情)(况)(说)(明)(
1、报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(股)(指)(期)(货)(持)(仓)(和)(损)(益)(明)(细)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(股)(指)(期)(货)(。
2、本)(基)(金)(投)(资)(股)(指)(期)(货)(的)(投)(资)(政)(策)(
本)(基)(金)(未)(参)(与)(投)(资)(股)(指)(期)(货)(。
(十)()报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(国)(债)(期)(货)(交)(易)(情)(况)(说)(明)(
1、本)(期)(国)(债)(期)(货)(投)(资)(政)(策)(
本)(基)(金)(未)(参)(与)(投)(资)(国)(债)(期)(货)(。
2、报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(国)(债)(期)(货)(持)(仓)(和)(损)(益)(明)(细)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(国)(债)(期)(货)(。
3、本)(期)(国)(债)(期)(货)(投)(资)(评)(价)(
本)(基)(金)(未)(参)(与)(投)(资)(国)(债)(期)(货)(。
(十)(一)()投)(资)(组)(合)(报)(告)(附)(注)(
1、本)(基)(金)(投)(资)(的)(前)(十)(名)(证)(券)(的)(发)(行)(主)(体)(报)(告)(期)(内)(被)(监)(管)(部)(门)(立)(案)(调)(查)(,或)(在)(报)(告)(编)(制)(日)(前)(一)(年)(内)(受)(到)(公)(开)(谴)(责)(、处)(罚)(的)(情)(形)(及)(相)(关)(投)(资)(决)(策)(程)(序)(说)(明)(。
美)(年)(健)(康)(于)(2017年)(7月)(31日)(、8月)(9日)(、8月)(30日)(分)(别)(收)(到)(济)(南)(市)(天)(城)(区)(城)(市)(管)(理)(行)(政)(执)(法)(局)(对)(济)(源)(美)(年)(大)(健)(康)(的)(行)(政)(处)(罚)(决)(定)(书)((济)(天)(城)(执)(除)(字)([2017]第)(010009号)();上)(海)(市)(静)(安)(区)(卫)(生)(和)(计)(划)(生)(育)(委)(员)(会)(对)(上)(海)(美)(恒)(门)(诊)(部)(的)(行)(政)(处)(罚)(决)(定)(书)((静)(第)(2120176010号)();潍)(坊)(市)(公)(安)(消)(防)(支)(队)(奎)(文)(区)(大)(队)(对)(潍)(坊)(美)(年)(大)(健)(康)(的)(行)(政)(处)(罚)(决)(定)(书)((奎)(公)(消)(行)(罚)(决)(字)([2017]0066号)()。经)(基)(金)(管)(理)(人)(分)(析)(,以)(上)(处)(罚)(不)(影)(响)(公)(司)(正)(常)(经)(营)(和)(投)(资)(价)(值)(。
除)(美)(年)(健)(康)((002044)、外)(,其)(余)(的)(本)(基)(金)(投)(资)(的)(前)(十)(名)(证)(券)(的)(发)(行)(主)(体)(报)(告)(期)(内)(没)(有)(被)(监)(管)(部)(门)(立)(案)(调)(查)(,也)(没)(有)(在)(报)(告)(编)(制)(日)(前)(一)(年)(内)(受)(到)(公)(开)(谴)(责)(、处)(罚)(的)(情)(形)(。
2、本)(基)(金)(投)(资)(的)(前)(十)(名)(股)(票)(中)(,没)(有)(投)(资)(于)(超)(出)(基)(金)(合)(同)(规)(定)(备)(选)(股)(票)(库)(的)(情)(形)(。
3、其)(他)(资)(产)(构)(成)(
4、报)(告)(期)(末)(持)(有)(的)(处)(于)(转)(股)(期)(的)(可)(转)(换)(债)(券)(明)(细)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(处)(于)(转)(股)(期)(的)(可)(转)(换)(债)(券)(。
5、报)(告)(期)(末)(前)(十)(名)(股)(票)(中)(存)(在)(流)(通)(受)(限)(情)(况)(的)(说)(明)(
注)(:本)(基)(金)(本)(报)(告)(期)(末)(前)(十)(名)(股)(票)(中)(不)(存)(在)(流)(通)(受)(限)(情)(况)(。
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)(可)(能)(存)(在)(尾)(差)(。
十)(二)(、基)(金)(的)(业)(绩)(
基)(金)(管)(理)(人)(承)(诺)(以)(诚)(实)(信)(用)(、勤)(勉)(尽)(责)(的)(原)(则)(管)(理)(和)(运)(用)(基)(金)(财)(产)(,但)(不)(保)(证)(基)(金)(一)(定)(盈)(利)(,也)(不)(保)(证)(最)(低)(收)(益)(。基)(金)(的)(过)(往)(业)(绩)(并)(不)(预)(示)(其)(未)(来)(表)(现)(。投)(资)(有)(风)(险)(,投)(资)(者)(在)(进)(行)(投)(资)(决)(策)(前)(,请)(仔)(细)(阅)(读)(本)(基)(金)(的)(招)(募)(说)(明)(书)(及)(基)(金)(合)(同)(。
1、截)(至)(2018年)(6月)(30日)(,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)(:
2、基)(金)(合)(同)(生)(效)(以)(来)(基)(金)(份)(额)(净)(值)(的)(变)(动)(情)(况)(,并)(与)(同)(期)(业)(绩)(比)(较)(基)(准)(的)(变)(动)(的)(比)(较)(
注)(:1、本)(基)(金)(合)(同)(于)(2007年)(3月)(8日)(生)(效)(,2007年)(5月)(10日)(开)(始)(办)(理)(申)(购)(、赎)(回)(业)(务)(。
2、本)(基)(金)(主)(要)(投)(资)(于)(股)(票)(,股)(票)(资)(产)(占)(基)(金)(资)(产)(比)(例)(为)(60%-95%,债)(券)(资)(产)(占)(基)(金)(资)(产)(比)(例)(为)(0%-35%,现)(金)(及)(其)(他)(短)(期)(金)(融)(工)(具)(的)(资)(产)(占)(基)(金)(资)(产)(比)(例)(为)(5%-40%。为)(了)(满)(足)(基)(金)(流)(动)(性)(要)(求)(,基)(金)(保)(留)(的)(现)(金)(以)(及)(投)(资)(于)(到)(期)(日)(在)(1年)(以)(内)(的)(政)(府)(债)(券)(、中)(央)(银)(行)(票)(据)(等)(短)(期)(金)(融)(工)(具)(的)(资)(产)(比)(例)(不)(低)(于)(基)(金)(资)(产)(净)(值)(的)(5%。本)(基)(金)(按)(规)(定)(在)(合)(同)(生)(效)(后)(六)(个)(月)(内)(达)(到)(上)(述)(规)(定)(的)(投)(资)(比)(例)(。
十)(三)(、基)(金)(的)(费)(用)((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)(财)(产)(拨)(划)(支)(付)(的)(银)(行)(费)(用)(;
4.基)(金)(合)(同)(生)(效)(后)(的)(信)(息)(披)(露)(费)(用)(;
5.基)(金)(份)(额)(持)(有)(人)(大)(会)(费)(用)(;
6.基)(金)(合)(同)(生)(效)(后)(与)(基)(金)(有)(关)(的)(会)(计)(师)(费)(和)(律)(师)(费)(;
7.基)(金)(的)(证)(券)(交)(易)(费)(用)(;
8.在)(中)(国)(证)(监)(会)(规)(定)(允)(许)(的)(前)(提)(下)(,本)(基)(金)(可)(以)(从)(基)(金)(财)(产)(中)(计)(提)(销)(售)(服)(务)(费)(,具)(体)(计)(提)(方)(法)(、计)(提)(标)(准)(在)(招)(募)(说)(明)(书)(或)(相)(关)(公)(告)(中)(载)(明)(;
9.按)(照)(国)(家)(有)(关)(规)(定)(可)(以)(在)(基)(金)(财)(产)(中)(列)(支)(的)(其)(他)(费)(用)(。
(二)()上)(述)(基)(金)(费)(用)(由)(基)(金)(管)(理)(人)(在)(法)(律)(规)(定)(的)(范)(围)(内)(按)(照)(公)(允)(的)(市)(场)(价)(格)(确)(定)(,法)(律)(法)(规)(另)(有)(规)(定)(时)(从)(其)(规)(定)(。
(三)()基)(金)(费)(用)(计)(提)(方)(法)(、计)(提)(标)(准)(和)(支)(付)(方)(式)(
1、基)(金)(管)(理)(人)(的)(管)(理)(费)(
本)(基)(金)(的)(管)(理)(费)(率)(为)(1.5%(年)(率)(),基)(金)(管)(理)(费)(按)(前)(一)(日)(基)(金)(资)(产)(净)(值)(的)(1.5%(年)(率)()计)(提)(:
计)(算)(方)(法)(如)(下)(:
H=E×1.5%÷当)(年)(天)(数)(
H为)(每)(日)(应)(计)(提)(的)(管)(理)(费)(
E为)(前)(一)(日)(基)(金)(资)(产)(净)(值)(
管)(理)(费)(每)(日)(计)(提)(,按)(月)(支)(付)(。由)(基)(金)(管)(理)(人)(向)(基)(金)(托)(管)(人)(发)(送)(基)(金)(管)(理)(费)(划)(付)(指)(令)(,经)(基)(金)(托)(管)(人)(复)(核)(后)(于)(次)(月)(首)(日)(起)(3个)(工)(作)(日)(内)(完)(成)(复)(核)(,并)(从)(基)(金)(财)(产)(中)(一)(次)(性)(支)(付)(已)(确)(认)(管)(理)(费)(给)(该)(基)(金)(管)(理)(人)(,若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(,支)(付)(日)(期)(顺)(延)(。
2、基)(金)(托)(管)(人)(的)(托)(管)(费)(
本)(基)(金)(的)(托)(管)(费)(率)(为)(0.25%(年)(率)(),托)(管)(费)(按)(前)(一)(日)(基)(金)(资)(产)(净)(值)(的)(0.25%(年)(率)()计)(提)(:
计)(算)(方)(法)(如)(下)(:
H=E×0.25%÷当)(年)(天)(数)(
H为)(每)(日)(应)(计)(提)(的)(基)(金)(托)(管)(费)(
E为)(前)(一)(日)(的)(基)(金)(资)(产)(净)(值)(
基)(金)(托)(管)(费)(每)(日)(计)(提)(,按)(月)(支)(付)(。由)(基)(金)(管)(理)(人)(向)(基)(金)(托)(管)(人)(发)(送)(基)(金)(托)(管)(费)(划)(付)(指)(令)(,经)(基)(金)(托)(管)(人)(复)(核)(后)(于)(次)(月)(首)(日)(起)(3个)(工)(作)(日)(内)(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)(,支)(付)(日)(期)(顺)(延)(。
3、基)(金)(申)(购)((基)(金)(合)(同)(生)(效)(后)(购)(买)(本)(基)(金)()
投)(资)(者)(申)(购)(本)(基)(金)(采)(用)(全)(额)(缴)(款)(的)(申)(购)(方)(式)(。
申)(购)(费)(用)(的)(计)(算)(方)(法)(如)(下)(:
净)(申)(购)(金)(额)(=申)(购)(金)(额)(/[1+申)(购)(费)(率)(]
申)(购)(费)(用)(=申)(购)(金)(额)(-净)(申)(购)(金)(额)(
申)(购)(费)(用)(在)(基)(金)(申)(购)(时)(从)(申)(购)(金)(额)(中)(扣)(除)(,不)(列)(入)(基)(金)(财)(产)(。基)(金)(申)(购)(费)(用)(用)(于)(市)(场)(推)(广)(、销)(售)(、注)(册)(登)(记)(、客)(户)(服)(务)(等)(各)(项)(费)(用)(。
若)(投)(资)(者)(在)(一)(个)(交)(易)(日)(内)(多)(次)(申)(购)(,则)(根)(据)(单)(次)(申)(购)(金)(额)(确)(定)(每)(次)(申)(购)(所)(适)(用)(的)(费)(率)(分)(别)(计)(算)(每)(笔)(的)(申)(购)(费)(用)(。
4、基)(金)(赎)(回)(
本)(基)(金)(赎)(回)(费)(用)(由)(基)(金)(赎)(回)(人)(承)(担)(,在)(基)(金)(份)(额)(持)(有)(人)(赎)(回)(基)(金)(份)(额)(时)(收)(取)(。
本)(基)(金)(的)(赎)(回)(费)(率)(按)(持)(有)(期)((T)递)(减)(,最)(高)(不)(超)(过)(总)(的)(赎)(回)(金)(额)(的)(0.5%,持)(有)(期)(超)(过)(2年)(赎)(回)(费)(率)(则)(为)(0。
赎)(回)(费)(率)(表)(如)(下)(:
注)(:1年)(按)(照)(365天)(计)(算)(,2年)(按)(照)(730天)(计)(算)(,其)(余)(同)(。
赎)(回)(费)(用)(的)(计)(算)(方)(法)(如)(下)(:
赎)(回)(费)(用)(=赎)(回)(金)(额)(×赎)(回)(费)(率)(
基)(金)(管)(理)(人)(对)(持)(续)(持)(有)(期)(少)(于)(7日)(的)(投)(资)(者)(收)(取)(的)(赎)(回)(费)(将)(全)(额)(计)(入)(基)(金)(财)(产)(,除)(此)(之)(外)(,本)(基)(金)(赎)(回)(费)(总)(额)(的)(25%归)(基)(金)(财)(产)(,75%用)(于)(支)(付)(注)(册)(登)(记)(费)(和)(其)(他)(必)(要)(的)(手)(续)(费)(。
5、基)(金)(转)(换)(
本)(基)(金)(已)(通)(过)(信)(达)(澳)(银)(直)(销)(中)(心)(及)(部)(分)(代)(销)(机)(构)(开)(通)(本)(基)(金)(与)(公)(司)(旗)(下)(其)(他)(基)(金)(的)(转)(换)(业)(务)(。本)(基)(金)(转)(换)(费)(的)(费)(率)(水)(平)(、计)(算)(公)(式)(、收)(取)(方)(式)(和)(使)(用)(方)(式)(请)(详)(见)(招)(募)(说)(明)(书)(的)(“基)(金)(份)(额)(的)(申)(购)(与)(赎)(回)(”章)(节)(和)(本)(基)(金)(关)(于)(转)(换)(业)(务)(的)(相)(关)(公)(告)(。
6、本)(条)(第)((一)()款)(第)(3至)(第)(9项)(费)(用)(由)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(根)(据)(有)(关)(法)(规)(及)(相)(应)(协)(议)(的)(规)(定)(,按)(费)(用)(支)(出)(金)(额)(支)(付)(,列)(入)(或)(摊)(入)(当)(期)(基)(金)(费)(用)(。
(四)()不)(列)(入)(基)(金)(费)(用)(的)(项)(目)(
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)(,以)(及)(处)(理)(与)(基)(金)(运)(作)(无)(关)(的)(事)(项)(发)(生)(的)(费)(用)(等)(不)(列)(入)(基)(金)(费)(用)(。基)(金)(合)(同)(生)(效)(前)(所)(发)(生)(的)(信)(息)(披)(露)(费)(、律)(师)(费)(和)(会)(计)(师)(费)(以)(及)(其)(他)(费)(用)(不)(从)(基)(金)(财)(产)(中)(支)(付)(。
(五)()基)(金)(管)(理)(费)(、基)(金)(托)(管)(费)(的)(调)(整)(
基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(可)(根)(据)(基)(金)(发)(展)(情)(况)(调)(整)(基)(金)(管)(理)(费)(率)(、基)(金)(托)(管)(费)(率)(等)(相)(关)(费)(率)(或)(改)(变)(收)(费)(模)(式)(。降)(低)(基)(金)(管)(理)(费)(率)(和)(基)(金)(托)(管)(费)(率)(,无)(须)(召)(开)(基)(金)(份)(额)(持)(有)(人)(大)(会)(。基)(金)(管)(理)(人)(必)(须)(最)(迟)(于)(新)(的)(费)(率)(实)(施)(日)(2日)(前)(在)(至)(少)(一)(种)(指)(定)(媒)(体)(上)(予)(以)(公)(告)(,并)(报)(中)(国)(证)(监)(会)(备)(案)(。
(六)()税)(收)(
基)(金)(和)(基)(金)(份)(额)(持)(有)(人)(根)(据)(国)(家)(法)(律)(法)(规)(的)(规)(定)(,履)(行)(纳)(税)(义)(务)(。
十)(四)(、对)(招)(募)(说)(明)(书)(更)(新)(部)(分)(的)(说)(明)(
本)(基)(金)(管)(理)(人)(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)(》、《证)(券)(投)(资)(基)(金)(销)(售)(管)(理)(办)(法)(》、《证)(券)(投)(资)(基)(金)(信)(息)(披)(露)(管)(理)(办)(法)(》及)(其)(它)(有)(关)(法)(律)(法)(规)(的)(规)(定)(,结)(合)(本)(基)(金)(管)(理)(人)(对)(本)(基)(金)(实)(施)(的)(投)(资)(管)(理)(活)(动)(,对)(本)(基)(金)(管)(理)(人)(于)(2018年)(4月)(14日)(公)(告)(的)(本)(基)(金)(的)(招)(募)(说)(明)(书)((更)(新)()进)(行)(了)(更)(新)(,主)(要)(更)(新)(的)(内)(容)(如)(下)(:
(一)()在)(“重)(要)(提)(示)(”部)(分)(,明)(确)(了)(更)(新)(招)(募)(说)(明)(书)(内)(容)(的)(截)(止)(日)(期)(及)(有)(关)(财)(务)(数)(据)(的)(截)(止)(日)(期)(;
(二)()在)(“三)(、基)(金)(管)(理)(人)(”部)(分)(,更)(新)(了)(管)(理)(人)(的)(相)(关)(信)(息)(:
1、更)(新)(了)(证)(券)(投)(资)(基)(金)(管)(理)(情)(况)(的)(相)(关)(信)(息)(;
2、更)(新)(了)(基)(金)(管)(理)(人)(董)(事)(、监)(事)(、高)(级)(管)(理)(人)(员)(的)(相)(关)(信)(息)(;
3、更)(新)(了)(基)(金)(经)(理)(的)(相)(关)(信)(息)(;
4、更)(新)(了)(公)(司)(投)(资)(审)(议)(委)(员)(会)(的)(相)(关)(信)(息)(;
(三)()在)(“五)(、相)(关)(服)(务)(机)(构)(”部)(分)(,更)(新)(了)(代)(销)(机)(构)(的)(相)(关)(信)(息)(;
(四)()在)(“九)(、基)(金)(的)(投)(资)(”部)(分)(,更)(新)(了)(本)(基)(金)(最)(近)(一)(期)(投)(资)(组)(合)(报)(告)(内)(容)(,数)(据)(截)(至)(2018年)(6月)(30日)(;
(五)()在)(“十)(、基)(金)(的)(业)(绩)(”部)(分)(,更)(新)(了)(基)(金)(业)(绩)(相)(关)(数)(据)(,数)(据)(截)(至)(2018年)(6月)(30日)(;
(六)()在)(“二)(十)(三)(、其)(他)(应)(披)(露)(事)(项)(”部)(分)(,更)(新)(了)(本)(基)(金)(的)(其)(他)(应)(披)(露)(事)(项)(列)(表)(。
信)(达)(澳)(银)(基)(金)(管)(理)(有)(限)(公)(司)(
二)(一)(八)(年)(十)(月)(十)(七)(日)(返)(回)(搜)(狐)(,查)(看)(更)(多)(
责)(任)(编)(辑)(:
)


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