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大成国企改革灵活配置混合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: 2020年01月22日 19:24:48
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(一)(、基)(金)(管)(理)(人)((一)()基)(金)(管)(理)(人)(概)(况)(
名)(称)(:大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(32层)(
办)(公)(地)(址)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(32层)(
设)(立)(日)(期)(:1999年)(4月)(12日)(
注)(册)(资)(本)(:贰)(亿)(元)(人)(民)(币)(
股)(权)(结)(构)(:公)(司)(股)(东)(为)(中)(泰)(信)(托)(有)(限)(责)(任)(公)(司)((持)(股)(比)(例)(50%)、中)(国)(银)(河)(投)(资)(管)(理)(有)(限)(公)(司)((持)(股)(比)(例)(25%)、光)(大)(证)(券)(股)(份)(有)(限)(公)(司)((持)(股)(比)(例)(25%)三)(家)(公)(司)(。
法)(定)(代)(表)(人)(:刘)(卓)(
电)(话)(:0755-83183388
传)(真)(:0755-83199588
联)(系)(人)(:肖)(剑)((二)()主)(要)(人)(员)(情)(况)(
1.公)(司)(高)(级)(管)(理)(人)(员)(
董)(事)(会)(:
刘)(卓)(先)(生)(,董)(事)(长)(,工)(学)(学)(士)(。曾)(任)(职)(于)(共)(青)(团)(哈)(尔)(滨)(市)(委)(、哈)(尔)(滨)(银)(行)(股)(份)(有)(限)(公)(司)(、中)(泰)(信)(托)(有)(限)(责)(任)(公)(司)(;2007年)(6月)(,任)(哈)(尔)(滨)(银)(行)(股)(份)(有)(限)(公)(司)(执)(行)(董)(事)(;2008年)(8月)(,任)(哈)(尔)(滨)(银)(行)(股)(份)(有)(限)(公)(司)(董)(事)(会)(秘)(书)(;2012年)(4月)(,任)(哈)(尔)(滨)(银)(行)(股)(份)(有)(限)(公)(司)(副)(董)(事)(长)(;2012年)(11月)(至)(今)(,任)(中)(泰)(信)(托)(有)(限)(责)(任)(公)(司)(监)(事)(会)(主)(席)(。2014年)(12月)(15日)(起)(任)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(董)(事)(长)(。
靳)(天)(鹏)(先)(生)(,副)(董)(事)(长)(,国)(际)(法)(学)(硕)(士)(。1991年)(7月)(至)(1993年)(2月)(,任)(职)(于)(共)(青)(团)(河)(南)(省)(委)(;1993年)(3月)(至)(12月)(,任)(职)(于)(深)(圳)(市)(国)(际)(经)(济)(与)(法)(律)(咨)(询)(公)(司)(;1994年)(1月)(至)(6月)(,任)(职)(于)(深)(圳)(市)(蛇)(口)(律)(师)(事)(务)(所)(;1994年)(7月)(至)(1997年)(4月)(,任)(职)(于)(蛇)(口)(招)(商)(港)(务)(股)(份)(有)(限)(公)(司)(;1997年)(5月)(至)(2015年)(1月)(,先)(后)(任)(光)(大)(证)(券)(有)(限)(责)(任)(公)(司)(南)(方)(总)(部)(研)(究)(部)(研)(究)(员)(,南)(方)(总)(部)(机)(构)(管)(理)(部)(副)(总)(经)(理)(,光)(大)(证)(券)(股)(份)(有)(限)(公)(司)(债)(券)(业)(务)(部)(总)(经)(理)(助)(理)(,资)(产)(管)(理)(总)(部)(投)(资)(部)(副)(总)(经)(理)((主)(持)(工)(作)(),法)(律)(合)(规)(部)(副)(总)(经)(理)(,零)(售)(交)(易)(业)(务)(总)(部)(副)(总)(经)(理)(;2014年)(10月)(,任)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(公)(司)(董)(事)(;2015年)(1月)(起)(任)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(副)(董)(事)(长)(。
罗)(登)(攀)(先)(生)(,董)(事)(、总)(经)(理)(,耶)(鲁)(大)(学)(经)(济)(学)(博)(士)(。具)(注)(册)(金)(融)(分)(析)(师)((CFA)、金)(融)(风)(险)(管)(理)(师)((FRM)资)(格)(。曾)(任)(毕)(马)(威)((KPMG)法)(律)(诉)(讼)(部)(资)(深)(咨)(询)(师)(、金)(融)(部)(资)(深)(咨)(询)(师)(,以)(及)(SLCG证)(券)(诉)(讼)(和)(咨)(询)(公)(司)(合)(伙)(人)(;2009年)(至)(2012年)(,任)(中)(国)(证)(券)(监)(督)(管)(理)(委)(员)(会)(规)(划)(委)(专)(家)(顾)(问)(委)(员)(,机)(构)(部)(创)(新)(处)(负)(责)(人)(;2013年)(2月)(至)(2014年)(10月)(,任)(中)(信)(并)(购)(基)(金)(管)(理)(有)(限)(公)(司)(董)(事)(总)(经)(理)(,执)(委)(会)(委)(员)(。2014年)(11月)(26日)(起)(任)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(总)(经)(理)(。2015年)(3月)(起)(兼)(任)(大)(成)(国)(际)(资)(产)(管)(理)(有)(限)(公)(司)(董)(事)(长)(。
周)(雄)(先)(生)(,董)(事)(,金)(融)(学)(博)(士)(,北)(京)(大)(学)(光)(华)(管)(理)(学)(院)(高)(级)(管)(理)(人)(员)(工)(商)(管)(理)(硕)(士)((EMBA),上)(海)(市)(黄)(浦)(区)(政)(协)(委)(员)(。1987年)(8月)(至)(1993年)(4月)(,任)(厦)(门)(大)(学)(财)(经)(系)(教)(师)(;1993年)(4月)(至)(1996年)(8月)(,任)(华)(夏)(证)(券)(有)(限)(公)(司)(厦)(门)(分)(公)(司)(经)(理)(;1996年)(8月)(至)(1999年)(2月)(,任)(人)(民)(日)(报)(社)(事)(业)(发)(展)(局)(企)(业)(管)(理)(处)(副)(处)(长)(;1999年)(2月)(至)(2018年)(2月)(任)(职)(于)(中)(泰)(信)(托)(有)(限)(责)(任)(公)(司)(,历)(任)(副)(总)(裁)(、总)(裁)(,现)(为)(中)(泰)(信)(托)(有)(限)(责)(任)(公)(司)(董)(事)(。
孙)(学)(林)(先)(生)(,董)(事)(,硕)(士)(研)(究)(生)(。具)(注)(册)(会)(计)(师)(、注)(册)(资)(产)(评)(估)(师)(资)(格)(。现)(任)(中)(国)(银)(河)(投)(资)(管)(理)(有)(限)(公)(司)(党)(委)(委)(员)(、总)(裁)(助)(理)(,兼)(任)(投)(资)(二)(部)(总)(经)(理)(兼)(行)(政)(负)(责)(人)(、投)(资)(决)(策)(委)(员)(会)(副)(主)(任)(。2012年)(6月)(起)(,兼)(任)(镇)(江)(银)(河)(创)(业)(投)(资)(有)(限)(公)(司)(总)(经)(理)(、投)(资)(决)(策)(委)(员)(会)(委)(员)(。
黄)(隽)(女)(士)(,独)(立)(董)(事)(,经)(济)(学)(博)(士)(。现)(任)(中)(国)(人)(民)(大)(学)(经)(济)(学)(院)(教)(授)(、博)(士)(生)(导)(师)(,中)(国)(人)(民)(大)(学)(艺)(术)(品)(金)(融)(研)(究)(所)(副)(所)(长)(。
叶)(林)(先)(生)(,独)(立)(董)(事)(,法)(学)(博)(士)(。现)(任)(中)(国)(人)(民)(大)(学)(法)(学)(院)(教)(授)(、民)(商)(法)(教)(研)(室)(主)(任)(,博)(士)(研)(究)(生)(导)(师)(、国)(家)(社)(会)(科)(学)(重)(点)(基)(地)(中)(国)(民)(商)(事)(法)(律)(科)(学)(研)(究)(中)(心)(兼)(职)(教)(授)(。
吉)(敏)(女)(士)(,独)(立)(董)(事)(,金)(融)(学)(博)(士)(,现)(任)(东)(北)(财)(经)(大)(学)(讲)(师)(,教)(研)(室)(主)(任)(,东)(北)(财)(经)(大)(学)(金)(融)(学)(国)(家)(级)(教)(学)(团)(队)(成)(员)(,东)(北)(财)(经)(大)(学)(开)(发)(金)(融)(研)(究)(中)(心)(助)(理)(研)(究)(员)(,主)(要)(从)(事)(金)(融)(业)(产)(业)(组)(织)(结)(构)(、银)(行)(业)(竞)(争)(方)(面)(的)(研)(究)(。参)(与)(两)(项)(国)(家)(自)(然)(科)(学)(基)(金)(、三)(项)(国)(家)(社)(科)(基)(金)(、三)(项)(教)(育)(部)(人)(文)(社)(会)(科)(学)(一)(般)(项)(目)(、多)(项)(省)(级)(创)(新)(团)(队)(项)(目)(,并)(负)(责)(撰)(写)(项)(目)(总)(结)(报)(告)(,在)(国)(内)(财)(经)(类)(期)(刊)(发)(表)(多)(篇)(学)(术)(论)(文)(。
金)(李)(先)(生)(,独)(立)(董)(事)(,博)(士)(。现)(任)(英)(国)(牛)(津)(大)(学)(商)(学)(院)(终)(身)(教)(职)(正)(教)(授)((博)(士)(生)(导)(师)()和)(北)(京)(大)(学)(光)(华)(管)(理)(学)(院)(讲)(席)(教)(授)((博)(士)(生)(导)(师)(),金)(融)(系)(联)(合)(系)(主)(任)(,院)(长)(助)(理)(,北)(京)(大)(学)(国)(家)(金)(融)(研)(究)(中)(心)(主)(任)(。曾)(在)(美)(国)(哈)(佛)(大)(学)(商)(学)(院)(任)(教)(十)(多)(年)(,并)(兼)(任)(哈)(佛)(大)(学)(费)(正)(清)(东)(亚)(研)(究)(中)(心)(执)(行)(理)(事)(。
监)(事)(会)(:
许)(国)(平)(先)(生)(,监)(事)(会)(主)(席)(,中)(国)(人)(民)(大)(学)(国)(民)(经)(济)(学)(博)(士)(。1987年)(至)(2004年)(先)(后)(任)(中)(国)(人)(民)(银)(行)(国)(际)(司)(处)(长)(,东)(京)(代)(表)(处)(代)(表)(,研)(究)(局)(调)(研)(员)(,金)(融)(稳)(定)(局)(体)(改)(处)(处)(长)(;2005年)(6月)(至)(2008年)(1月)(任)(中)(央)(汇)(金)(投)(资)(有)(限)(责)(任)(公)(司)(建)(行)(股)(权)(管)(理)(部)(主)(任)(;2005年)(8月)(至)(2016年)(11月)(任)(中)(国)(银)(河)(金)(融)(控)(股)(有)(限)(责)(任)(公)(司)(董)(事)(、副)(总)(经)(理)(、党)(委)(委)(员)(;2007年)(2月)(至)(2016年)(11月)(任)(中)(国)(银)(河)(投)(资)(管)(理)(有)(限)(公)(司)(董)(事)(长)(、总)(裁)(、党)(委)(书)(记)(;2010年)(6月)(至)(2014年)(3月)(兼)(任)(北)(京)(银)(河)(吉)(星)(创)(业)(投)(资)(有)(限)(责)(任)(公)(司)(董)(事)(长)(;2007年)(1月)(至)(2015年)(6月)(任)(中)(国)(银)(河)(证)(券)(股)(份)(有)(限)(公)(司)(董)(事)(;2014年)(1月)(至)(2017年)(6月)(任)(银)(河)(基)(金)(管)(理)(有)(限)(公)(司)(党)(委)(书)(记)(;2014年)(3月)(至)(2018年)(1月)(任)(银)(河)(基)(金)(管)(理)(有)(限)(公)(司)(董)(事)(长)((至)(2017年)(11月)()及)(法)(定)(代)(表)(人)(;2018年)(3月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,任)(监)(事)(会)(主)(席)(。
蒋)(卫)(强)(先)(生)(,职)(工)(监)(事)(,经)(济)(学)(硕)(士)(。1997年)(7月)(至)(1998年)(10月)(任)(杭)(州)(益)(和)(电)(脑)(公)(司)(开)(发)(部)(软)(件)(工)(程)(师)(。1998年)(10月)(至)(1999年)(8月)(任)(杭)(州)(新)(利)(电)(子)(技)(术)(有)(限)(公)(司)(电)(子)(商)(务)(部)(高)(级)(程)(序)(员)(。1999年)(8月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,历)(任)(信)(息)(技)(术)(部)(系)(统)(开)(发)(员)(、金)(融)(工)(程)(部)(高)(级)(工)(程)(师)(、监)(察)(稽)(核)(部)(总)(监)(助)(理)(、信)(息)(技)(术)(部)(副)(总)(监)(、风)(险)(管)(理)(部)(副)(总)(监)(、风)(险)(管)(理)(部)(总)(监)(,现)(任)(信)(息)(技)(术)(部)(总)(监)(。
吴)(萍)(女)(士)(,职)(工)(监)(事)(,文)(学)(学)(士)(,中)(国)(注)(册)(会)(计)(师)(协)(会)(非)(执)(业)(会)(员)(。曾)(任)(职)(于)(中)(国)(农)(业)(银)(行)(深)(圳)(分)(行)(、日)(本)(三)(和)(银)(行)(深)(圳)(分)(行)(、普)(华)(永)(道)(会)(计)(师)(事)(务)(所)(深)(圳)(分)(所)(。2010年)(6月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,历)(任)(计)(划)(财)(务)(部)(高)(级)(会)(计)(师)(、总)(监)(助)(理)(,现)(任)(计)(划)(财)(务)(部)(副)(总)(监)(。2016年)(10月)(起)(兼)(任)(大)(成)(国)(际)(资)(产)(管)(理)(有)(限)(公)(司)(董)(事)(。
其)(他)(高)(级)(管)(理)(人)(员)(:
肖)(剑)(先)(生)(,副)(总)(经)(理)(,哈)(佛)(大)(学)(公)(共)(管)(理)(硕)(士)(。曾)(任)(深)(圳)(市)(南)(山)(区)(委)((政)(府)()办)(公)(室)(副)(主)(任)(,深)(圳)(市)(广)(聚)(能)(源)(股)(份)(有)(限)(公)(司)(副)(总)(经)(理)(兼)(广)(聚)(投)(资)(控)(股)(公)(司)(执)(行)(董)(事)(、总)(经)(理)(,深)(圳)(市)(人)(民)(政)(府)(国)(有)(资)(产)(监)(督)(管)(理)(委)(员)(会)(副)(处)(长)(、处)(长)(。2014年)(11月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,2015年)(1月)(起)(任)(公)(司)(副)(总)(经)(理)(。
温)(智)(敏)(先)(生)(,副)(总)(经)(理)(,哈)(佛)(大)(学)(法)(学)(博)(士)(。曾)(任)(职)(于)(美)(国)(HuntonWilliams国)(际)(律)(师)(事)(务)(所)(纽)(约)(州)(执)(业)(律)(师)(。中)(银)(国)(际)(投)(行)(业)(务)(副)(总)(裁)(,香)(港)(三)(山)(投)(资)(公)(司)(董)(事)(总)(经)(理)(,标)(准)(银)(行)(亚)(洲)(有)(限)(公)(司)(董)(事)(总)(经)(理)(兼)(中)(国)(投)(行)(业)(务)(主)(管)(。2015年)(4月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,任)(首)(席)(战)(略)(官)(,2015年)(8月)(起)(任)(公)(司)(副)(总)(经)(理)(。2016年)(10月)(起)(兼)(任)(大)(成)(国)(际)(资)(产)(管)(理)(有)(限)(公)(司)(董)(事)(。
周)(立)(新)(先)(生)(,副)(总)(经)(理)(,大)(学)(本)(科)(学)(历)(。曾)(任)(新)(疆)(精)(河)(县)(党)(委)(办)(公)(室)(机)(要)(员)(、新)(疆)(精)(河)(县)(团)(委)(副)(书)(记)(、新)(疆)(精)(河)(县)(人)(民)(政)(府)(体)(改)(委)(副)(主)(任)(、新)(疆)(精)(河)(县)(八)(家)(户)(农)(场)(党)(委)(书)(记)(、新)(疆)(博)(尔)(塔)(拉)(蒙)(古)(自)(治)(州)(团)(委)(副)(书)(记)(及)(少)(工)(委)(主)(任)(、江)(苏)(省)(铁)(路)(发)(展)(股)(份)(有)(限)(公)(司)(办)(公)(室)(主)(任)(、江)(苏)(省)(铁)(路)(发)(展)(股)(份)(有)(限)(公)(司)(控)(股)(企)(业)(及)(江)(苏)(省)(铁)(路)(实)(业)(集)(团)(有)(限)(公)(司)(控)(股)(企)(业)(负)(责)(人)(、中)(国)(华)(闻)(投)(资)(控)(股)(有)(限)(公)(司)(燃)(气)(战)(略)(管)(理)(部)(项)(目)(经)(理)(。2005年)(1月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,历)(任)(客)(户)(服)(务)(中)(心)(总)(监)(助)(理)(、市)(场)(部)(副)(总)(经)(理)(、上)(海)(分)(公)(司)(副)(总)(经)(理)(、客)(户)(服)(务)(部)(总)(监)(兼)(上)(海)(分)(公)(司)(总)(经)(理)(、公)(司)(助)(理)(总)(经)(理)(,2015年)(8月)(起)(任)(公)(司)(副)(总)(经)(理)(。
谭)(晓)(冈)(先)(生)(,副)(总)(经)(理)(,哈)(佛)(大)(学)(公)(共)(行)(政)(管)(理)(硕)(士)(。曾)(任)(财)(政)(部)(世)(界)(银)(行)(司)(科)(长)(,世)(界)(银)(行)(中)(国)(执)(基)(办)(技)(术)(顾)(问)(,财)(政)(部)(办)(公)(厅)(处)(长)(,全)(国)(社)(保)(基)(金)(理)(事)(会)(办)(公)(厅)(处)(长)(、海)(外)(投)(资)(部)(副)(主)(任)(。2016年)(7月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,2017年)(2月)(起)(任)(公)(司)(副)(总)(经)(理)(。
姚)(余)(栋)(先)(生)(,副)(总)(经)(理)(,英)(国)(剑)(桥)(大)(学)(经)(济)(学)(博)(士)(。曾)(任)(职)(于)(原)(国)(家)(经)(贸)(委)(企)(业)(司)(、美)(国)(花)(旗)(银)(行)(伦)(敦)(分)(行)(。曾)(任)(世)(界)(银)(行)(咨)(询)(顾)(问)(,国)(际)(货)(币)(基)(金)(组)(织)(国)(际)(资)(本)(市)(场)(部)(和)(非)(洲)(部)(经)(济)(学)(家)(,原)(黑)(龙)(江)(省)(招)(商)(局)(副)(局)(长)(,黑)(龙)(江)(省)(商)(务)(厅)(副)(厅)(长)(,中)(国)(人)(民)(银)(行)(货)(币)(政)(策)(二)(司)(副)(巡)(视)(员)(,中)(国)(人)(民)(银)(行)(货)(币)(政)(策)(司)(副)(司)(长)(,中)(国)(人)(民)(银)(行)(金)(融)(研)(究)(所)(所)(长)(。2016年)(9月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,任)(首)(席)(经)(济)(学)(家)(,2017年)(2月)(起)(任)(公)(司)(副)(总)(经)(理)(。
陈)(翔)(凯)(先)(生)(,副)(总)(经)(理)(,香)(港)(中)(文)(大)(学)(工)(商)(管)(理)(硕)(士)(。曾)(任)(职)(于)(广)(发)(证)(券)(海)(南)(分)(公)(司)(,平)(安)(保)(险)(集)(团)(公)(司)(。曾)(任)(华)(安)(财)(产)(保)(险)(有)(限)(公)(司)(高)(级)(投)(资)(经)(理)(,国)(投)(瑞)(银)(基)(金)(管)(理)(有)(限)(公)(司)(固)(定)(收)(益)(部)(总)(监)(,招)(商)(证)(券)(资)(产)(管)(理)(有)(限)(公)(司)(副)(总)(经)(理)(。2016年)(11月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,2017年)(2月)(起)(任)(公)(司)(副)(总)(经)(理)(。
赵)(冰)(女)(士)(,督)(察)(长)(,清)(华)(大)(学)(工)(商)(管)(理)(硕)(士)(。曾)(供)(职)(于)(中)(国)(证)(券)(业)(协)(会)(资)(格)(管)(理)(部)(、专)(业)(联)(络)(部)(、基)(金)(公)(司)(会)(员)(部)(,曾)(任)(中)(国)(证)(券)(业)(协)(会)(分)(析)(师)(委)(员)(会)(委)(员)(、基)(金)(销)(售)(专)(业)(委)(员)(会)(委)(员)(。曾)(参)(与)(基)(金)(业)(协)(会)(筹)(备)(组)(的)(筹)(备)(工)(作)(。曾)(先)(后)(任)(中)(国)(证)(券)(投)(资)(基)(金)(业)(协)(会)(投)(教)(与)(媒)(体)(公)(关)(部)(负)(责)(人)(、理)(财)(及)(服)(务)(机)(构)(部)(负)(责)(人)(。2017年)(7月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(,2017年)(8月)(起)(任)(公)(司)(督)(察)(长)(。
2、本)(基)(金)(基)(金)(经)(理)(
王)(磊)(:经)(济)(学)(硕)(士)(。证)(券)(从)(业)(年)(限)(15年)(。2003年)(5月)(至)(2012年)(10月)(曾)(任)(证)(券)(时)(报)(社)(公)(司)(新)(闻)(部)(记)(者)(、世)(纪)(证)(券)(投)(资)(银)(行)(部)(业)(务)(董)(事)(、国)(信)(证)(券)(经)(济)(研)(究)(所)(分)(析)(师)(及)(资)(产)(管)(理)(总)(部)(专)(户)(投)(资)(经)(理)(、中)(银)(基)(金)(管)(理)(有)(限)(公)(司)(专)(户)(理)(财)(部)(投)(资)(经)(理)(及)(总)(监)((主)(持)(工)(作)()。2012年)(11月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(。2013年)(6月)(7日)(至)(2015年)(7月)(15日)(担)(任)(大)(成)(强)(化)(收)(益)(债)(券)(型)(证)(券)(投)(基)(金)(基)(金)(经)(理)(,2015年)(7月)(16日)(到)(2016年)(3月)(25日)(任)(大)(成)(强)(化)(收)(益)(定)(期)(开)(放)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2013年)(7月)(17日)(到)(2016年)(3月)(25日)(任)(大)(成)(景)(恒)(保)(本)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2013年)(11月)(9日)(到)(2016年)(3月)(25日)(任)(大)(成)(可)(转)(债)(增)(强)(债)(券)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2014年)(6月)(26到)(2016年)(3月)(25日)(任)(大)(成)(景)(益)(平)(稳)(收)(益)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2014年)(9月)(3日)(至)(2016年)(3月)(23日)(任)(大)(成)(景)(丰)(债)(券)(型)(证)(券)(投)(资)(基)(金)((LOF)基)(金)(经)(理)(。2014年)(12月)(9日)(到)(2016年)(3月)(25日)(任)(大)(成)(景)(利)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2015年)(12月)(14日)(起)(任)(大)(成)(行)(业)(轮)(动)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2016年)(11月)(11日)(起)(担)(任)(大)(成)(景)(尚)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2017年)(6月)(9日)(起)(担)(任)(大)(成)(积)(极)(成)(长)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2017年)(6月)(9日)(起)(担)(任)(大)(成)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2017年)(9月)(21日)(起)(担)(任)(大)(成)(国)(企)(改)(革)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。2017年)(12月)(1日)(起)(担)(任)(大)(成)(财)(富)(管)(理)(2020混)(合)(型)(证)(券)(投)(资)(基)(金)(投)(资)(基)(金)(基)(金)(经)(理)(。具)(有)(基)(金)(从)(业)(资)(格)(。国)(籍)(:中)(国)(
张)(烨)(:经)(济)(学)(硕)(士)(。证)(券)(从)(业)(年)(限)(8年)(。2010年)(3月)(至)(2011年)(9月)(任)(鹏)(华)(基)(金)(管)(理)(有)(限)(公)(司)(研)(究)(部)(研)(究)(员)(。2011年)(9月)(加)(入)(大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(。2015年)(4月)(21日)(起)(担)(任)(大)(成)(互)(联)(网)(思)(维)(混)(合)(型)(证)(券)(投)(资)(基)(金)(的)(基)(金)(经)(理)(助)(理)(。2017年)(9月)(26日)(起)(担)(任)(大)(成)(国)(企)(改)(革)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。具)(有)(基)(金)(从)(业)(资)(格)(。国)(籍)(:中)(国)(
3、公)(司)(投)(资)(决)(策)(委)(员)(会)(
公)(司)(股)(票)(投)(资)(决)(策)(委)(员)(会)(由)(5名)(成)(员)(组)(成)(,设)(股)(票)(投)(资)(决)(策)(委)(员)(会)(主)(席)(1名)(,其)(他)(委)(员)(4名)(,名)(单)(如)(下)(:
罗)(登)(攀)(,公)(司)(总)(经)(理)(,股)(票)(投)(资)(决)(策)(委)(员)(会)(主)(席)(;李)(本)(刚)(,基)(金)(经)(理)(,股)(票)(投)(资)(部)(总)(监)(,股)(票)(投)(资)(决)(策)(委)(员)(会)(委)(员)(;苏)(秉)(毅)(,基)(金)(经)(理)(,数)(量)(与)(指)(数)(投)(资)(部)(副)(总)(监)(,股)(票)(投)(资)(决)(策)(委)(员)(会)(委)(员)(;于)(雷)(,交)(易)(管)(理)(部)(总)(监)(,股)(票)(投)(资)(决)(策)(委)(员)(会)(委)(员)(;郑)(刚)(,风)(险)(管)(理)(部)(总)(监)(,股)(票)(投)(资)(决)(策)(委)(员)(会)(委)(员)(。
上)(述)(人)(员)(之)(间)(不)(存)(在)(亲)(属)(关)(系)(。
二)(、基)(金)(托)(管)(人)((一)()基)(本)(情)(况)(
名)(称)(:中)(国)(银)(行)(股)(份)(有)(限)(公)(司)((简)(称)(“中)(国)(银)(行)(”)
住)(所)(及)(办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(复)(兴)(门)(内)(大)(街)(1号)(
首)(次)(注)(册)(登)(记)(日)(期)(:1983年)(10月)(31日)(
注)(册)(资)(本)(:人)(民)(币)(贰)(仟)(玖)(佰)(肆)(拾)(叁)(亿)(捌)(仟)(柒)(佰)(柒)(拾)(玖)(万)(壹)(仟)(贰)(佰)(肆)(拾)(壹)(元)(整)(
法)(定)(代)(表)(人)(:陈)(四)(清)(
基)(金)(托)(管)(业)(务)(批)(准)(文)(号)(:中)(国)(证)(监)(会)(证)(监)(基)(字)(【1998】24号)(
托)(管)(部)(门)(信)(息)(披)(露)(联)(系)(人)(:王)(永)(民)(
传)(真)(:(010)66594942
中)(国)(银)(行)(客)(服)(电)(话)(:95566(二)()基)(金)(托)(管)(部)(门)(及)(主)(要)(人)(员)(情)(况)(
中)(国)(银)(行)(托)(管)(业)(务)(部)(设)(立)(于)(1998年)(,现)(有)(员)(工)(110余)(人)(,大)(部)(分)(员)(工)(具)(有)(丰)(富)(的)(银)(行)(、证)(券)(、基)(金)(、信)(托)(从)(业)(经)(验)(,且)(具)(有)(海)(外)(工)(作)(、学)(习)(或)(培)(训)(经)(历)(,60%以)(上)(的)(员)(工)(具)(有)(硕)(士)(以)(上)(学)(位)(或)(高)(级)(职)(称)(。为)(给)(客)(户)(提)(供)(专)(业)(化)(的)(托)(管)(服)(务)(,中)(国)(银)(行)(已)(在)(境)(内)(、外)(分)(行)(开)(展)(托)(管)(业)(务)(。
作)(为)(国)(内)(首)(批)(开)(展)(证)(券)(投)(资)(基)(金)(托)(管)(业)(务)(的)(商)(业)(银)(行)(,中)(国)(银)(行)(拥)(有)(证)(券)(投)(资)(基)(金)(、基)(金)((一)(对)(多)(、一)(对)(一)()、社)(保)(基)(金)(、保)(险)(资)(金)(、QFII、RQFII、QDII、境)(外)(三)(类)(机)(构)(、券)(商)(资)(产)(管)(理)(计)(划)(、信)(托)(计)(划)(、企)(业)(年)(金)(、银)(行)(理)(财)(产)(品)(、股)(权)(基)(金)(、私)(募)(基)(金)(、资)(金)(托)(管)(等)(门)(类)(齐)(全)(、产)(品)(丰)(富)(的)(托)(管)(业)(务)(体)(系)(。在)(国)(内)(,中)(国)(银)(行)(首)(家)(开)(展)(绩)(效)(评)(估)(、风)(险)(分)(析)(等)(增)(值)(服)(务)(,为)(各)(类)(客)(户)(提)(供)(个)(性)(化)(的)(托)(管)(增)(值)(服)(务)(,是)(国)(内)(领)(先)(的)(大)(型)(中)(资)(托)(管)(银)(行)(。
(三)()证)(券)(投)(资)(基)(金)(托)(管)(情)(况)(
截)(至)(2018年)(6月)(30日)(,中)(国)(银)(行)(已)(托)(管)(674只)(证)(券)(投)(资)(基)(金)(,其)(中)(境)(内)(基)(金)(638只)(,QDII基)(金)(36只)(,覆)(盖)(了)(股)(票)(型)(、债)(券)(型)(、混)(合)(型)(、货)(币)(型)(、指)(数)(型)(、FOF等)(多)(种)(类)(型)(的)(基)(金)(,满)(足)(了)(不)(同)(客)(户)(多)(元)(化)(的)(投)(资)(理)(财)(需)(求)(,基)(金)(托)(管)(规)(模)(位)(居)(同)(业)(前)(列)(。
(四)()托)(管)(业)(务)(的)(内)(部)(控)(制)(制)(度)(
中)(国)(银)(行)(托)(管)(业)(务)(部)(风)(险)(管)(理)(与)(控)(制)(工)(作)(是)(中)(国)(银)(行)(全)(面)(风)(险)(控)(制)(工)(作)(的)(组)(成)(部)(分)(,秉)(承)(中)(国)(银)(行)(风)(险)(控)(制)(理)(念)(,坚)(持)(“规)(范)(运)(作)(、稳)(健)(经)(营)(”的)(原)(则)(。中)(国)(银)(行)(托)(管)(业)(务)(部)(风)(险)(控)(制)(工)(作)(贯)(穿)(业)(务)(各)(环)(节)(,通)(过)(风)(险)(识)(别)(与)(评)(估)(、风)(险)(控)(制)(措)(施)(设)(定)(及)(制)(度)(建)(设)(、内)(外)(部)(检)(查)(及)(审)(计)(等)(措)(施)(强)(化)(托)(管)(业)(务)(全)(员)(、全)(面)(、全)(程)(的)(风)(险)(管)(控)(。
2007年)(起)(,中)(国)(银)(行)(连)(续)(聘)(请)(外)(部)(会)(计)(会)(计)(师)(事)(务)(所)(开)(展)(托)(管)(业)(务)(内)(部)(控)(制)(审)(阅)(工)(作)(。先)(后)(获)(得)(基)(于)(“SAS70”、“AAF01/06”“ISAE3402”和)(“SSAE16”等)(国)(际)(主)(流)(内)(控)(审)(阅)(准)(则)(的)(无)(保)(留)(意)(见)(的)(审)(阅)(报)(告)(。2017年)(,中)(国)(银)(行)(继)(续)(获)(得)(了)(基)(于)(“ISAE3402”和)(“SSAE16”双)(准)(则)(的)(内)(部)(控)(制)(审)(计)(报)(告)(。中)(国)(银)(行)(托)(管)(业)(务)(内)(控)(制)(度)(完)(善)(,内)(控)(措)(施)(严)(密)(,能)(够)(有)(效)(保)(证)(托)(管)(资)(产)(的)(安)(全)(。
(五)()托)(管)(人)(对)(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)(》的)(相)(关)(规)(定)(,基)(金)(托)(管)(人)(发)(现)(基)(金)(管)(理)(人)(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)(的)(,应)(当)(拒)(绝)(执)(行)(,及)(时)(通)(知)(基)(金)(管)(理)(人)(,并)(及)(时)(向)(国)(务)(院)(证)(券)(监)(督)(管)(理)(机)(构)(报)(告)(。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)(的)(,应)(当)(及)(时)(通)(知)(基)(金)(管)(理)(人)(,并)(及)(时)(向)(国)(务)(院)(证)(券)(监)(督)(管)(理)(机)(构)(报)(告)(。
三)(、相)(关)(服)(务)(机)(构)((一)()销)(售)(机)(构)(及)(联)(系)(人)(
一)(.直)(销)(机)(构)(
大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(32层)(
办)(公)(地)(址)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(32层)(
法)(定)(代)(表)(人)(:刘)(卓)(
电)(话)(:0755-83183388
传)(真)(:0755-83199588
联)(系)(人)(:教)(姣)(
公)(司)(网)(址)(:www.dcfund.com.cn
大)(成)(基)(金)(客)(户)(服)(务)(热)(线)(:400-888-5558(免)(长)(途)(固)(话)(费)()
大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(在)(深)(圳)(设)(有)(投)(资)(理)(财)(中)(心)(:
地)(址)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(32层)(
联)(系)(人)(:肖)(成)(卫)(、关)(志)(玲)(、白)(小)(雪)(
电)(话)(:0755-22223523/22223177/22223555
传)(真)(:0755-83195235/83195242/83195232
二)(.代)(销)(机)(构)(
1、中)(国)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(西)(城)(区)(复)(兴)(门)(内)(大)(街)(1号)(
办)(公)(地)(址)(:北)(京)(西)(城)(区)(复)(兴)(门)(内)(大)(街)(1号)(
法)(定)(代)(表)(人)(:陈)(四)(清)(
客)(服)(电)(话)(:95566
联)(系)(人)(:王)(娟)(
电)(话)(:010-66594909
传)(真)(:010-66594942
网)(址)(:www.boc.cn
2、中)(国)(工)(商)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(西)(城)(区)(复)(兴)(门)(内)(大)(街)(55号)(
办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(复)(兴)(门)(内)(大)(街)(55号)(
法)(定)(代)(表)(人)(:易)(会)(满)(
客)(服)(电)(话)(:95588
联)(系)(人)(:洪)(渊)(
联)(系)(电)(话)(:010-66105799
传)(真)(:010-66107914
网)(址)(:www.icbc.com.cn
3、交)(通)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:中)(国)((上)(海)()自)(由)(贸)(易)(试)(验)(区)(银)(城)(中)(路)(188号)(
办)(公)(地)(址)(:中)(国)((上)(海)()自)(由)(贸)(易)(试)(验)(区)(银)(城)(中)(路)(188号)(
法)(定)(代)(表)(人)(:彭)(纯)(
客)(服)(电)(话)(:95559
联)(系)(人)(:曹)(榕)(
电)(话)(:021-58781234
传)(真)(:021-58408483
网)(址)(:www.bankcomm.com
4、招)(商)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(: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)(
客)(服)(电)(话)(:95555
联)(系)(人)(:邓)(炯)(鹏)(
电)(话)(:0755-83077278
传)(真)(:0755-83195049
网)(址)(:www.cmbchina.com
5、中)(信)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(东)(城)(区)(朝)(阳)(门)(北)(大)(街)(8号)(富)(华)(大)(厦)(C座)(
法)(定)(代)(表)(人)(:李)(庆)(萍)(
电)(话)(:010-89937369
客)(服)(电)(话)(:95558
联)(系)(人)(:王)(晓)(琳)(
联)(系)(电)(话)(:010-89937325
传)(真)(:010-65550827
网)(址)(:www.citicbank.com
6、上)(海)(浦)(东)(发)(展)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(浦)(东)(南)(路)(500号)(
办)(公)(地)(址)(:上)(海)(市)(中)(山)(东)(一)(路)(12号)(
法)(定)(代)(表)(人)(:吉)(晓)(辉)(
联)(系)(人)(:高)(天)(、虞)(谷)(云)(
客)(服)(热)(线)(:95528
电)(话)(:021-61618888
传)(真)(:021-63604199
网)(址)(:www.spdb.com.cn
7、兴)(业)(银)(行)(股)(份)(有)(限)(公)(司)(
办)(公)(地)(址)(:福)(州)(市)(五)(一)(中)(路)(元)(洪)(大)(厦)(25层)(
法)(定)(代)(表)(人)(:高)(建)(平)(
电)(话)(::021-52629999
传)(真)(:021-62569070
联)(系)(人)(:刘)(玲)(
客)(服)(电)(话)(:95561
网)(址)(:www.cib.com.cn
8、中)(国)(光)(大)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(西)(城)(区)(太)(平)(桥)(大)(街)(25号)(中)(国)(光)(大)(中)(心)(
办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(太)(平)(桥)(大)(街)(25号)(中)(国)(光)(大)(中)(心)(
法)(定)(代)(表)(人)(:李)(晓)(鹏)(
客)(服)(电)(话)(:95595
联)(系)(人)(:朱)(红)(
电)(话)(:010-63636153
传)(真)(:010-68560312
网)(址)(:www.cebbank.com
9、中)(国)(民)(生)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(东)(城)(区)(正)(义)(路)(4号)(
办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(复)(兴)(门)(内)(大)(街)(2号)(
法)(定)(代)(表)(人)(:洪)(崎)(
客)(服)(电)(话)(:95568
联)(系)(人)(:穆)(婷)(
电)(话)(:010-58560666
传)(真)(:010-83914283
网)(址)(:www.cmbc.com.cn
10、上)(海)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(银)(城)(中)(路)(168号)(
法)(人)(代)(表)(:金)(煜)(
办)(公)(地)(址)(:上)(海)(市)(银)(城)(中)(路)(168号)(
联)(系)(人)(:汤)(征)(程)(
客)(服)(电)(话)(:95594
网)(站)(:www.bankofshanghai.com
11、北)(京)(农)(村)(商)(业)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(西)(城)(区)(月)(坛)(南)(街)(1号)(院)(2号)(楼)(
办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(月)(坛)(南)(街)(1号)(院)(2号)(楼)(
法)(定)(代)(表)(人)(:王)(金)(山)(
联)(系)(人)(:董)(汇)(
联)(系)(电)(话)(:010-85605588
传)(真)(:010-66506163
客)(服)(电)(话)(:96198
网)(址)(:www.bjrcb.com
12、东)(莞)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:东)(莞)(市)(运)(河)(东)(一)(路)(193号)(
法)(定)(代)(表)(人)(:卢)(国)(锋)(
联)(系)(人)(:吴)(照)(群)(
电)(话)(:0769-22119061
传)(真)(:0769-22117730
客)(服)(电)(话)(:96228
网)(址)(:www.dongguanbank.cn
13、九)(江)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:江)(西)(省)(九)(江)(市)(濂)(溪)(区)(长)(虹)(大)(道)(619号)(
法)(定)(代)(表)(人)(:刘)(羡)(庭)(
办)(公)(地)(址)(:江)(西)(省)(九)(江)(市)(长)(虹)(大)(道)(619号)(
客)(服)(热)(线)(:95316
公)(司)(网)(址)(:www.jjccb.com
14、中)(原)(银)(行)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:中)(国)(河)(南)(省)(郑)(州)(郑)(东)(新)(区)(商)(务)(外)(环)(路)(23号)(中)(科)(金)(座)(大)(厦)(
办)(公)(地)(址)(:总)(行)(地)(址)(:郑)(州)(市)(郑)(东)(新)(区)(CBD商)(务)(外)(环)(23号)(中)(科)(金)(座)(大)(厦)(
法)(定)(代)(表)(人)(:窦)(荣)(兴)(
联)(系)(电)(话)(:(86)0371-85517898
传)(真)(:(86)0371-85517555
客)(服)(电)(话)(:95186
网)(址)(:http://www.zybank.com.cn
15、中)(信)(建)(投)(证)(券)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(朝)(阳)(区)(安)(立)(路)(66号)(4号)(楼)(
法)(定)(代)(表)(人)(:王)(常)(青)(
客)(服)(电)(话)(:4008888108
联)(系)(人)(:权)(唐)(
电)(话)(:010-85130577
传)(真)(:010-65182261
网)(址)(:www.csc108.com
16、中)(国)(银)(河)(证)(券)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(西)(城)(区)(金)(融)(大)(街)(35号)(国)(际)(企)(业)(大)(厦)(C座)(
法)(定)(代)(表)(人)(:宋)(卫)(刚)(
客)(服)(电)(话)(:4008-888-888
联)(系)(人)(:宋)(明)(
联)(系)(电)(话)(:010-66568450
传)(真)(:010-66568990
网)(址)(:www.chinastock.com.cn
17、信)(达)(证)(券)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(西)(城)(区)(闹)(市)(口)(大)(街)(9号)(院)(1号)(楼)(
法)(定)(代)(表)(人)(:张)(志)(刚)(
客)(服)(电)(话)(:4008008899
联)(系)(人)(:唐)(静)(
联)(系)(电)(话)(:010-63081000
传)(真)(:010-63080978
公)(司)(网)(址)(:www.cindasc.com
18、中)(信)(证)(券)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:广)(东)(省)(深)(圳)(市)(福)(田)(区)(中)(心)(三)(路)(8号)(卓)(越)(时)(代)(广)(场)((二)(期)()北)(座)(
法)(定)(代)(表)(人)(:张)(佑)(君)(
客)(服)(电)(话)(:010-84588888
联)(系)(人)(:顾)(凌)(
电)(话)(:010-60838696
传)(真)(:010-84865560
网)(址)(:www.cs.ecitic.com
19、南)(京)(证)(券)(股)(份)(有)(限)(公)(司)(
办)(公)(地)(址)(:南)(京)(市)(玄)(武)(区)(大)(钟)(亭)(8号)(
法)(定)(代)(表)(人)(:步)(国)(旬)(
客)(服)(电)(话)(:95386
联)(系)(人)(:石)(健)(
电)(话)(:025-83367888
传)(真)(:025-83364032
网)(址)(:www.njzq.com.cn
20、东)(海)(证)(券)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:江)(苏)(省)(常)(州)(延)(陵)(西)(路)(23号)(投)(资)(广)(场)(18层)(
办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(东)(方)(路)(1928号)(东)(海)(证)(券)(大)(厦)(
法)(定)(代)(表)(人)(:赵)(俊)(
电)(话)(:021-20333333
传)(真)(:021-50498825
联)(系)(人)(:王)(一)(彦)(
客)(服)(电)(话)(:95531;400-8888-588
网)(址)(:www.longone.com.cn
21、中)(泰)(证)(券)(股)(份)(有)(限)(公)(司)(
办)(公)(地)(址)(:山)(东)(省)(济)(南)(市)(经)(十)(路)(20518号)(
法)(定)(代)(表)(人)(:李)(玮)(
客)(服)(电)(话)(:95538
联)(系)(人)(:吴)(阳)(
电)(话)(:0531-81283938
传)(真)(:0531-81283900
网)(址)(:www.qlzq.com.cn
22、第)(一)(创)(业)(证)(券)(股)(份)(有)(限)(公)(司)(
办)(公)(地)(址)(:深)(圳)(市)(罗)(湖)(区)(笋)(岗)(路)(12号)(中)(民)(时)(代)(广)(场)(B座)(25F
法)(人)(代)(表)(:刘)(学)(民)(
电)(话)(:95358
网)(址)(:www.firstcapital.com.cn
23、华)(福)(证)(券)(有)(限)(责)(任)(公)(司)(
注)(册)(地)(址)(:福)(州)(市)(五)(四)(路)(157号)(新)(天)(地)(大)(厦)(7、8层)(
法)(定)(代)(表)(人)(:黄)(金)(琳)(
客)(服)(电)(话)(:0591-96326
联)(系)(人)(:张)(宗)(锐)(
电)(话)(:0591-87383600
传)(真)(:0591-87841150
网)(址)(:www.gfhfzq.com.cn
24、爱)(建)(证)(券)(有)(限)(责)(任)(公)(司)(
注)(册)(地)(址)(:中)(国)((上)(海)()自)(由)(贸)(易)(试)(验)(区)(世)(纪)(大)(道)(1600号)(1幢)(32楼)(
法)(定)(代)(表)(人)(:钱)(华)(
客)(服)(电)(话)(:4001-962-502
联)(系)(人)(:陈)(敏)(
电)(话)(:021-32229888
传)(真)(:021-62878783
网)(址)(:www.ajzq.com
25、天)(风)(证)(券)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:湖)(北)(省)(武)(汉)(市)(东)(湖)(新)(技)(术)(开)(发)(区)(关)(东)(园)(路)(2号)(高)(科)(大)(厦)(四)(楼)(
法)(定)(代)(表)(人)(:余)(磊)(
联)(系)(人)(:翟)(tp)(br />联)(系)(电)(话)(:(027)87618882/(028)86711410
传)(真)(:(027)87618863
网)(址)(:www.tfzq.com
26、中)(信)(期)(货)(有)(限)(公)(司)(
注)(册)(地)(址)(:深)(圳)(市)(福)(田)(区)(中)(信)(三)(路)(8号)(卓)(越)(时)(代)(广)(场)((二)(期)()北)(座)(13层)(1301-1305室)(、14层)(
办)(公)(地)(址)(:深)(圳)(市)(福)(田)(区)(中)(信)(三)(路)(8号)(卓)(越)(时)(代)(广)(场)((二)(期)()北)(座)(13层)(1301-1305室)(、14层)(
法)(定)(代)(表)(人)(:张)(皓)(
联)(系)(人)(:刘)(宏)(莹)(
联)(系)(电)(话)(:010-60833754
传)(真)(:0755-83217421
客)(服)(电)(话)(:400-990-8826
网)(址)(:www.citicsf.com(http://www.citicsf.com)
27、诺)(亚)(正)(行)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(虹)(口)(区)(飞)(虹)(路)(360弄)(9号)(3724室)(
法)(定)(代)(表)(人)(:汪)(静)(波)(
办)(公)(地)(址)(:上)(海)(市)(杨)(浦)(区)(昆)(明)(路)(508号)(北)(美)(广)(场)(B座)(12楼)(
联)(系)(人)(:徐)(诚)(
联)(系)(电)(话)(:021-38509639
网)(站)(:www.noah-fund.com
客)(服)(电)(话)(:400-821-5399
28、深)(圳)(众)(禄)(基)(金)(销)(售)(股)(份)(有)(限)(公)(司)(
注)(册)(地)(址)(:深)(圳)(市)(罗)(湖)(区)(笋)(岗)(街)(道)(梨)(园)(路)(物)(资)(控)(股)(置)(地)(大)(厦)(8楼)(801
法)(定)(代)(表)(人)(:薛)(峰)(
联)(系)(人)(:童)(彩)(平)(
电)(话)(:0755-33227950
传)(真)(:0755-82080798
网)(址)(:www.zlfund.cn
客)(服)(电)(话)(:4006-788-887
29、上)(海)(天)(天)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(徐)(汇)(区)(龙)(田)(路)(195号)(3C座)(9楼)(
法)(人)(代)(表)(:其)(实)(
联)(系)(人)(:潘)(世)(友)(
电)(话)(:021-54509998
传)(真)(:021-64383798
客)(服)(电)(话)(:400-1818-188
网)(址)(:www.1234567.com.cn
30、上)(海)(好)(买)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(虹)(口)(区)(场)(中)(路)(685弄)(37号)(4号)(楼)(449室)(
办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(浦)(东)(南)(路)(1118号)(鄂)(尔)(多)(斯)(国)(际)(大)(厦)(903~906
法)(定)(代)(表)(人)(:杨)(文)(斌)(
客)(服)(电)(话)(:400-700-9665
联)(系)(人)(:张)(茹)(
联)(系)(电)(话)(:021-58870011
传)(真)(:021-68596916
网)(址)(:www.ehowbuy.com
31、蚂)(蚁)((杭)(州)()基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:杭)(州)(市)(余)(杭)(区)(仓)(前)(街)(文)(一)(西)(路)(1218号)(1栋)(202室)(
法)(人)(代)(表)(:陈)(柏)(青)(
联)(系)(人)(:徐)(f3绯)(
电)(话)(:021-60897840
传)(真)(:0571-26698533
客)(服)(电)(话)(:4000-766-123
网)(址)(:www.fund123.cn
32、上)(海)(长)(量)(基)(金)(销)(售)(投)(资)(顾)(问)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(高)(翔)(路)(526号)(2幢)(220室)(
办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(浦)(东)(大)(道)(555号)(裕)(景)(国)(际)(B座)(16层)(
法)(定)(代)(表)(人)(:张)(跃)(伟)(
客)(服)(电)(话)(:400-820-2899
网)(址)(:www.erichfund.com
33、浙)(江)(同)(花)(顺)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:杭)(州)(市)(西)(湖)(区)(文)(二)(西)(路)(1号)(元)(茂)(大)(厦)(903室)(
办)(公)(地)(址)(:浙)(江)(省)(杭)(州)(市)(西)(湖)(区)(翠)(柏)(路)(7号)(电)(子)(商)(务)(产)(业)(园)(2号)(楼)(
法)(人)(代)(表)(:凌)(顺)(平)(
联)(系)(人)(:林)(海)(明)(
电)(话)(:0571-88911818-8580
传)(真)(:0571-88911818-8002
客)(服)(电)(话)(:4008-773-772
网)(站)(地)(址)(www.5ifund.com
34、上)(海)(利)(得)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(宝)(山)(区)(蕴)(川)(路)(5475号)(1033室)(
办)(公)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(峨)(山)(路)(91弄)(61号)(1幢)(14层)(
法)(定)(代)(表)(人)(:李)(兴)(春)(
传)(真)(:021-50583633
电)(话)(:021-50583533
客)(服)(电)(话)(:400-921-7755
网)(址)(:www.leadfund.com.cn
35、嘉)(实)(财)(富)(管)(理)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(浦)(东)(新)(区)(世)(纪)(大)(道)(8号)(上)(海)(国)(金)(中)(心)(办)(公)(楼)(二)(期)(53层)(5312-15单)(元)(
法)(定)(代)(表)(人)(:赵)(学)(军)(
电)(话)(:010-65215588
传)(真)(:010-85712195
联)(系)(人)(:李)(雯)(
联)(系)(人)(邮)(箱)(:liwen@harvestwm.cn
客)(服)(电)(话)(:400-021-8850
网)(址)(:www.harvestwm.cn
36、南)(京)(苏)(宁)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:南)(京)(市)(玄)(武)(区)(苏)(宁)(大)(道)(1-5号)(
办)(公)(地)(址)(:南)(京)(市)(玄)(武)(区)(苏)(宁)(大)(道)(1-5号)(
法)(定)(代)(表)(人)(:刘)(汉)(青)(
客)(服)(电)(话)(:95177
网)(址)(:https://www.snjijin.com/
37、上)(海)(基)(煜)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(崇)(明)(县)(长)(兴)(镇)(路)(潘)(园)(公)(路)(1800号)(2号)(楼)(6153室)((上)(海)(泰)(和)(经)(济)(发)(展)(区)()
办)(公)(地)(址)(:上)(海)(市)(杨)(浦)(区)(昆)(明)(路)(518号)(a1002室)(
法)(定)(代)(表)(人)(:王)(翔)(
联)(系)(人)(:安)(彬)(
客)(服)(电)(话)(:400-820-5369
网)(址)(:www.jiyufund.com.cn
38、上)(海)(凯)(石)(财)(富)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(黄)(浦)(区)(西)(藏)(南)(路)(765号)(602-115室)(
法)(定)(代)(表)(人)(:陈)(继)(武)(
客)(服)(电)(话)(:400-643-3389
联)(系)(人)(:葛)(佳)(蕊)(
电)(话)(:021-63333319
传)(真)(:021-63332523
网)(址)(:www.vstonewealth.com
39、上)(海)(中)(正)(达)(广)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(徐)(汇)(区)(龙)(腾)(大)(道)(2815号)(302室)(
办)(公)(地)(址)(:上)(海)(市)(徐)(汇)(区)(龙)(腾)(大)(道)(2815号)(3楼)(
法)(定)(代)(表)(人)(:黄)(欣)(
公)(司)(电)(话)(:021-33768132
客)(服)(电)(话)(:400-6767-523
网)(址)(:http://www.zhongzhengfund.com
40、珠)(海)(盈)(米)(财)(富)(管)(理)(有)(限)(公)(司)(
注)(册)(地)(址)(:珠)(海)(市)(横)(琴)(新)(区)(宝)(华)(路)(6号)(105室)(-3491
法)(定)(代)(表)(人)(:肖)(雯)(
办)(公)(地)(址)(:广)(州)(市)(海)(珠)(区)(琶)(洲)(大)(道)(东)(1号)(保)(利)(国)(际)(广)(场)(南)(塔)(12楼)(B1201-1203
联)(系)(人)(:黄)(敏)(嫦)(
网)(站)(:www.yingmi.cn
客)(服)(电)(话)(:020-89629066
41、和)(耕)(传)(承)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:郑)(州)(市)(郑)(东)(新)(区)(东)(风)(东)(路)(东)(、康)(宁)(街)(北)(6号)(楼)(6楼)(602、603房)(间)(
办)(公)(地)(址)(:郑)(州)(市)(郑)(东)(新)(区)(东)(风)(东)(路)(东)(、康)(宁)(街)(北)(6号)(楼)(6楼)(602、603房)(间)(
法)(定)(代)(表)(人)(:李)(淑)(慧)(
客)(服)(电)(话)(:4000-555-671
网)(址)(:http://www.hgccpb.com/
42、奕)(丰)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:深)(圳)(市)(前)(海)(深)(港)(合)(作)(区)(前)(湾)(一)(路)(1号)(A栋)(201室)((入)(住)(深)(圳)(市)(前)(海)(商)(务)(秘)(书)(有)(限)(公)(司)()
办)(公)(地)(址)(:深)(圳)(市)(南)(山)(区)(海)(德)(三)(路)(航)(天)(科)(技)(广)(场)(A座)(17楼)(1704室)(
法)(定)(代)(表)(人)(:TEOWEEHOWE
联)(系)(人)(:叶)(健)(
电)(话)(:0755-89460507
传)(真)(:0755-21674453
客)(服)(电)(话)(:400-684-0500
网)(址)(:www.ifastps.com.cn
43、北)(京)(肯)(特)(瑞)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(海)(淀)(区)(中)(关)(村)(东)(路)(66号)(1号)(楼)(22层)(2603-06
办)(公)(地)(址)(:北)(京)(市)(大)(兴)(区)(亦)(庄)(经)(济)(技)(术)(开)(发)(区)(科)(创)(十)(一)(街)(18号)(院)(京)(东)(集)(团)(总)(部)(
法)(定)(代)(表)(人)(:江)(卉)(
电)(话)(:个)(人)(业)(务)(:95118,4000988511
企)(业)(业)(务)(:4000888816
传)(真)(:010-8919566
网)(址)(:fund.jd.com
44、深)(圳)(市)(金)(斧)(子)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:深)(圳)(市)(南)(山)(区)(粤)(海)(街)(道)(科)(技)(园)(中)(区)(科)(苑)(路)(15号)(科)(兴)(科)(学)(园)(B栋)(3单)(元)(11层)(
办)(公)(地)(址)(:深)(圳)(市)(南)(山)(区)(粤)(海)(街)(道)(科)(苑)(路)(科)(兴)(科)(学)(园)(B3单)(元)(7楼)(
法)(定)(代)(表)(人)(:赖)(任)(军)(
联)(系)(人)(:刘)(昕)(霞)(
电)(话)(:0755-29330513
传)(真)(:0755-26920530
客)(服)(电)(话)(:400-9302-888
网)(址)(:https://www.jfz.com/
45、北)(京)(蛋)(卷)(基)(金)(销)(售)(有)(限)(公)(司)(
注)(册)(地)(址)(:北)(京)(市)(朝)(阳)(区)(阜)(通)(东)(大)(街)(1号)(院)(6号)(楼)(2单)(元)(21层)(222507
法)(定)(代)(表)(人)(:钟)(斐)(斐)(
客)(服)(电)(话)(:4000618518
联)(系)(人)(:袁)(永)(娇)(
电)(话)(:010-61840688
传)(真)(:010-61840699
网)(址)(:https://danjuanapp.com
46、上)(海)(华)(夏)(财)(富)(投)(资)(管)(理)(有)(限)(公)(司)(
注)(册)(地)(址)(:上)(海)(市)(虹)(口)(区)(东)(大)(名)(路)(687号)(1幢)(2楼)(268室)(
法)(定)(代)(表)(人)(:毛)(淮)(平)(
办)(公)(地)(址)(:北)(京)(市)(西)(城)(区)(金)(融)(大)(街)(33号)(通)(泰)(大)(厦)(B8层)(
客)(服)(热)(线)(:400-817-5666
公)(司)(网)(址)(:www.amcfortune.com
基)(金)(管)(理)(人)(可)(根)(据)(有)(关)(法)(律)(、法)(规)(的)(要)(求)(,选)(择)(其)(他)(符)(合)(要)(求)(的)(机)(构)(代)(理)(销)(售)(本)(基)(金)(,并)(及)(时)(公)(告)(。
(二)()注)(册)(登)(记)(机)(构)(
名)(称)(:大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(32层)(
办)(公)(地)(址)(:深)(圳)(市)(福)(田)(区)(深)(南)(大)(道)(7088号)(招)(商)(银)(行)(大)(厦)(33层)(
法)(定)(代)(表)(人)(:刘)(卓)(
电)(话)(:0755-83183388
传)(真)(:0755-83195239
联)(系)(人)(:黄)(慕)(平)((三)()律)(师)(事)(务)(所)(和)(经)(办)(律)(师)(
名)(称)(:北)(京)(市)(金)(杜)(律)(师)(事)(务)(所)(
注)(册)(地)(址)(:北)(京)(市)(朝)(阳)(区)(东)(三)(环)(中)(路)(7号)(财)(富)(中)(心)(写)(字)(楼)(A座)(40层)(
办)(公)(地)(址)(:北)(京)(市)(朝)(阳)(区)(东)(三)(环)(中)(路)(7号)(财)(富)(中)(心)(写)(字)(楼)(A座)(40层)(
负)(责)(人)(:王)(玲)(
电)(话)(:0755-22163333
传)(真)(:0755-22163390
经)(办)(律)(师)(:沈)(娜)(、冯)(艾)(
联)(系)(人)(:冯)(艾)((四)()会)(计)(师)(事)(务)(所)(和)(经)(办)(注)(册)(会)(计)(师)(
名)(称)(:普)(华)(永)(道)(中)(天)(会)(计)(师)(事)(务)(所)((特)(殊)(普)(通)(合)(伙)()
住)(所)(:中)(国)((上)(海)()自)(由)(贸)(易)(试)(验)(区)(陆)(家)(嘴)(环)(路)(1318号)(星)(展)(银)(行)(大)(厦)(6楼)(
办)(公)(地)(址)(:上)(海)(市)(黄)(浦)(区)(湖)(滨)(路)(202号)(企)(业)(天)(地)(2号)(楼)(普)(华)(永)(道)(中)(心)(11楼)(
执)(行)(事)(务)(合)(伙)(人)(:李)(丹)(
电)(话)(:021-23238189
联)(系)(人)(:俞)(伟)(敏)(
经)(办)(注)(册)(会)(计)(师)(:张)(振)(波)(、俞)(伟)(敏)(
四)(、基)(金)(的)(名)(称)(
本)(基)(金)(名)(称)(:大)(成)(国)(企)(改)(革)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(。
五)(、基)(金)(的)(类)(型)(
本)(基)(金)(类)(型)(:混)(合)(型)(基)(金)(
六)(、基)(金)(的)(运)(作)(方)(式)(
本)(基)(金)(运)(作)(方)(式)(:契)(约)(型)(开)(放)(式)(
七)(、基)(金)(的)(投)(资)(目)(标)(
本)(基)(金)(的)(投)(资)(目)(标)(是)(通)(过)(投)(资)(于)(国)(企)(改)(革)(相)(关)(的)(优)(质)(上)(市)(公)(司)(,在)(严)(格)(控)(制)(风)(险)(的)(前)(提)(下)(,力)(争)(获)(取)(超)(越)(业)(绩)(比)(较)(基)(准)(的)(收)(益)(。
八)(、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)(上)(市)(的)(股)(票)((包)(括)(中)(小)(板)(、创)(业)(板)(及)(其)(他)(经)(中)(国)(证)(监)(会)(核)(准)(上)(市)(的)(股)(票)()、债)(券)((包)(括)(国)(债)(、央)(行)(票)(据)(、金)(融)(债)(、企)(业)(债)(、公)(司)(债)(、次)(级)(债)(、中)(小)(企)(业)(私)(募)(债)(、地)(方)(政)(府)(债)(券)(、中)(期)(票)(据)(、可)(转)(换)(债)(券)((含)(分)(离)(交)(易)(可)(转)(债)()、短)(期)(融)(资)(券)(、超)(短)(期)(融)(资)(券)(、地)(方)(政)(府)(债)(、资)(产)(支)(持)(证)(券)(、债)(券)(回)(购)(等)()、货)(币)(市)(场)(工)(具)(、银)(行)(存)(款)(、权)(证)(、股)(指)(期)(货)(以)(及)(法)(律)(法)(规)(或)(中)(国)(证)(监)(会)(允)(许)(基)(金)(投)(资)(的)(其)(他)(金)(融)(工)(具)((但)(须)(符)(合)(中)(国)(证)(监)(会)(相)(关)(规)(定)()。
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)(:股)(票)((包)(括)(融)(资)(买)(入)(股)(票)()等)(权)(益)(类)(占)(基)(金)(资)(产)(的)(比)(例)(为)(0%一)(95%,持)(有)(的)(融)(资)(买)(入)(股)(票)(与)(其)(他)(有)(价)(证)(券)(市)(值)(之)(和)(不)(超)(过)(基)(金)(资)(产)(净)(值)(的)(95%,其)(中)(投)(资)(于)(国)(企)(改)(革)(主)(题)(相)(关)(的)(上)(市)(公)(司)(的)(比)(例)(不)(低)(于)(基)(金)(非)(现)(金)(资)(产)(的)(80%;债)(券)(、货)(币)(市)(场)(工)(具)(、银)(行)(存)(款)(等)(固)(定)(收)(益)(类)(资)(产)(占)(基)(金)(资)(产)(比)(例)(不)(低)(于)(5%;每)(个)(交)(易)(日)(日)(终)(在)(扣)(除)(股)(指)(期)(货)(合)(约)(需)(缴)(纳)(的)(交)(易)(保)(证)(金)(后)(,保)(持)(现)(金)((不)(包)(括)(结)(算)(备)(付)(金)(、存)(出)(保)(证)(金)(、应)(收)(申)(购)(款)(等)()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%;权)(证)(、股)(指)(期)(货)(及)(其)(他)(金)(融)(工)(具)(的)(投)(资)(比)(例)(依)(照)(法)(律)(法)(规)(或)(监)(管)(机)(构)(的)(规)(定)(执)(行)(。
九)(、基)(金)(的)(投)(资)(策)(略)(
1、大)(类)(资)(产)(配)(置)(策)(略)(
本)(基)(金)(通)(过)(对)(宏)(观)(经)(济)(环)(境)(、国)(家)(经)(济)(政)(策)(、股)(票)(市)(场)(风)(险)(、债)(券)(市)(场)(整)(体)(收)(益)(率)(曲)(线)(变)(化)(和)(资)(金)(供)(求)(关)(系)(等)(因)(素)(的)(分)(析)(,研)(判)(经)(济)(周)(期)(在)(美)(林)(投)(资)(时)(钟)(理)(论)(所)(处)(的)(阶)(段)(,综)(合)(评)(价)(各)(类)(资)(产)(的)(市)(场)(趋)(势)(、预)(期)(风)(险)(收)(益)(水)(平)(和)(配)(置)(时)(机)(。在)(此)(基)(础)(上)(,本)(基)(金)(将)(积)(极)(、主)(动)(地)(确)(定)(权)(益)(类)(资)(产)(、固)(定)(收)(益)(类)(资)(产)(和)(现)(金)(等)(各)(类)(资)(产)(的)(配)(置)(比)(例)(并)(进)(行)(实)(时)(动)(态)(调)(整)(。
2、股)(票)(投)(资)(策)(略)(
本)(基)(金)(认)(为)(当)(前)(受)(益)(于)(国)(企)(改)(革)(的)(上)(市)(公)(司)(股)(票)(涉)(及)(多)(个)(行)(业)(,本)(基)(金)(将)(通)(过)(自)(下)(而)(上)(研)(究)(入)(库)(的)(方)(式)(,对)(各)(个)(行)(业)(中)(受)(益)(于)(国)(企)(改)(革)(主)(题)(的)(上)(市)(公)(司)(进)(行)(深)(入)(研)(究)(,并)(将)(这)(些)(股)(票)(组)(成)(本)(基)(金)(的)(核)(心)(股)(票)(库)(。对)(国)(企)(改)(革)(主)(题)(的)(上)(市)(公)(司)(界)(定)(如)(下)(:
(1)受)(益)(于)(制)(度)(改)(革)(的)(国)(有)(企)(业)(,包)(括)(国)(资)(监)(管)(体)(制)(改)(革)(、产)(权)(制)(度)(改)(革)((如)(兼)(并)(重)(组)(、整)(合)(上)(市)(、混)(合)(所)(有)(制)(改)(革)(等)()以)(及)(国)(企)(管)(理)(制)(度)(改)(革)((如)(经)(营)(机)(制)(、激)(励)(机)(制)(改)(革)(等)()等)(多)(种)(方)(式)(,提)(高)(运)(营)(效)(率)(和)(竞)(争)(力)(的)(国)(有)(上)(市)(公)(司)(;
(2)通)(过)(国)(企)(改)(革)(,一)(些)(行)(业)(的)(垄)(断)(格)(局)(被)(打)(破)(,因)(此)(激)(发)(出)(更)(多)(活)(力)(的)(部)(分)(民)(营)(上)(市)(公)(司)(。
未)(来)(若)(出)(现)(其)(他)(受)(益)(于)(国)(企)(改)(革)(进)(程)(的)(上)(市)(公)(司)(,本)(基)(金)(也)(应)(在)(深)(入)(研)(究)(的)(基)(础)(上)(,将)(其)(列)(入)(核)(心)(股)(票)(库)(。本)(基)(金)(将)(在)(核)(心)(股)(票)(库)(的)(基)(础)(上)(,以)(定)(性)(和)(定)(量)(相)(结)(合)(的)(方)(式)(,从)(价)(值)(和)(成)(长)(等)(因)(素)(对)(个)(股)(进)(行)(选)(择)(,精)(选)(估)(值)(合)(理)(且)(成)(长)(性)(良)(好)(的)(上)(市)(公)(司)(进)(行)(投)(资)(。
定)(性)(研)(究)(方)(面)(分)(析)(公)(司)(发)(展)(战)(略)(、资)(源)(与)(能)(力)(、治)(理)(结)(构)(等)(方)(面)(的)(情)(况)(,评)(判)(公)(司)(的)(行)(业)(竞)(争)(地)(位)(以)(及)(业)(绩)(驱)(动)(因)(素)(;定)(量)(研)(究)(方)(面)(运)(用)(主)(营)(业)(务)(收)(入)(、EBITDA、净)(利)(润)(等)(的)(预)(期)(增)(长)(率)(指)(标)(,结)(合)(公)(司)(营)(运)(指)(标)((如)(固)(定)(资)(产)(周)(转)(率)(等)()以)(及)(经)(营)(杠)(杆)(指)(标)((如)(权)(益)(乘)(数)(等)(),对)(公)(司)(盈)(利)(的)(持)(续)(增)(长)(前)(景)(进)(行)(综)(合)(评)(价)(。
3、融)(资)(买)(入)(股)(票)(策)(略)(
本)(基)(金)(将)(根)(据)(融)(资)(买)(入)(股)(票)(成)(本)(以)(及)(其)(他)(投)(资)(工)(具)(收)(益)(率)(综)(合)(评)(估)(是)(否)(采)(用)(融)(资)(方)(式)(买)(入)(股)(票)(,本)(基)(金)(在)(任)(何)(交)(易)(日)(日)(终)(持)(有)(的)(融)(资)(买)(入)(股)(票)(与)(直)(接)(买)(入)(股)(票)(市)(值)(之)(和)(,不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(95%。
4、债)(券)(投)(资)(策)(略)(
本)(基)(金)(的)(债)(券)(投)(资)(采)(取)(稳)(健)(的)(投)(资)(管)(理)(方)(式)(,获)(得)(与)(风)(险)(相)(匹)(配)(的)(投)(资)(收)(益)(,以)(实)(现)(在)(一)(定)(程)(度)(上)(规)(避)(股)(票)(市)(场)(的)(系)(统)(性)(风)(险)(和)(保)(证)(基)(金)(资)(产)(的)(流)(动)(性)(。本)(基)(金)(通)(过)(分)(析)(未)(来)(市)(场)(利)(率)(趋)(势)(及)(市)(场)(信)(用)(环)(境)(变)(化)(方)(向)(,综)(合)(考)(虑)(不)(同)(券)(种)(收)(益)(率)(水)(平)(、信)(用)(风)(险)(、流)(动)(性)(等)(因)(素)(,构)(造)(债)(券)(投)(资)(组)(合)(。在)(实)(际)(的)(投)(资)(运)(作)(中)(,本)(基)(金)(将)(运)(用)(久)(期)(控)(制)(策)(略)(、收)(益)(率)(曲)(线)(策)(略)(、类)(别)(选)(择)(策)(略)(、个)(券)(选)(择)(策)(略)(等)(多)(种)(策)(略)(,获)(取)(债)(券)(市)(场)(的)(长)(期)(稳)(定)(收)(益)(。
5、中)(小)(企)(业)(私)(募)(债)(投)(资)(策)(略)(
中)(小)(企)(业)(私)(募)(债)(票)(面)(利)(率)(较)(高)(、信)(用)(风)(险)(较)(大)(、二)(级)(市)(场)(流)(动)(性)(较)(差)(。
本)(基)(金)(将)(根)(据)(对)(宏)(观)(经)(济)(的)(研)(究)(,前)(瞻)(性)(判)(断)(经)(济)(周)(期)(,调)(整)(组)(合)(汇)(总)(中)(小)(企)(业)(私)(募)(债)(的)(配)(置)(比)(例)(。同)(时)(,根)(据)(债)(券)(市)(场)(的)(收)(益)(率)(水)(平)(,重)(点)(考)(虑)(个)(券)(的)(风)(险)(收)(益)(水)(平)(,综)(合)(考)(虑)(个)(券)(的)(信)(用)(等)(级)((如)(有)()、期)(限)(、流)(动)(性)(、息)(票)(率)(、提)(前)(偿)(还)(和)(赎)(回)(等)(因)(素)(,结)(合)(债)(券)(发)(行)(人)(所)(处)(行)(业)(发)(展)(前)(景)(、发)(行)(人)(业)(务)(发)(展)(状)(况)(、企)(业)(市)(场)(地)(位)(、财)(务)(状)(况)(、管)(理)(水)(平)(及)(其)(债)(务)(水)(平)(等)(,以)(确)(定)(债)(券)(的)(实)(际)(信)(用)(风)(险)(状)(况)(及)(其)(信)(用)(利)(差)(水)(平)(,重)(点)(选)(择)(信)(用)(风)(险)(相)(对)(较)(低)(、信)(用)(利)(差)(收)(益)(相)(对)(较)(大)(、或)(预)(期)(信)(用)(质)(量)(将)(改)(善)(的)(中)(小)(企)(业)(私)(募)(债)(。
基)(金)(在)(控)(制)(信)(用)(风)(险)(的)(基)(础)(上)(,对)(中)(小)(企)(业)(私)(募)(债)(投)(资)(,主)(要)(采)(取)(分)(散)(投)(资)(,控)(制)(个)(债)(持)(有)(比)(例)(。当)(预)(期)(发)(债)(企)(业)(的)(基)(本)(面)(情)(况)(出)(现)(恶)(化)(时)(,采)(取)(“尽)(早)(出)(售)(”策)(略)(,控)(制)(投)(资)(风)(险)(。
6、资)(产)(支)(持)(证)(券)(投)(资)(策)(略)(
本)(基)(金)(将)(通)(过)(对)(宏)(观)(经)(济)(、提)(前)(偿)(还)(率)(、资)(产)(池)(结)(构)(以)(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)(,并)(通)(过)(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)(。在)(严)(格)(控)(制)(风)(险)(的)(情)(况)(下)(,结)(合)(信)(用)(研)(究)(和)(流)(动)(性)(管)(理)(,选)(择)(风)(险)(调)(整)(后)(收)(益)(高)(的)(品)(种)(进)(行)(投)(资)(,以)(期)(获)(得)(长)(期)(稳)(定)(收)(益)(。
7、权)(证)(投)(资)(策)(略)(
本)(基)(金)(的)(权)(证)(投)(资)(是)(以)(权)(证)(的)(市)(场)(价)(值)(分)(析)(为)(基)(础)(,配)(以)(权)(证)(定)(价)(模)(型)(寻)(求)(其)(合)(理)(估)(值)(水)(平)(,以)(主)(动)(式)(的)(科)(学)(投)(资)(管)(理)(为)(手)(段)(,充)(分)(考)(虑)(权)(证)(资)(产)(的)(收)(益)(性)(、流)(动)(性)(及)(风)(险)(性)(特)(征)(,通)(过)(资)(产)(配)(置)(、品)(种)(与)(类)(属)(选)(择)(,追)(求)(基)(金)(资)(产)(稳)(定)(的)(当)(期)(收)(益)(。
8、股)(指)(期)(货)(的)(投)(资)(策)(略)(
本)(基)(金)(在)(股)(指)(期)(货)(投)(资)(中)(将)(根)(据)(风)(险)(管)(理)(的)(原)(则)(,以)(套)(期)(保)(值)(为)(目)(的)(,在)(风)(险)(可)(控)(的)(前)(提)(下)(,参)(与)(股)(指)(期)(货)(的)(投)(资)(。此)(外)(,本)(基)(金)(还)(将)(运)(用)(股)(指)(期)(货)(来)(管)(理)(特)(殊)(情)(况)(下)(的)(流)(动)(性)(风)(险)(,如)(预)(期)(大)(额)(申)(购)(赎)(回)(、大)(量)(分)(红)(等)(。
(四)()投)(资)(限)(制)((1)组)(合)(限)(制)(
基)(金)(的)(投)(资)(组)(合)(应)(遵)(循)(以)(下)(限)(制)(:
1)股)(票)((包)(括)(融)(资)(买)(入)(股)(票)()等)(权)(益)(类)(占)(基)(金)(资)(产)(的)(比)(例)(为)(0%一)(95%,持)(有)(的)(融)(资)(买)(入)(股)(票)(与)(其)(他)(有)(价)(证)(券)(市)(值)(之)(和)(不)(超)(过)(基)(金)(资)(产)(净)(值)(的)(95%,其)(中)(投)(资)(于)(国)(企)(改)(革)(主)(题)(相)(关)(的)(上)(市)(公)(司)(的)(比)(例)(不)(低)(于)(基)(金)(非)(现)(金)(资)(产)(的)(80%;债)(券)(、货)(币)(市)(场)(工)(具)(、银)(行)(存)(款)(等)(固)(定)(收)(益)(类)(资)(产)(占)(基)(金)(资)(产)(比)(例)(不)(低)(于)(5%;
2)每)(个)(交)(易)(日)(日)(终)(在)(扣)(除)(股)(指)(期)(货)(合)(约)(需)(缴)(纳)(的)(交)(易)(保)(证)(金)(后)(,保)(持)(不)(低)(于)(基)(金)(资)(产)(净)(值)(5%的)(现)(金)((不)(包)(括)(结)(算)(备)(付)(金)(、存)(出)(保)(证)(金)(、应)(收)(申)(购)(款)(等)()或)(者)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)(;
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)(管)(理)(人)(管)(理)(的)(全)(部)(开)(放)(式)(基)(金)((包)(括)(开)(放)(式)(基)(金)(以)(及)(处)(于)(开)(放)(期)(的)(定)(期)(开)(放)(基)(金)()持)(有)(一)(家)(上)(市)(公)(司)(发)(行)(的)(可)(流)(通)(股)(票)(,不)(得)(超)(过)(该)(上)(市)(公)(司)(可)(流)(通)(股)(票)(的)(15%;本)(基)(金)(管)(理)(人)(管)(理)(的)(全)(部)(投)(资)(组)(合)(持)(有)(一)(家)(上)(市)(公)(司)(发)(行)(的)(可)(流)(通)(股)(票)(,不)(得)(超)(过)(该)(上)(市)(公)(司)(可)(流)(通)(股)(票)(的)(30%;
6)本)(基)(金)(主)(动)(投)(资)(于)(流)(动)(性)(受)(限)(资)(产)(的)(市)(值)(合)(计)(不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(15%;因)(证)(券)(市)(场)(波)(动)(、上)(市)(公)(司)(股)(票)(停)(牌)(、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)(款)(所)(规)(定)(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)(;
7)本)(基)(金)(持)(有)(的)(全)(部)(权)(证)(,其)(市)(值)(不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(3%;
8)本)(基)(金)(管)(理)(人)(管)(理)(的)(全)(部)(基)(金)(持)(有)(的)(同)(一)(权)(证)(,不)(得)(超)(过)(该)(权)(证)(的)(10%;
9)本)(基)(金)(在)(任)(何)(交)(易)(日)(买)(入)(权)(证)(的)(总)(金)(额)(,不)(得)(超)(过)(上)(一)(交)(易)(日)(基)(金)(资)(产)(净)(值)(的)(0.5%;
10)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%;
11)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%;
12)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%;
13)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%;
14)本)(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)(;
15)基)(金)(财)(产)(参)(与)(股)(票)(发)(行)(申)(购)(,本)(基)(金)(所)(申)(报)(的)(金)(额)(不)(超)(过)(本)(基)(金)(的)(总)(资)(产)(,本)(基)(金)(所)(申)(报)(的)(股)(票)(数)(量)(不)(超)(过)(拟)(发)(行)(股)(票)(公)(司)(本)(次)(发)(行)(股)(票)(的)(总)(量)(;
16)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%;债)(券)(回)(购)(最)(长)(期)(限)(为)(1年)(,债)(券)(回)(购)(到)(期)(后)(不)(得)(展)(期)(。
17)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)(本)(基)(金)(合)(同)(约)(定)(的)(投)(资)(范)(围)(保)(持)(一)(致)(;
18)在)(任)(何)(交)(易)(日)(日)(终)(,持)(有)(的)(买)(入)(股)(指)(期)(货)(合)(约)(价)(值)(,不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(10%;在)(任)(何)(交)(易)(日)(日)(终)(,持)(有)(的)(买)(入)(期)(货)(合)(约)(价)(值)(与)(有)(价)(证)(券)(市)(值)(之)(和)(,不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(95%,其)(中)(,有)(价)(证)(券)(指)(股)(票)(、债)(券)((不)(含)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)()、权)(证)(、资)(产)(支)(持)(证)(券)(、买)(入)(返)(售)(金)(融)(资)(产)((不)(含)(质)(押)(式)(回)(购)()等)(;在)(任)(何)(交)(易)(日)(日)(终)(,持)(有)(的)(卖)(出)(期)(货)(合)(约)(价)(值)(不)(得)(超)(过)(基)(金)(持)(有)(的)(股)(票)(总)(市)(值)(的)(20%;在)(任)(何)(交)(易)(日)(内)(交)(易)((不)(包)(括)(平)(仓)()的)(股)(指)(期)(货)(合)(约)(的)(成)(交)(金)(额)(不)(得)(超)(过)(上)(一)(个)(交)(易)(日)(基)(金)(资)(产)(净)(值)(的)(20%;基)(金)(所)(持)(有)(的)(股)(票)(市)(值)(和)(买)(入)(、卖)(出)(股)(指)(期)(货)(合)(约)(价)(值)(,合)(计)((轧)(差)(计)(算)()应)(当)(符)(合)(基)(金)(合)(同)(关)(于)(股)(票)(投)(资)(比)(例)(的)(有)(关)(规)(定)(;
19)基)(金)(总)(资)(产)(不)(得)(超)(过)(基)(金)(净)(资)(产)(的)(140%;
20)本)(基)(金)(持)(有)(单)(只)(中)(小)(企)(业)(私)(募)(债)(券)(,其)(市)(值)(不)(得)(超)(过)(基)(金)(资)(产)(净)(值)(的)(10%;
21)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)、(6)、(14)、(17)项)(外)(,因)(证)(券)(市)(场)(波)(动)(、上)(市)(公)(司)(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)(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)(。期)(间)(,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)(本)(基)(金)(合)(同)(生)(效)(之)(日)(起)(开)(始)(。
法)(律)(法)(规)(或)(监)(管)(部)(门)(取)(消)(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)(。
(2)禁)(止)(行)(为)(
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)(国)(务)(院)(证)(券)(监)(督)(管)(理)(机)(构)(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)(国)(务)(院)(证)(券)(监)(督)(管)(理)(机)(构)(规)(定)(禁)(止)(的)(其)(他)(活)(动)(。
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)(期)(内)(承)(销)(的)(证)(券)(,或)(者)(从)(事)(其)(他)(重)(大)(关)(联)(交)(易)(的)(,应)(当)(遵)(循)(基)(金)(份)(额)(持)(有)(人)(利)(益)(优)(先)(的)(原)(则)(,防)(范)(利)(益)(冲)(突)(,符)(合)(中)(国)(证)(监)(会)(的)(规)(定)(,并)(履)(行)(信)(息)(披)(露)(义)(务)(。
如)(法)(律)(法)(规)(或)(监)(管)(部)(门)(取)(消)(上)(述)(禁)(止)(性)(规)(定)(,并)(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)(受)(上)(述)(规)(定)(的)(限)(制)(。
十)(、基)(金)(的)(业)(绩)(比)(较)(基)(准)(
沪)(深)(300指)(数)(收)(益)(率)(×60%+中)(债)(综)(合)(指)(数)(收)(益)(率)(×40%
若)(未)(来)(市)(场)(发)(生)(变)(化)(导)(致)(此)(业)(绩)(比)(较)(基)(准)(不)(再)(适)(用)(或)(有)(更)(加)(适)(合)(的)(业)(绩)(比)(较)(基)(准)(,基)(金)(管)(理)(人)(有)(权)(根)(据)(市)(场)(发)(展)(状)(况)(及)(本)(基)(金)(的)(投)(资)(范)(围)(和)(投)(资)(策)(略)(,依)(据)(维)(护)(投)(资)(者)(合)(法)(权)(益)(的)(原)(则)(,经)(与)(基)(金)(托)(管)(人)(协)(商)(一)(致)(并)(按)(照)(监)(管)(部)(门)(要)(求)(履)(行)(适)(当)(程)(序)(后)(调)(整)(本)(基)(金)(的)(业)(绩)(比)(较)(基)(准)(。业)(绩)(比)(较)(基)(准)(的)(变)(更)(须)(经)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(协)(商)(一)(致)(,并)(及)(时)(在)(指)(定)(媒)(介)(上)(公)(告)(,而)(无)(需)(召)(开)(基)(金)(份)(额)(持)(有)(人)(大)(会)(。
十)(一)(、基)(金)(的)(风)(险)(收)(益)(特)(征)(
本)(基)(金)(属)(于)(混)(合)(型)(基)(金)(,其)(预)(期)(收)(益)(及)(风)(险)(水)(平)(低)(于)(股)(票)(型)(基)(金)(、高)(于)(债)(券)(基)(金)(与)(货)(币)(市)(场)(基)(金)(。
十)(二)(、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)(银)(行)(根)(据)(基)(金)(合)(同)(规)(定)(,于)(2018年)(9月)(27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)(投)(资)(组)(合)(报)(告)(所)(载)(数)(据)(取)(自)(大)(成)(国)(企)(改)(革)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(2018年)(半)(年)(度)(报)(告)(,截)(止)(2018年)(6月)(30日)(,本)(报)(告)(中)(所)(列)(财)(务)(数)(据)(未)(经)(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)((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)(
无)(.
(3)报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(沪)(港)(通)(投)(资)(股)(票)(投)(资)(组)(合)(
无)(。
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)(明)(细)(
4.期)(末)(按)(债)(券)(品)(种)(分)(类)(的)(债)(券)(投)(资)(组)(合)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(债)(券)(。
5.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)(债)(券)(投)(资)(明)(细)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(债)(券)(。
6.报)(告)(期)(末)(按)(公)(允)(价)(值)(占)(基)(金)(资)(产)(净)(值)(比)(例)(大)(小)(排)(名)(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)(名)(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)(未)(投)(资)(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)(未)(投)(资)(国)(债)(期)(货)(
11.投)(资)(组)(合)(报)(告)(附)(注)((1)期)(末)(其)(他)(各)(项)(资)(产)(构)(成)((2)报)(告)(期)(末)(基)(金)(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)(。
(3)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)(前)(十)(名)(股)(票)(中)(不)(存)(在)(流)(通)(受)(限)(情)(况)(。
(4)投)(资)(组)(合)(报)(告)(附)(注)(的)(其)(他)(文)(字)(描)(述)(部)(分)(
由)(于)(四)(舍)(五)(入)(原)(因)(,分)(项)(之)(和)(与)(合)(计)(可)(能)(有)(尾)(差)(。
十)(三)(、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)(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)(。
(一)()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)((二)()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)(
注)(:1、本)(基)(金)(合)(同)(生)(效)(日)(为)(2017年)(9月)(21日)(,截)(至)(报)(告)(期)(末)(本)(基)(金)(合)(同)(生)(效)(未)(满)(一)(年)(。
2、本)(基)(金)(合)(同)(规)(定)(,基)(金)(管)(理)(人)(应)(当)(自)(基)(金)(合)(同)(生)(效)(之)(日)(起)(六)(个)(月)(内)(使)(基)(金)(的)(投)(资)(组)(合)(比)(例)(符)(合)(基)(金)(合)(同)(的)(约)(定)(。截)(止)(本)(报)(告)(期)(末)(,本)(基)(金)(投)(资)(组)(合)(比)(例)(符)(合)(基)(金)(合)(同)(的)(约)(定)(。
十)(四)(、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)(和)(诉)(讼)(费)(;
5、基)(金)(份)(额)(持)(有)(人)(大)(会)(费)(用)((包)(括)(但)(不)(限)(于)(场)(地)(费)(、会)(计)(师)(费)(、律)(师)(费)(和)(公)(证)(费)();
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、按)(照)(国)(家)(有)(关)(规)(定)(和)(《基)(金)(合)(同)(》约)(定)(,可)(以)(在)(基)(金)(财)(产)(中)(列)(支)(的)(其)(他)(费)(用)(。
(二)()基)(金)(费)(用)(计)(提)(方)(法)(、计)(提)(标)(准)(和)(支)(付)(方)(式)(
1、基)(金)(管)(理)(人)(的)(管)(理)(费)(
本)(基)(金)(的)(管)(理)(费)(按)(前)(一)(日)(基)(金)(资)(产)(净)(值)(的)(1.5%年)(费)(率)(计)(提)(。管)(理)(费)(的)(计)(算)(方)(法)(如)(下)(:
H=E×1.5%÷当)(年)(天)(数)(
H为)(每)(日)(应)(计)(提)(的)(基)(金)(管)(理)(费)(
E为)(前)(一)(日)(的)(基)(金)(资)(产)(净)(值)(
基)(金)(管)(理)(费)(每)(日)(计)(算)(,逐)(日)(累)(计)(至)(每)(月)(月)(末)(,按)(月)(支)(付)(,由)(基)(金)(管)(理)(人)(向)(基)(金)(托)(管)(人)(发)(送)(基)(金)(管)(理)(费)(划)(款)(指)(令)(,基)(金)(托)(管)(人)(复)(核)(后)(于)(次)(月)(第)(2-5个)(工)(作)(日)(内)(从)(基)(金)(财)(产)(中)(一)(次)(性)(支)(付)(给)(基)(金)(管)(理)(人)(。若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(或)(不)(可)(抗)(力)(致)(使)(无)(法)(按)(时)(支)(付)(的)(,支)(付)(日)(期)(相)(应)(顺)(延)(至)(法)(定)(节)(假)(日)(、休)(息)(日)(结)(束)(后)(下)(一)(个)(工)(作)(日)(或)(不)(可)(抗)(力)(情)(形)(消)(除)(后)(下)(一)(个)(工)(作)(日)(。
2、基)(金)(托)(管)(人)(的)(托)(管)(费)(
本)(基)(金)(的)(托)(管)(费)(按)(前)(一)(日)(基)(金)(资)(产)(净)(值)(的)(0.25%的)(年)(费)(率)(计)(提)(。托)(管)(费)(的)(计)(算)(方)(法)(如)(下)(:
H=E×0.25%÷当)(年)(天)(数)(
H为)(每)(日)(应)(计)(提)(的)(基)(金)(托)(管)(费)(
E为)(前)(一)(日)(的)(基)(金)(资)(产)(净)(值)(
基)(金)(托)(管)(费)(每)(日)(计)(算)(,逐)(日)(累)(计)(至)(每)(月)(月)(末)(,按)(月)(支)(付)(,由)(基)(金)(管)(理)(人)(向)(基)(金)(托)(管)(人)(发)(送)(基)(金)(托)(管)(费)(划)(款)(指)(令)(,基)(金)(托)(管)(人)(复)(核)(后)(于)(次)(月)(第)(2-5个)(工)(作)(日)(内)(从)(基)(金)(财)(产)(中)(一)(次)(性)(支)(取)(。若)(遇)(法)(定)(节)(假)(日)(、公)(休)(日)(等)(,支)(付)(日)(期)(顺)(延)(。
上)(述)(“一)(、基)(金)(费)(用)(的)(种)(类)(中)(第)(3-8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)(。
(三)()不)(列)(入)(基)(金)(费)(用)(的)(项)(目)(
下)(列)(费)(用)(不)(列)(入)(基)(金)(费)(用)(:
1、基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(因)(未)(履)(行)(或)(未)(完)(全)(履)(行)(义)(务)(导)(致)(的)(费)(用)(支)(出)(或)(基)(金)(财)(产)(的)(损)(失)(;
2、基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(处)(理)(与)(基)(金)(运)(作)(无)(关)(的)(事)(项)(发)(生)(的)(费)(用)(;
3、《基)(金)(合)(同)(》生)(效)(前)(的)(相)(关)(费)(用)(;
4、其)(他)(根)(据)(相)(关)(法)(律)(法)(规)(及)(中)(国)(证)(监)(会)(的)(有)(关)(规)(定)(不)(得)(列)(入)(基)(金)(费)(用)(的)(项)(目)(。
(四)()基)(金)(税)(收)(
本)(基)(金)(运)(作)(过)(程)(中)(涉)(及)(的)(各)(纳)(税)(主)(体)(,其)(纳)(税)(义)(务)(按)(国)(家)(税)(收)(法)(律)(、法)(规)(执)(行)(。
(五)()基)(金)(管)(理)(费)(和)(基)(金)(托)(管)(费)(的)(调)(整)(
经)(基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(协)(商)(一)(致)(,基)(金)(管)(理)(人)(和)(基)(金)(托)(管)(人)(可)(协)(商)(酌)(情)(降)(低)(基)(金)(管)(理)(费)(和)(基)(金)(托)(管)(费)(,此)(项)(调)(整)(不)(需)(要)(基)(金)(份)(额)(持)(有)(人)(大)(会)(决)(议)(通)(过)(。基)(金)(管)(理)(人)(必)(须)(最)(迟)(于)(新)(的)(费)(率)(实)(施)(日)(2日)(前)(在)(指)(定)(媒)(介)(上)(刊)(登)(公)(告)(。
十)(五)(、对)(招)(募)(说)(明)(书)(更)(新)(部)(分)(的)(说)(明)(
本)(更)(新)(的)(招)(募)(说)(明)(书)(依)(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)(》、《公)(开)(募)(集)(开)(放)(式)(证)(券)(投)(资)(基)(金)(流)(动)(性)(风)(险)(管)(理)(规)(定)(》及)(其)(他)(有)(关)(法)(律)(法)(规)(的)(要)(求)(,并)(根)(据)(本)(基)(金)(管)(理)(人)(对)(本)(基)(金)(实)(施)(的)(投)(资)(经)(营)(活)(动)(,对)(2018年)(5月)(4日)(公)(布)(的)(《大)(成)(国)(企)(改)(革)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(招)(募)(说)(明)(书)(》进)(行)(了)(内)(容)(补)(充)(和)(更)(新)(,本)(更)(新)(的)(招)(募)(说)(明)(书)(主)(要)(更)(新)(的)(内)(容)(如)(下)(:
1.根)(据)(最)(新)(情)(况)(,对)(“三)(、基)(金)(管)(理)(人)(”部)(分)(内)(容)(进)(行)(了)(更)(新)(。
2.根)(据)(最)(新)(情)(况)(,对)(“四)(、基)(金)(托)(管)(人)(”部)(分)(内)(容)(进)(行)(了)(更)(新)(。
3.根)(据)(相)(关)(公)(告)(,对)(“五)(、相)(关)(服)(务)(机)(构)(”等)(相)(关)(信)(息)(进)(行)(了)(更)(新)(。
4.根)(据)(相)(关)(财)(务)(数)(据)(,对)(“八)(、基)(金)(的)(投)(资)(”进)(行)(了)(更)(新)(。
5.根)(据)(相)(关)(财)(务)(数)(据)(,对)(“九)(、基)(金)(的)(业)(绩)(”进)(行)(了)(更)(新)(。
6.根)(据)(相)(关)(公)(告)(,对)(“二)(十)(一)(、其)(他)(应)(披)(露)(的)(事)(项)(”进)(行)(了)(更)(新)(,补)(充)(了)(2018年)(3月)(22日)(至)(2018年)(9月)(21日)(发)(布)(的)(公)(告)(。
7.根)(据)(最)(新)(情)(况)(,更)(新)(了)(“二)(十)(二)(、招)(募)(说)(明)(书)(更)(新)(部)(分)(的)(说)(明)(”。
大)(成)(基)(金)(管)(理)(有)(限)(公)(司)(
二)(0一)(八)(年)(十)(一)(月)(二)(日)(返)(回)(搜)(狐)(,查)(看)(更)(多)(
责)(任)(编)(辑)(:
)


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