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景顺长城泰恒回报灵活配置混合型证券投资基金2018年第1号更新招募说明书摘要

来源: 南方日报网络版     时间: 2019年02月16日 14:31:41
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(原)(标)(题)(:景)(顺)(长)(城)(泰)(恒)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(2018年)(第)(1号)(更)(新)(招)(募)(说)(明)(书)(摘)(要)(
  重)(要)(提)(示)((一)()景)(顺)(长)(城)(泰)(恒)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)((以)(下)(简)(称)(“基)(金)(”或)(“本)(基)(金)(”)由)(基)(金)(管)(理)(人)(依)(照)(《中)(华)(人)(民)(共)(和)(国)(证)(券)(投)(资)(基)(金)(法)(》(以)(下)(简)(称)(“《基)(金)(法)(》”)、《公)(开)(募)(集)(证)(券)(投)(资)(基)(金)(运)(作)(管)(理)(办)(法)(》(以)(下)(简)(称)(“《运)(作)(办)(法)(》”)、《证)(券)(投)(资)(基)(金)(销)(售)(管)(理)(办)(法)(》(以)(下)(简)(称)(“《销)(售)(办)(法)(》”)、《证)(券)(投)(资)(基)(金)(信)(息)(披)(露)(管)(理)(办)(法)(》(以)(下)(简)(称)(“《信)(息)(披)(露)(办)(法)(》”)、《公)(开)(募)(集)(开)(放)(式)(证)(券)(投)(资)(基)(金)(流)(动)(性)(风)(险)(管)(理)(规)(定)(》(以)(下)(简)(称)(“《流)(动)(性)(风)(险)(管)(理)(规)(定)(》”)、《景)(顺)(长)(城)(泰)(恒)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(合)(同)(》(以)(下)(简)(称)(“基)(金)(合)(同)(”)及)(其)(他)(有)(关)(规)(定)(募)(集)(,并)(经)(中)(国)(证)(监)(会)(2017年)(10月)(31日)(证)(监)(许)(可)(【2017】1947号)(文)(准)(予)(募)(集)(注)(册)(。
(二)()基)(金)(管)(理)(人)(保)(证)(招)(募)(说)(明)(书)(的)(内)(容)(真)(实)(、准)(确)(、完)(整)(。本)(招)(募)(说)(明)(书)(经)(中)(国)(证)(监)(会)(注)(册)(,但)(中)(国)(证)(监)(会)(对)(本)(基)(金)(募)(集)(的)(注)(册)(,并)(不)(表)(明)(其)(对)(本)(基)(金)(的)(的)(投)(资)(价)(值)(、收)(益)(和)(市)(场)(前)(景)(做)(出)(实)(质)(性)(判)(断)(或)(保)(证)(,也)(不)(表)(明)(投)(资)(于)(本)(基)(金)(没)(有)(风)(险)(。
(三)()投)(资)(有)(风)(险)(,投)(资)(人)(认)(购)((或)(申)(购)()本)(基)(金)(时)(应)(认)(真)(阅)(读)(本)(招)(募)(说)(明)(书)(,自)(主)(判)(断)(基)(金)(的)(投)(资)(价)(值)(,自)(主)(做)(出)(投)(资)(决)(策)(,自)(行)(承)(担)(投)(资)(风)(险)(。
(四)()基)(金)(的)(过)(往)(业)(绩)(并)(不)(预)(示)(其)(未)(来)(表)(现)(,基)(金)(管)(理)(人)(管)(理)(的)(其)(他)(基)(金)(的)(业)(绩)(并)(不)(构)(成)(对)(本)(基)(金)(业)(绩)(表)(现)(的)(保)(证)(。
(五)()基)(金)(管)(理)(人)(依)(照)(恪)(尽)(职)(守)(、诚)(实)(信)(用)(、谨)(慎)(勤)(勉)(的)(原)(则)(管)(理)(和)(运)(用)(基)(金)(财)(产)(,但)(不)(保)(证)(投)(资)(本)(基)(金)(一)(定)(盈)(利)(,也)(不)(保)(证)(最)(低)(收)(益)(。
(六)()本)(基)(金)(投)(资)(于)(证)(券)(市)(场)(,基)(金)(净)(值)(会)(因)(为)(证)(券)(市)(场)(波)(动)(等)(因)(素)(产)(生)(波)(动)(,投)(资)(者)(在)(投)(资)(本)(基)(金)(前)(,请)(认)(真)(阅)(读)(基)(金)(合)(同)(、本)(招)(募)(说)(明)(书)(等)(信)(息)(披)(露)(文)(件)(,全)(面)(认)(识)(本)(基)(金)(产)(品)(的)(风)(险)(收)(益)(特)(征)(和)(产)(品)(特)(性)(,充)(分)(考)(虑)(自)(身)(的)(风)(险)(承)(受)(能)(力)(,理)(性)(判)(断)(市)(场)(,对)(认)(购)((或)(申)(购)()基)(金)(的)(意)(愿)(、时)(机)(、数)(量)(等)(投)(资)(行)(为)(作)(出)(独)(立)(决)(策)(,获)(得)(基)(金)(投)(资)(收)(益)(,亦)(承)(担)(基)(金)(投)(资)(中)(出)(现)(的)(各)(类)(风)(险)(。投)(资)(本)(基)(金)(可)(能)(遇)(到)(的)(风)(险)(包)(括)(:证)(券)(市)(场)(整)(体)(环)(境)(引)(发)(的)(系)(统)(性)(风)(险)(,个)(别)(证)(券)(特)(有)(的)(非)(系)(统)(性)(风)(险)(,大)(量)(赎)(回)(或)(暴)(跌)(导)(致)(的)(流)(动)(性)(风)(险)(,基)(金)(投)(资)(过)(程)(中)(产)(生)(的)(操)(作)(风)(险)(,因)(交)(收)(违)(约)(和)(投)(资)(债)(券)(引)(发)(的)(信)(用)(风)(险)(,基)(金)(投)(资)(对)(象)(与)(投)(资)(策)(略)(引)(致)(的)(特)(有)(风)(险)(,等)(等)(。本)(基)(金)(是)(混)(合)(型)(基)(金)(,属)(于)(中)(高)(预)(期)(收)(益)(和)(风)(险)(水)(平)(的)(投)(资)(品)(种)(,其)(预)(期)(风)(险)(和)(预)(期)(收)(益)(水)(平)(高)(于)(货)(币)(型)(基)(金)(、债)(券)(型)(基)(金)(,低)(于)(股)(票)(型)(基)(金)(。
(七)()本)(基)(金)(投)(资)(于)(中)(小)(企)(业)(私)(募)(债)(券)(,该)(券)(种)(具)(有)(较)(高)(的)(流)(动)(性)(风)(险)(和)(信)(用)(风)(险)(。中)(小)(企)(业)(私)(募)(债)(的)(信)(用)(风)(险)(是)(指)(中)(小)(企)(业)(私)(募)(债)(券)(发)(行)(人)(可)(能)(由)(于)(规)(模)(小)(、经)(营)(历)(史)(短)(、业)(绩)(不)(稳)(定)(、内)(部)(治)(理)(规)(范)(性)(不)(够)(、信)(息)(透)(明)(度)(低)(等)(因)(素)(导)(致)(其)(不)(能)(履)(行)(还)(本)(付)(息)(的)(责)(任)(而)(使)(预)(期)(收)(益)(与)(实)(际)(收)(益)(发)(生)(偏)(离)(的)(可)(能)(性)(,从)(而)(使)(基)(金)(投)(资)(收)(益)(下)(降)(。基)(金)(可)(通)(过)(多)(样)(化)(投)(资)(来)(分)(散)(这)(种)(非)(系)(统)(风)(险)(,但)(不)(能)(完)(全)(规)(避)(。流)(动)(性)(风)(险)(是)(指)(中)(小)(企)(业)(私)(募)(债)(券)(由)(于)(其)(转)(让)(方)(式)(及)(其)(投)(资)(持)(有)(人)(数)(的)(限)(制)(,存)(在)(变)(现)(困)(难)(或)(无)(法)(在)(适)(当)(或)(期)(望)(时)(变)(现)(引)(起)(损)(失)(的)(可)(能)(性)(。
(八)()基)(金)(管)(理)(人)(提)(醒)(投)(资)(人)(基)(金)(投)(资)(的)(“买)(者)(自)(负)(”原)(则)(,在)(投)(资)(人)(作)(出)(投)(资)(决)(策)(后)(,基)(金)(运)(营)(状)(况)(与)(基)(金)(净)(值)(变)(化)(引)(致)(的)(投)(资)(风)(险)(,由)(投)(资)(人)(自)(行)(负)(责)(。
(九)()本)(基)(金)(单)(一)(投)(资)(者)(持)(有)(基)(金)(份)(额)(数)(不)(得)(达)(到)(或)(超)(过)(基)(金)(份)(额)(总)(数)(的)(50%,但)(在)(基)(金)(运)(作)(过)(程)(中)(因)(基)(金)(份)(额)(赎)(回)(等)(情)(形)(导)(致)(被)(动)(达)(到)(或)(超)(过)(50%的)(除)(外)(。
(十)()本)(招)(募)(说)(明)(书)(已)(经)(本)(基)(金)(托)(管)(人)(复)(核)(。本)(招)(募)(说)(明)(书)(所)(载)(内)(容)(截)(止)(日)(为)(2018年)(7月)(25日)(,有)(关)(财)(务)(数)(据)(和)(净)(值)(表)(现)(截)(止)(日)(为)(2018年)(6月)(30日)(。本)(更)(新)(招)(募)(说)(明)(书)(中)(财)(务)(数)(据)(未)(经)(审)(计)(。
一)(、基)(金)(管)(理)(人)(概)(况)((一)()基)(金)(管)(理)(人)(概)(况)(
名)(称)(:景)(顺)(长)(城)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:深)(圳)(市)(福)(田)(区)(中)(心)(四)(路)(1号)(嘉)(里)(建)(设)(广)(场)(第)(1座)(21层)(
设)(立)(日)(期)(:2003年)(6月)(12日)(
法)(定)(代)(表)(人)(:杨)(光)(裕)(
注)(册)(资)(本)(:1.3亿)(元)(人)(民)(币)(
批)(准)(设)(立)(文)(号)(:证)(监)(基)(金)(字)([2003]76号)(
办)(公)(地)(址)(:深)(圳)(市)(福)(田)(区)(中)(心)(四)(路)(1号)(嘉)(里)(建)(设)(广)(场)(第)(1座)(21层)(
电)(话)(:0755-82370388
客)(户)(服)(务)(电)(话)(:4008888606
传)(真)(:0755-22381339
联)(系)(人)(:杨)(vp?(簏)(br />股)(东)(名)(称)(及)(出)(资)(比)(例)(:
(二)()主)(要)(人)(员)(情)(况)(
1、基)(金)(管)(理)(人)(董)(事)(会)(成)(员)(
杨)(光)(裕)(先)(生)(,董)(事)(长)(,工)(商)(管)(理)(硕)(士)(。曾)(担)(任)(江)(西)(财)(经)(大)(学)(教)(师)(,江)(西)(省)(审)(计)(厅)(办)(公)(室)(主)(任)(,海)(南)(汇)(通)(国)(际)(信)(托)(投)(资)(公)(司)(总)(会)(计)(师)(,长)(城)(证)(券)(股)(份)(有)(限)(公)(司)(副)(总)(裁)(,长)(城)(基)(金)(管)(理)(有)(限)(公)(司)(董)(事)(长)(,兼)(任)(长)(城)(嘉)(信)(资)(产)(管)(理)(有)(限)(公)(司)(董)(事)(长)(。2016年)(7月)(加)(入)(本)(公)(司)(,任)(职)(公)(司)(董)(事)(长)(。
罗)(德)(城)(先)(生)(,董)(事)(,工)(商)(管)(理)(硕)(士)(。曾)(任)(大)(通)(银)(行)(信)(用)(分)(析)(师)(、花)(旗)(银)(行)(投)(资)(管)(理)(部)(副)(总)(裁)(、CapitalHouse亚)(洲)(分)(公)(司)(的)(董)(事)(总)(经)(理)(。1992至)(1996年)(间)(出)(任)(香)(港)(投)(资)(基)(金)(公)(会)(管)(理)(委)(员)(会)(成)(员)(,并)(于)(1996至)(1997年)(间)(担)(任)(公)(会)(主)(席)(。1997至)(2000年)(间)(,担)(任)(香)(港)(联)(交)(所)(委)(员)(会)(成)(员)(,并)(在)(1997至)(2001年)(间)(担)(任)(香)(港)(证)(监)(会)(顾)(问)(委)(员)(会)(成)(员)(。现)(任)(景)(顺)(集)(团)(亚)(太)(区)(首)(席)(执)(行)(官)(。
黄)(海)(洲)(先)(生)(,董)(事)(,工)(商)(管)(理)(硕)(士)(。1992年)(9月)(起)(,历)(任)(招)(商)(银)(行)(股)(份)(有)(限)(公)(司)(深)(圳)(蛇)(口)(支)(行)(会)(计)(、工)(程)(管)(理)(部)(员)(工)(、人)(力)(资)(源)(部)(干)(部)(,新)(江)(南)(投)(资)(公)(司)(副)(总)(经)(理)(。2005年)(5月)(起)(担)(任)(长)(城)(证)(券)(副)(总)(经)(理)(,现)(任)(长)(城)(证)(券)(副)(总)(经)(理)(、党)(委)(委)(员)(。
康)(乐)(先)(生)(,董)(事)(,总)(经)(理)(,经)(济)(学)(硕)(士)(。曾)(先)(后)(担)(任)(中)(国)(人)(寿)(资)(产)(管)(理)(有)(限)(公)(司)(研)(究)(部)(研)(究)(员)(、组)(合)(管)(理)(部)(投)(资)(经)(理)(、国)(际)(业)(务)(部)(投)(资)(经)(理)(,景)(顺)(投)(资)(管)(理)(有)(限)(公)(司)(市)(场)(销)(售)(部)(经)(理)(、北)(京)(代)(表)(处)(首)(席)(代)(表)(,中)(国)(国)(际)(金)(融)(有)(限)(公)(司)(销)(售)(交)(易)(部)(副)(总)(经)(理)(。2011年)(7月)(加)(入)(本)(公)(司)(,现)(任)(公)(司)(董)(事)(兼)(总)(经)(理)(。
伍)(同)(明)(先)(生)(,独)(立)(董)(事)(,文)(学)(学)(士)((1972年)(毕)(业)()。香)(港)(会)(计)(师)(公)(会)(会)(员)((HKICPA)、英)(国)(特)(许)(公)(认)(会)(计)(师)((ACCA)、香)(港)(执)(业)(会)(计)(师)((CPA)、加)(拿)(大)(公)(认)(管)(理)(会)(计)(师)((CMA)。拥)(有)(超)(过)(二)(十)(年)(以)(上)(的)(会)(计)(、审)(核)(、管)(治)(税)(务)(的)(专)(业)(经)(验)(及)(知)(识)(,1972-1977受)(训)(于)(国)(际)(知)(名)(会)(计)(师)(楼)(“毕)(马)(威)(会)(计)(师)(行)(”[KPMG]。现)(为)(“伍)(同)(明)(会)(计)(师)(行)(”所)(有)(者)(。
靳)(庆)(军)(先)(生)(,独)(立)(董)(事)(,法)(学)(硕)(士)(。曾)(担)(任)(中)(信)(律)(师)(事)(务)(所)(涉)(外)(专)(职)(律)(师)(,在)(香)(港)(马)(士)(打)(律)(师)(行)(、英)(国)(律)(师)(行)(C1yde&Co.从)(事)(律)(师)(工)(作)(,1993年)(发)(起)(设)(立)(信)(达)(律)(师)(事)(务)(所)(,担)(任)(执)(行)(合)(伙)(人)(。现)(任)(金)(杜)(律)(师)(事)(务)(所)(合)(伙)(人)(。
李)(晓)(西)(先)(生)(,独)(立)(董)(事)(。曾)(任)(国)(务)(院)(研)(究)(室)(宏)(观)(经)(济)(研)(究)(司)(司)(长)(。现)(任)(北)(京)(师)(范)(大)(学)(校)(学)(术)(委)(员)(会)(副)(主)(任)(,教)(授)(、博)(士)(生)(导)(师)(;中)(国)(社)(会)(科)(学)(院)(研)(究)(生)(院)(教)(授)(、博)(士)(生)(导)(师)(;教)(育)(部)(社)(会)(科)(学)(委)(员)(会)(经)(济)(学)(部)(召)(集)(人)(。
2、基)(金)(管)(理)(人)(监)(事)(会)(成)(员)(
李)(翔)(先)(生)(,监)(事)(,高)(级)(管)(理)(人)(员)(工)(商)(管)(理)(硕)(士)(。曾)(任)(长)(城)(证)(券)(股)(份)(有)(限)(公)(司)(人)(事)(部)(副)(总)(经)(理)(、人)(事)(监)(察)(部)(总)(经)(理)(、营)(业)(部)(总)(经)(理)(、公)(司)(营)(销)(总)(监)(、营)(销)(管)(理)(部)(总)(经)(理)(。现)(任)(长)(城)(证)(券)(股)(份)(有)(限)(公)(司)(副)(总)(裁)(、党)(委)(委)(员)(。
郭)(慧)(娜)(女)(士)(,监)(事)(,管)(理)(理)(学)(硕)(士)(。曾)(任)(伦)(敦)(安)(永)(会)(计)(师)(事)(务)(所)(核)(数)(师)(,历)(任)(景)(顺)(投)(资)(管)(理)(有)(限)(公)(司)(项)(目)(主)(管)(、业)(务)(发)(展)(部)(副)(经)(理)(、企)(业)(发)(展)(部)(经)(理)(、亚)(太)(区)(监)(察)(总)(监)(。现)(任)(景)(顺)(投)(资)(管)(理)(有)(限)(公)(司)(亚)(太)(区)(首)(席)(行)(政)(官)(。
邵)(媛)(媛)(女)(士)(,监)(事)(,管)(理)(学)(硕)(士)(。曾)(任)(职)(于)(深)(圳)(市)(天)(健)((信)(德)()会)(计)(师)(事)(务)(所)(、福)(建)(兴)(业)(银)(行)(深)(圳)(分)(行)(计)(财)(部)(。现)(任)(景)(顺)(长)(城)(基)(金)(管)(理)(有)(限)(公)(司)(基)(金)(事)(务)(部)(总)(监)(。
杨)(波)(先)(生)(,监)(事)(,工)(商)(管)(理)(硕)(士)(。曾)(任)(职)(于)(长)(城)(证)(券)(经)(纪)(业)(务)(管)(理)(部)(。现)(任)(景)(顺)(长)(城)(基)(金)(管)(理)(有)(限)(公)(司)(交)(易)(管)(理)(部)(总)(监)(。
3、高)(级)(管)(理)(人)(员)(
杨)(光)(裕)(先)(生)(,董)(事)(长)(,简)(历)(同)(上)(。
康)(乐)(先)(生)(,总)(经)(理)(,简)(历)(同)(上)(。
周)(伟)(达)(先)(生)(,副)(总)(经)(理)(,工)(商)(管)(理)(硕)(士)(。曾)(担)(任)(联)(博)(香)(港)(有)(限)(公)(司)(分)(析)(员)(、中)(国)(研)(究)(总)(监)(兼)(上)(海)(代)(表)(处)(首)(席)(代)(表)(、亚)(洲)((除)(日)(本)(外)()增)(长)(型)(股)(票)(投)(资)(负)(责)(人)(、高)(级)(副)(总)(裁)(,友)(邦)(保)(险)(有)(限)(公)(司)(上)(海)(分)(公)(司)(资)(产)(管)(理)(中)(心)(副)(总)(裁)(。2014年)(4月)(加)(入)(本)(公)(司)(,任)(职)(公)(司)(副)(总)(经)(理)(。
毛)(从)(容)(女)(士)(,副)(总)(经)(理)(,经)(济)(学)(硕)(士)(。曾)(任)(职)(于)(交)(通)(银)(行)(深)(圳)(市)(分)(行)(国)(际)(业)(务)(部)(,担)(任)(长)(城)(证)(券)(金)(融)(研)(究)(所)(高)(级)(分)(析)(师)(、债)(券)(小)(组)(组)(长)(。2003年)(3月)(加)(入)(本)(公)(司)(,现)(任)(公)(司)(副)(总)(经)(理)(。
黎)(海)(威)(先)(生)(,副)(总)(经)(理)(,经)(济)(学)(硕)(士)(。曾)(担)(任)(美)(国)(穆)(迪)(KMV公)(司)(研)(究)(员)(,美)(国)(贝)(莱)(德)(集)(团)((原)(巴)(克)(莱)(国)(际)(投)(资)(管)(理)(有)(限)(公)(司)()基)(金)(经)(理)(、主)(动)(股)(票)(部)(副)(总)(裁)(,香)(港)(海)(通)(国)(际)(资)(产)(管)(理)(有)(限)(公)(司)((海)(通)(国)(际)(投)(资)(管)(理)(有)(限)(公)(司)()量)(化)(总)(监)(。2012年)(8月)(加)(入)(本)(公)(司)(,现)(任)(公)(司)(副)(总)(经)(理)(。
赵)(代)(中)(先)(生)(,副)(总)(经)(理)(,理)(学)(硕)(士)(。曾)(担)(任)(深)(圳)(发)(展)(银)(行)(北)(京)(分)(行)(金)(融)(同)(业)(部)(投)(资)(经)(理)(、宁)(夏)(嘉)(川)(集)(团)(项)(目)(部)(项)(目)(负)(责)(人)(、全)(国)(社)(会)(保)(障)(基)(金)(理)(事)(会)(境)(外)(投)(资)(部)(全)(球)(股)(票)(处)(处)(长)(、浙)(江)(大)(钧)(资)(产)(管)(理)(有)(限)(公)(司)(合)(伙)(人)(兼)(副)(总)(经)(理)(。2016年)(3月)(加)(入)(本)(公)(司)(,现)(任)(公)(司)(副)(总)(经)(理)(。
吴)(建)(军)(先)(生)(,副)(总)(经)(理)(,经)(济)(学)(硕)(士)(。曾)(担)(任)(海)(南)(汇)(通)(国)(际)(信)(托)(投)(资)(公)(司)(证)(券)(部)(副)(经)(理)(,长)(城)(证)(券)(股)(份)(有)(限)(公)(司)(机)(构)(管)(理)(部)(总)(经)(理)(、公)(司)(总)(裁)(助)(理)(。2003年)(3月)(加)(入)(本)(公)(司)(,现)(任)(公)(司)(副)(总)(经)(理)(。
刘)(焕)(喜)(先)(生)(,副)(总)(经)(理)(,投)(资)(与)(金)(融)(系)(博)(士)(。曾)(担)(任)(武)(汉)(大)(学)(教)(师)(工)(作)(处)(副)(科)(长)(、武)(汉)(大)(学)(成)(人)(教)(育)(学)(院)(讲)(师)(,《证)(券)(时)(报)(》社)(编)(辑)(记)(者)(,长)(城)(证)(券)(研)(发)(中)(心)(研)(究)(员)(、总)(裁)(办)(副)(主)(任)(、行)(政)(部)(副)(总)(经)(理)(。2003年)(3月)(加)(入)(本)(公)(司)(,现)(任)(公)(司)(副)(总)(经)(理)(。
杨)(vp?(粝)(壬)(怛嘌讲)(斐)(ぃ嘁ㄑ绌妒)(俊)(T釮H魏)(诹)(?酑〈笄)(焓)(泻)(旄)(谇)(鈁嗣)(穹)(ㄔ褐)(?砩)(笈)(性)(保)(噙戏)(交)(猱鸸)(芾)(碛)(邢)(薰)(鄨炯)(嗖)(旎)(闩瞬)(考)(嗖)(旎)(闩司)(?怼)(⒓嗖)(旎)(闩烁)(呒)(毒)(?怼)(⒆芗)(嘀)(?怼)(?008年)(10月)(加)(入)(本)(公)(司)(,现)(任)(公)(司)(督)(察)(长)(。
4、本)(基)(金)(基)(金)(经)(理)(简)(历)(
本)(公)(司)(采)(用)(团)(队)(投)(资)(方)(式)(,即)(通)(过)(整)(个)(投)(资)(部)(门)(全)(体)(人)(员)(的)(共)(同)(努)(力)(,争)(取)(良)(好)(投)(资)(业)(绩)(。本)(基)(金)(基)(金)(经)(理)(如)(下)(:
万)(梦)(女)(士)(,工)(学)(硕)(士)(。曾)(任)(职)(于)(壳)(牌)((中)(国)()有)(限)(公)(司)(。2011年)(9月)(加)(入)(本)(公)(司)(,历)(任)(研)(究)(部)(行)(业)(研)(究)(员)(、固)(定)(收)(益)(部)(研)(究)(员)(和)(基)(金)(经)(理)(助)(理)(,自)(2015年)(7月)(起)(担)(任)(固)(定)(收)(益)(部)(基)(金)(经)(理)(。具)(有)(7年)(证)(券)(、基)(金)(行)(业)(从)(业)(经)(验)(。
徐)(喻)(军)(先)(生)(,理)(学)(硕)(士)(。曾)(担)(任)(安)(信)(证)(券)(风)(险)(管)(理)(部)(风)(险)(管)(理)(专)(员)(。2012年)(3月)(加)(入)(本)(公)(司)(,担)(任)(量)(化)(及)(ETF投)(资)(部)(ETF专)(员)(;自)(2014年)(4月)(起)(担)(任)(量)(化)(及)(指)(数)(投)(资)(部)(基)(金)(经)(理)(。具)(有)(8年)(证)(券)(、基)(金)(行)(业)(从)(业)(经)(验)(。
5、本)(基)(金)(基)(金)(经)(理)(曾)(管)(理)(的)(基)(金)(名)(称)(及)(管)(理)(时)(间)(
本)(基)(金)(基)(金)(经)(理)(万)(梦)(女)(士)(曾)(于)(2016年)(2月)(至)(2017年)(2月)(管)(理)(景)(顺)(长)(城)(中)(国)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(。
本)(基)(金)(基)(金)(经)(理)(徐)(喻)(军)(先)(生)(曾)(于)(2014年)(4月)(至)(2018年)(5月)(管)(理)(景)(顺)(长)(城)(沪)(深)(300等)(权)(重)(交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(;2014年)(4月)(至)(2018年)(7月)(管)(理)(景)(顺)(长)(城)(上)(证)(180等)(权)(重)(交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(联)(接)(基)(金)(。
6、本)(基)(金)(基)(金)(经)(理)(兼)(任)(其)(他)(基)(金)(基)(金)(经)(理)(的)(情)(况)(
本)(基)(金)(基)(金)(经)(理)(万)(梦)(女)(士)(兼)(任)(景)(顺)(长)(城)(稳)(健)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(领)(先)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(安)(享)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(泰)(和)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(泰)(安)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(公)(司)(治)(理)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(景)(瑞)(睿)(利)(回)(报)(定)(期)(开)(放)(混)(合)(型)(证)(券)(投)(资)(基)(金)(和)(景)(顺)(长)(城)(顺)(益)(回)(报)(混)(合)(型)(证)(券)(投)(资)(基)(金)(基)(金)(经)(理)(。
本)(基)(金)(基)(金)(经)(理)(徐)(喻)(军)(先)(生)(兼)(任)(上)(证)(180等)(权)(重)(交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(中)(证)(500交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(中)(证)(500交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(联)(接)(基)(金)(、景)(顺)(长)(城)(公)(司)(治)(理)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(支)(柱)(产)(业)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(研)(究)(精)(选)(股)(票)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(中)(证)(500行)(业)(中)(性)(低)(波)(动)(指)(数)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(领)(先)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(优)(质)(成)(长)(股)(票)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(睿)(成)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(量)(化)(平)(衡)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(MSCI中)(国)(A股)(国)(际)(通)(交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(、景)(顺)(长)(城)(MSCI中)(国)(A股)(国)(际)(通)(交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(联)(接)(基)(金)(、景)(顺)(长)(城)(中)(证)(TMT150交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(和)(景)(顺)(长)(城)(中)(证)(TMT150交)(易)(型)(开)(放)(式)(指)(数)(证)(券)(投)(资)(基)(金)(联)(接)(基)(金)(基)(金)(经)(理)(。
7、本)(基)(金)(历)(任)(基)(金)(经)(理)(姓)(名)(及)(管)(理)(时)(间)(
无)(。
8、投)(资)(决)(策)(委)(员)(会)(委)(员)(名)(单)(
本)(公)(司)(的)(投)(资)(决)(策)(委)(员)(会)(由)(公)(司)(总)(经)(理)(、分)(管)(投)(资)(的)(副)(总)(经)(理)(、各)(投)(资)(总)(监)(、研)(究)(总)(监)(、基)(金)(经)(理)(代)(表)(等)(组)(成)(。
公)(司)(的)(投)(资)(决)(策)(委)(员)(会)(成)(员)(姓)(名)(及)(职)(务)(如)(下)(:
康)(乐)(先)(生)(,总)(经)(理)(;
周)(伟)(达)(先)(生)(,副)(总)(经)(理)(;
毛)(从)(容)(女)(士)(,副)(总)(经)(理)(;
黎)(海)(威)(先)(生)(,副)(总)(经)(理)(兼)(量)(化)(及)(指)(数)(投)(资)(部)(投)(资)(总)(监)(;
余)(广)(先)(生)(,总)(经)(理)(助)(理)(兼)(股)(票)(投)(资)(部)(投)(资)(总)(监)(;
刘)(彦)(春)(先)(生)(,总)(经)(理)(助)(理)(兼)(研)(究)(部)(总)(监)(;
陈)(文)(鹏)(先)(生)(,固)(定)(收)(益)(部)(投)(资)(总)(监)(。
9、上)(述)(人)(员)(之)(间)(不)(存)(在)(近)(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)()基)(金)(份)(额)(发)(售)(机)(构)(
1、直)(销)(机)(构)(
名)(称)(:景)(顺)(长)(城)(基)(金)(管)(理)(有)(限)(公)(司)(
注)(册)(地)(址)(:深)(圳)(市)(福)(田)(区)(中)(心)(四)(路)(1号)(嘉)(里)(建)(设)(广)(场)(第)(1座)(21层)(
法)(定)(代)(表)(人)(:杨)(光)(裕)(
电)(话)(:0755-82370388-1663
传)(真)(:0755-22381325
联)(系)(人)(:周)(婷)(
客)(户)(服)(务)(电)(话)(:0755-82370688、4008888606
网)(址)(:www.igwfmc.com
注)(:直)(销)(机)(构)(包)(括)(本)(公)(司)(深)(圳)(直)(销)(中)(心)(及)(直)(销)(网)(上)(交)(易)(系)(统)(/电)(子)(交)(易)(直)(销)(前)(置)(式)(自)(助)(前)(台)((具)(体)(以)(本)(公)(司)(官)(网)(列)(示)(为)(准)()
2、其)(他)(销)(售)(机)(构)(
光)(大)(证)(券)(股)(份)(有)(限)(公)(司)(
注)(册)((办)(公)()地)(址)(:上)(海)(市)(静)(安)(区)(新)(闸)(路)(1508号)(
法)(定)(代)(表)(人)(:周)(健)(男)(
联)(系)(人)(:郁)(疆)(
电)(话)(:021-22169999
传)(真)(:021-22169134
客)(户)(服)(务)(电)(话)(:95525、4008888788、10108998
网)(址)(:www.ebscn.com
基)(金)(管)(理)(人)(可)(根)(据)(《销)(售)(办)(法)(》和)(基)(金)(合)(同)(等)(的)(规)(定)(,选)(择)(其)(他)(符)(合)(要)(求)(的)(机)(构)(销)(售)(本)(基)(金)(,并)(及)(时)(履)(行)(公)(告)(义)(务)(。
(二)()登)(记)(机)(构)(
名)(称)(:景)(顺)(长)(城)(基)(金)(管)(理)(有)(限)(公)(司)(
住)(所)(:深)(圳)(市)(福)(田)(区)(中)(心)(四)(路)(1号)(嘉)(里)(建)(设)(广)(场)(第)(一)(座)(21层)(
办)(公)(地)(址)(:深)(圳)(市)(福)(田)(区)(中)(心)(四)(路)(1号)(嘉)(里)(建)(设)(广)(场)(第)(一)(座)(21层)(
法)(定)(代)(表)(人)(:杨)(光)(裕)(
电)(话)(:0755-82370388-1902
传)(真)(:0755-22381325
联)(系)(人)(:曹)(竞)((三)()出)(具)(法)(律)(意)(见)(书)(的)(律)(师)(事)(务)(所)(
名)(称)(:上)(海)(市)(通)(力)(律)(师)(事)(务)(所)(
住)(所)(:上)(海)(市)(银)(城)(中)(路)(68号)(时)(代)(金)(融)(中)(心)(19楼)(
办)(公)(地)(址)(:上)(海)(市)(银)(城)(中)(路)(68号)(时)(代)(金)(融)(中)(心)(19楼)(
负)(责)(人)(:俞)(卫)(锋)(
电)(话)(:021-31358666
传)(真)(:021-31358600
经)(办)(律)(师)(:黎)(明)(、陈)(颖)(华)(
联)(系)(人)(:陈)(颖)(华)((四)()审)(计)(基)(金)(资)(产)(的)(会)(计)(师)(事)(务)(所)(
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)(
执)(行)(事)(务)(合)(伙)(人)(:毛)(鞍)(宁)(
电)(话)(:(010)58153000
传)(真)(:(010)85188298
经)(办)(注)(册)(会)(计)(师)(:吴)(翠)(蓉)(、高)(鹤)(
联)(系)(人)(:吴)(翠)(蓉)(
四)(、基)(金)(的)(名)(称)(
景)(顺)(长)(城)(泰)(恒)(回)(报)(灵)(活)(配)(置)(混)(合)(型)(证)(券)(投)(资)(基)(金)(
五)(、基)(金)(的)(类)(型)(
契)(约)(型)(开)(放)(式)(
六)(、基)(金)(的)(投)(资)(目)(标)(
在)(严)(格)(控)(制)(投)(资)(组)(合)(风)(险)(的)(前)(提)(下)(,通)(过)(积)(极)(主)(动)(的)(资)(产)(配)(置)(,寻)(求)(基)(金)(资)(产)(的)(长)(期)(稳)(健)(增)(值)(,力)(争)(获)(得)(超)(越)(业)(绩)(比)(较)(基)(准)(的)(稳)(定)(收)(益)(。
七)(、基)(金)(的)(投)(资)(方)(向)(
本)(基)(金)(的)(投)(资)(范)(围)(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)(内)(依)(法)(发)(行)(和)(上)(市)(交)(易)(的)(国)(债)(、央)(行)(票)(据)(、金)(融)(债)(券)(、企)(业)(债)(券)(、公)(司)(债)(券)(、中)(期)(票)(据)(、短)(期)(融)(资)(券)(、超)(短)(期)(融)(资)(券)(、次)(级)(债)(券)(、政)(府)(支)(持)(机)(构)(债)(、政)(府)(支)(持)(债)(券)(、地)(方)(政)(府)(债)(、中)(小)(企)(业)(私)(募)(债)(券)(、可)(转)(换)(债)(券)(及)(其)(他)(经)(中)(国)(证)(监)(会)(允)(许)(投)(资)(的)(债)(券)()、债)(券)(回)(购)(、银)(行)(存)(款)(、同)(业)(存)(单)(、资)(产)(支)(持)(证)(券)(、货)(币)(市)(场)(工)(具)(、权)(证)(、股)(指)(期)(货)(以)(及)(经)(中)(国)(证)(监)(会)(允)(许)(基)(金)(投)(资)(的)(其)(他)(金)(融)(工)(具)(,但)(需)(符)(合)(中)(国)(证)(监)(会)(的)(相)(关)(规)(定)(。
本)(基)(金)(的)(投)(资)(组)(合)(比)(例)(为)(:本)(基)(金)(股)(票)(投)(资)(占)(基)(金)(资)(产)(的)(比)(例)(范)(围)(为)(0-95%。本)(基)(金)(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)(,应)(当)(保)(持)(不)(低)(于)(基)(金)(资)(产)(净)(值)(5%的)(现)(金)(或)(者)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)(,其)(中)(现)(金)(不)(包)(括)(结)(算)(备)(付)(金)(、存)(出)(保)(证)(金)(及)(应)(收)(申)(购)(款)(等)(。
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)(,并)(可)(依)(据)(届)(时)(有)(效)(的)(法)(律)(法)(规)(适)(时)(合)(理)(地)(调)(整)(投)(资)(范)(围)(。
八)(、基)(金)(的)(投)(资)(策)(略)((一)()资)(产)(配)(置)(策)(略)(
本)(基)(金)(依)(据)(定)(期)(公)(布)(的)(宏)(观)(和)(金)(融)(数)(据)(以)(及)(投)(资)(部)(门)(对)(于)(宏)(观)(经)(济)(、股)(市)(政)(策)(、市)(场)(趋)(势)(的)(综)(合)(分)(析)(,重)(点)(关)(注)(包)(括)(、GDP增)(速)(、固)(定)(资)(产)(投)(资)(增)(速)(、净)(出)(口)(增)(速)(、通)(胀)(率)(、货)(币)(供)(应)(、利)(率)(等)(宏)(观)(指)(标)(的)(变)(化)(趋)(势)(,同)(时)(强)(调)(金)(融)(市)(场)(投)(资)(者)(行)(为)(分)(析)(,关)(注)(资)(本)(市)(场)(资)(金)(供)(求)(关)(系)(变)(化)(等)(因)(素)(,在)(深)(入)(分)(析)(和)(充)(分)(论)(证)(的)(基)(础)(上)(评)(估)(宏)(观)(经)(济)(运)(行)(及)(政)(策)(对)(资)(本)(市)(场)(的)(影)(响)(方)(向)(和)(力)(度)(,运)(用)(宏)(观)(经)(济)(模)(型)((MEM)做)(出)(对)(于)(宏)(观)(经)(济)(的)(评)(价)(,结)(合)(投)(资)(制)(度)(的)(要)(求)(提)(出)(资)(产)(配)(置)(建)(议)(,经)(投)(资)(决)(策)(委)(员)(会)(审)(核)(后)(形)(成)(资)(产)(配)(置)(方)(案)(。
本)(基)(金)(的)(资)(产)(配)(置)(将)(根)(据)(宏)(观)(经)(济)(形)(势)(、金)(融)(要)(素)(运)(行)(情)(况)(、中)(国)(经)(济)(发)(展)(情)(况)(,在)(权)(益)(类)(资)(产)(、固)(定)(收)(益)(类)(资)(产)(和)(现)(金)(类)(资)(产)(三)(大)(类)(资)(产)(类)(别)(间)(进)(行)(相)(对)(灵)(活)(的)(配)(置)(,资)(产)(配)(置)(组)(合)(主)(要)(以)(债)(券)(等)(固)(定)(收)(益)(类)(资)(产)(配)(置)(为)(主)(,并)(根)(据)(风)(险)(的)(评)(估)(和)(建)(议)(适)(度)(调)(整)(资)(产)(配)(置)(比)(例)(,使)(基)(金)(在)(保)(持)(总)(体)(风)(险)(水)(平)(相)(对)(稳)(定)(的)(基)(础)(上)(优)(化)(投)(资)(组)(合)(。
(二)()债)(券)(投)(资)(策)(略)(
债)(券)(投)(资)(在)(保)(证)(资)(产)(流)(动)(性)(的)(基)(础)(上)(,采)(取)(利)(率)(预)(期)(策)(略)(、信)(用)(策)(略)(和)(时)(机)(策)(略)(相)(结)(合)(的)(积)(极)(性)(投)(资)(方)(法)(,力)(求)(在)(控)(制)(各)(类)(风)(险)(的)(基)(础)(上)(获)(取)(稳)(定)(的)(收)(益)(。
1、自)(上)(而)(下)(确)(定)(组)(合)(久)(期)(及)(类)(属)(资)(产)(配)(置)(
通)(过)(对)(宏)(观)(经)(济)(、货)(币)(和)(财)(政)(政)(策)(、市)(场)(结)(构)(变)(化)(、资)(金)(流)(动)(情)(况)(的)(研)(究)(,结)(合)(宏)(观)(经)(济)(模)(型)((MEM)判)(断)(收)(益)(率)(曲)(线)(变)(动)(的)(趋)(势)(及)(幅)(度)(,确)(定)(组)(合)(久)(期)(。进)(而)(根)(据)(各)(类)(属)(资)(产)(的)(预)(期)(收)(益)(率)(,结)(合)(类)(属)(配)(置)(模)(型)(确)(定)(类)(别)(资)(产)(配)(置)(。
2、自)(下)(而)(上)(个)(券)(选)(择)(
通)(过)(预)(测)(收)(益)(率)(曲)(线)(变)(动)(的)(幅)(度)(和)(形)(状)(,对)(比)(不)(同)(信)(用)(等)(级)(、在)(不)(同)(市)(场)(交)(易)(债)(券)(的)(到)(期)(收)(益)(率)(,结)(合)(考)(虑)(流)(动)(性)(、票)(息)(、税)(收)(、可)(否)(回)(购)(等)(其)(它)(决)(定)(债)(券)(价)(值)(的)(因)(素)(,发)(现)(市)(场)(中)(个)(券)(的)(相)(对)(失)(衡)(状)(况)(。
重)(点)(选)(择)(的)(债)(券)(品)(种)(包)(括)(:a.在)(类)(似)(信)(用)(质)(量)(和)(期)(限)(的)(债)(券)(中)(到)(期)(收)(益)(率)(较)(高)(的)(债)(券)(;b.有)(较)(好)(流)(动)(性)(的)(债)(券)(;c.存)(在)(信)(用)(溢)(价)(的)(债)(券)(;d.较)(高)(债)(性)(或)(期)(权)(价)(值)(的)(可)(转)(换)(债)(券)(;e.收)(益)(率)(水)(平)(合)(理)(的)(新)(券)(或)(者)(市)(场)(尚)(未)(正)(确)(定)(价)(的)(创)(新)(品)(种)(。
利)(率)(预)(期)(策)(略)(
基)(金)(管)(理)(人)(密)(切)(跟)(踪)(最)(新)(发)(布)(的)(宏)(观)(经)(济)(数)(据)(和)(金)(融)(运)(行)(数)(据)(,分)(析)(宏)(观)(经)(济)(运)(行)(的)(可)(能)(情)(景)(,预)(测)(财)(政)(政)(策)(、货)(币)(政)(策)(等)(政)(府)(宏)(观)(经)(济)(政)(策)(取)(向)(,分)(析)(金)(融)(市)(场)(资)(金)(供)(求)(状)(况)(变)(化)(趋)(势)(,在)(此)(基)(础)(上)(预)(测)(市)(场)(利)(率)(水)(平)(变)(动)(趋)(势)(,以)(及)(收)(益)(率)(曲)(线)(变)(化)(趋)(势)(。在)(预)(期)(市)(场)(利)(率)(水)(平)(将)(上)(升)(时)(,降)(低)(组)(合)(的)(久)(期)(;预)(期)(市)(场)(利)(率)(将)(下)(降)(时)(,提)(高)(组)(合)(的)(久)(期)(。并)(根)(据)(收)(益)(率)(曲)(线)(变)(化)(情)(况)(制)(定)(相)(应)(的)(债)(券)(组)(合)(期)(限)(结)(构)(策)(略)(如)(子)(弹)(型)(组)(合)(、哑)(铃)(型)(组)(合)(或)(者)(阶)(梯)(型)(组)(合)(等)(。
信)(用)(策)(略)(
基)(金)(管)(理)(人)(密)(切)(跟)(踪)(国)(债)(、金)(融)(债)(、企)(业)((公)(司)()债)(等)(不)(同)(债)(券)(种)(类)(的)(利)(差)(水)(平)(,结)(合)(各)(类)(券)(种)(税)(收)(状)(况)(、流)(动)(性)(状)(况)(以)(及)(发)(行)(人)(信)(用)(质)(量)(状)(况)(的)(分)(析)(,评)(定)(不)(同)(债)(券)(类)(属)(的)(相)(对)(投)(资)(价)(值)(,确)(定)(组)(合)(资)(产)(在)(不)(同)(债)(券)(类)(属)(之)(间)(的)(配)(置)(比)(例)(。
个)(券)(选)(择)(层)(面)(,基)(金)(管)(理)(人)(对)(所)(有)(投)(资)(的)(信)(用)(品)(种)(进)(行)(详)(细)(的)(财)(务)(分)(析)(和)(非)(财)(务)(分)(析)(。财)(务)(分)(析)(方)(面)(,以)(企)(业)(财)(务)(报)(表)(为)(依)(据)(,对)(企)(业)(规)(模)(、资)(产)(负)(债)(结)(构)(、偿)(债)(能)(力)(和)(盈)(利)(能)(力)(四)(方)(面)(进)(行)(评)(分)(,非)(财)(务)(分)(析)(方)(面)((包)(括)(管)(理)(能)(力)(、市)(场)(地)(位)(和)(发)(展)(前)(景)(等)(指)(标)()则)(主)(要)(采)(取)(实)(地)(调)(研)(和)(电)(话)(会)(议)(的)(形)(式)(实)(施)(。通)(过)(打)(分)(来)(评)(判)(该)(企)(业)(是)(低)(风)(险)(、高)(风)(险)(还)(是)(绝)(对)(风)(险)(的)(企)(业)(,重)(点)(投)(资)(于)(低)(风)(险)(的)(企)(业)(债)(券)(;对)(于)(高)(风)(险)(企)(业)(,有)(相)(应)(的)(投)(资)(限)(制)(;不)(投)(资)(于)(绝)(对)(风)(险)(的)(债)(券)(。
时)(机)(策)(略)(
A.骑)(乘)(策)(略)(。当)(收)(益)(率)(曲)(线)(比)(较)(陡)(峭)(时)(,也)(即)(相)(邻)(期)(限)(利)(差)(较)(大)(时)(,可)(以)(买)(入)(期)(限)(位)(于)(收)(益)(率)(曲)(线)(陡)(峭)(处)(的)(债)(券)(,也)(即)(收)(益)(率)(水)(平)(处)(于)(相)(对)(高)(位)(的)(债)(券)(,随)(着)(持)(有)(期)(限)(的)(延)(长)(,债)(券)(的)(剩)(余)(期)(限)(将)(会)(缩)(短)(,从)(而)(此)(时)(债)(券)(的)(收)(益)(率)(水)(平)(将)(会)(较)(投)(资)(期)(初)(有)(所)(下)(降)(,通)(过)(债)(券)(的)(收)(益)(率)(的)(下)(滑)(,进)(而)(获)(得)(资)(本)(利)(得)(收)(益)(。
B.息)(差)(策)(略)(。利)(用)(回)(购)(利)(率)(低)(于)(债)(券)(收)(益)(率)(的)(情)(形)(,通)(过)(正)(回)(购)(将)(所)(获)(得)(资)(金)(投)(资)(于)(债)(券)(以)(获)(取)(超)(额)(收)(益)(。
C.利)(差)(策)(略)(。对)(两)(个)(期)(限)(相)(近)(的)(债)(券)(的)(利)(差)(进)(行)(分)(析)(,从)(而)(对)(利)(差)(水)(平)(的)(未)(来)(走)(势)(做)(出)(判)(断)(,从)(而)(进)(行)(相)(应)(的)(债)(券)(置)(换)(。当)(预)(期)(利)(差)(水)(平)(缩)(小)(时)(,可)(以)(买)(入)(收)(益)(率)(高)(的)(债)(券)(同)(时)(卖)(出)(收)(益)(率)(低)(的)(债)(券)(,通)(过)(两)(债)(券)(利)(差)(的)(缩)(小)(获)(得)(投)(资)(收)(益)(;当)(预)(期)(利)(差)(水)(平)(扩)(大)(时)(,可)(以)(买)(入)(收)(益)(率)(低)(的)(债)(券)(同)(时)(卖)(出)(收)(益)(率)(高)(的)(债)(券)(,通)(过)(两)(债)(券)(利)(差)(的)(扩)(大)(获)(得)(投)(资)(收)(益)(。
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)(。同)(时)(,基)(金)(管)(理)(人)(将)(密)(切)(关)(注)(流)(动)(性)(对)(标)(的)(证)(券)(收)(益)(率)(的)(影)(响)(,综)(合)(运)(用)(久)(期)(管)(理)(、收)(益)(率)(曲)(线)(、个)(券)(选)(择)(以)(及)(把)(握)(市)(场)(交)(易)(机)(会)(等)(积)(极)(策)(略)(,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)(。
可)(转)(换)(债)(券)(投)(资)(策)(略)(。A.相)(对)(价)(值)(分)(析)(:基)(金)(管)(理)(人)(根)(据)(定)(期)(公)(布)(的)(宏)(观)(和)(金)(融)(数)(据)(以)(及)(对)(宏)(观)(经)(济)(、股)(市)(政)(策)(、市)(场)(趋)(势)(的)(综)(合)(分)(析)(,判)(断)(下)(一)(阶)(段)(的)(市)(场)(走)(势)(,分)(析)(可)(转)(换)(债)(券)(股)(性)(和)(债)(性)(的)(相)(对)(价)(值)(。通)(过)(对)(可)(转)(换)(债)(券)(转)(股)(溢)(价)(率)(和)(Delta系)(数)(的)(度)(量)(,筛)(选)(出)(股)(性)(或)(债)(性)(较)(强)(的)(品)(种)(作)(为)(下)(一)(阶)(段)(的)(投)(资)(重)(点)(。B.基)(本)(面)(研)(究)(:基)(金)(管)(理)(人)(依)(据)(内)(、外)(部)(研)(究)(成)(果)(,运)(用)(景)(顺)(长)(城)(股)(票)(研)(究)(数)(据)(库)((SRD)对)(可)(转)(换)(债)(券)(标)(的)(公)(司)(进)(行)(多)(方)(位)(、多)(角)(度)(的)(分)(析)(,重)(点)(选)(择)(行)(业)(景)(气)(度)(较)(高)(、公)(司)(基)(本)(面)(素)(质)(优)(良)(的)(标)(的)(公)(司)(。C.估)(值)(分)(析)(:在)(基)(本)(面)(分)(析)(的)(基)(础)(上)(,运)(用)(PE、PB、PCF、EV/EBITDA、PEG等)(相)(对)(估)(值)(指)(标)(以)(及)(DCF、DDM等)(绝)(对)(估)(值)(方)(法)(对)(标)(的)(公)(司)(的)(股)(票)(价)(值)(进)(行)(评)(估)(。并)(根)(据)(标)(的)(股)(票)(的)(当)(前)(价)(格)(和)(目)(标)(价)(格)(,运)(用)(期)(权)(定)(价)(模)(型)(分)(别)(计)(算)(可)(转)(换)(债)(券)(当)(前)(的)(理)(论)(价)(格)(和)(未)(来)(目)(标)(价)(格)(,进)(行)(投)(资)(决)(策)(。
中)(小)(企)(业)(私)(募)(债)(投)(资)(策)(略)(。对)(单)(个)(券)(种)(的)(分)(析)(判)(断)(与)(其)(它)(信)(用)(类)(固)(定)(收)(益)(品)(种)(的)(方)(法)(类)(似)(。在)(信)(用)(研)(究)(方)(面)(,本)(基)(金)(会)(加)(强)(自)(下)(而)(上)(的)(分)(析)(,将)(机)(构)(评)(级)(与)(内)(部)(评)(级)(相)(结)(合)(,着)(重)(通)(过)(发)(行)(方)(的)(财)(务)(状)(况)(、信)(用)(背)(景)(、经)(营)(能)(力)(、行)(业)(前)(景)(、个)(体)(竞)(争)(力)(等)(方)(面)(判)(断)(其)(在)(期)(限)(内)(的)(偿)(付)(能)(力)(,尽)(可)(能)(对)(发)(行)(人)(进)(行)(充)(分)(详)(尽)(地)(调)(研)(和)(分)(析)(。
(三)()股)(票)(投)(资)(策)(略)(
本)(基)(金)(通)(过)(基)(金)(经)(理)(的)(战)(略)(性)(选)(股)(思)(路)(以)(及)(投)(研)(部)(门)(的)(支)(持)(,筛)(选)(出)(价)(值)(优)(势)(明)(显)(的)(优)(质)(股)(票)(构)(建)(股)(票)(投)(资)(组)(合)(。在)(股)(票)(投)(资)(方)(面)(,本)(基)(金)(利)(用)(基)(金)(管)(理)(人)(股)(票)(研)(究)(数)(据)(库)((SRD)对)(企)(业)(内)(在)(价)(值)(进)(行)(深)(入)(细)(致)(的)(分)(析)(,并)(进)(一)(步)(挖)(掘)(出)(受)(益)(于)(中)(国)(经)(济)(发)(展)(趋)(势)(和)(投)(资)(主)(题)(的)(公)(司)(股)(票)(进)(行)(投)(资)(。
本)(基)(金)(主)(要)(利)(用)(景)(顺)(长)(城)(“股)(票)(研)(究)(数)(据)(库)((SRD)”中)(的)(标)(准)(分)(析)(模)(板)(对)(上)(市)(公)(司)(的)(基)(本)(面)(和)(估)(值)(水)(平)(进)(行)(鉴)(别)(,制)(定)(股)(票)(买)(入)(名)(单)(。其)(中)(重)(点)(考)(察)(:
1、业)(务)(价)(值)((FranchiseValue)
寻)(找)(拥)(有)(高)(进)(入)(壁)(垒)(的)(上)(市)(公)(司)(,其)(一)(般)(具)(有)(以)(下)(一)(种)(或)(多)(种)(特)(征)(:产)(品)(定)(价)(能)(力)(、创)(新)(技)(术)(、资)(金)(密)(集)(、优)(势)(品)(牌)(、健)(全)(的)(销)(售)(网)(络)(及)(售)(后)(服)(务)(、规)(模)(经)(济)(等)(。在)(经)(济)(增)(长)(时)(它)(们)(能)(创)(造)(持)(续)(性)(的)(成)(长)(,经)(济)(衰)(退)(时)(亦)(能)(度)(过)(难)(关)(,享)(有)(高)(于)(市)(场)(平)(均)(水)(平)(的)(盈)(利)(能)(力)(,进)(而)(创)(造)(高)(业)(务)(价)(值)(,达)(致)(长)(期)(资)(本)(增)(值)(。
2、估)(值)(水)(平)((Valuation)
对)(成)(长)(、价)(值)(、收)(益)(三)(类)(股)(票)(设)(定)(不)(同)(的)(估)(值)(指)(标)(。
成)(长)(型)(股)(票)((G):用)(来)(衡)(量)(成)(长)(型)(上)(市)(公)(司)(估)(值)(水)(平)(的)(主)(要)(指)(标)(为)(PEG,即)(市)(盈)(率)(除)(以)(盈)(利)(增)(长)(率)(。为)(了)(使)(投)(资)(人)(能)(够)(达)(到)(长)(期)(获)(利)(目)(标)(,我)(们)(在)(选)(股)(时)(将)(会)(谨)(慎)(地)(买)(进)(价)(格)(与)(其)(预)(期)(增)(长)(速)(度)(相)(匹)(配)(的)(股)(票)(。
价)(值)(型)(股)(票)((V):分)(析)(股)(票)(内)(在)(价)(值)(的)(基)(础)(是)(将)(公)(司)(的)(净)(资)(产)(收)(益)(率)(与)(其)(资)(本)(成)(本)(进)(行)(比)(较)(。我)(们)(在)(挑)(选)(价)(值)(型)(股)(票)(时)(,会)(根)(据)(公)(司)(的)(净)(资)(产)(收)(益)(率)(与)(资)(本)(成)(本)(的)(相)(对)(水)(平)(判)(断)(公)(司)(的)(合)(理)(价)(值)(,然)(后)(选)(出)(股)(价)(相)(对)(于)(合)(理)(价)(值)(存)(在)(折)(扣)(的)(股)(票)(。
收)(益)(型)(股)(票)((I):是)(依)(靠)(分)(红)(取)(得)(较)(好)(收)(益)(的)(股)(票)(。我)(们)(挑)(选)(收)(益)(型)(股)(票)(,要)(求)(其)(保)(持)(持)(续)(派)(息)(的)(政)(策)(,以)(及)(较)(高)(的)(股)(息)(率)(水)(平)(。
3、管)(理)(能)(力)((Management)
注)(重)(公)(司)(治)(理)(、管)(理)(层)(的)(稳)(定)(性)(以)(及)(管)(理)(班)(子)(的)(构)(成)(、学)(历)(、经)(验)(等)(,了)(解)(其)(管)(理)(能)(力)(以)(及)(是)(否)(诚)(信)(。
4、自)(由)(现)(金)(流)(量)(与)(分)(红)(政)(策)((CashGenerationCapability)
注)(重)(企)(业)(创)(造)(现)(金)(流)(量)(的)(能)(力)(以)(及)(稳)(定)(透)(明)(的)(分)(红)(派)(息)(政)(策)(。
(四)()股)(指)(期)(货)(投)(资)(策)(略)(
本)(基)(金)(参)(与)(股)(指)(期)(货)(交)(易)(,以)(套)(期)(保)(值)(为)(目)(的)(,制)(定)(相)(应)(的)(投)(资)(策)(略)(。
1、时)(点)(选)(择)(:基)(金)(管)(理)(人)(在)(交)(易)(股)(指)(期)(货)(时)(,重)(点)(关)(注)(当)(前)(经)(济)(状)(况)(、政)(策)(倾)(向)(、资)(金)(流)(向)(、和)(技)(术)(指)(标)(等)(因)(素)(。
2、套)(保)(比)(例)(:基)(金)(管)(理)(人)(根)(据)(对)(指)(数)(点)(位)(区)(间)(判)(断)(,在)(符)(合)(法)(律)(法)(规)(的)(前)(提)(下)(,决)(定)(套)(保)(比)(例)(。再)(根)(据)(基)(金)(股)(票)(投)(资)(组)(合)(的)(贝)(塔)(值)(,具)(体)(得)(出)(参)(与)(股)(指)(期)(货)(交)(易)(的)(买)(卖)(张)(数)(。
3、合)(约)(选)(择)(:基)(金)(管)(理)(人)(根)(据)(股)(指)(期)(货)(当)(时)(的)(成)(交)(金)(额)(、持)(仓)(量)(和)(基)(差)(等)(数)(据)(,选)(择)(和)(基)(金)(组)(合)(相)(关)(性)(高)(的)(股)(指)(期)(货)(合)(约)(为)(交)(易)(标)(的)(。
九)(、风)(险)(收)(益)(特)(征)(
本)(基)(金)(为)(混)(合)(型)(基)(金)(,本)(基)(金)(的)(预)(期)(收)(益)(和)(预)(期)(风)(险)(高)(于)(货)(币)(市)(场)(基)(金)(和)(债)(券)(型)(基)(金)(,低)(于)(股)(票)(型)(基)(金)(。
十)(、基)(金)(投)(资)(组)(合)(报)(告)((未)(经)(审)(计)()
景)(顺)(长)(城)(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)(。
本)(基)(金)(的)(托)(管)(人)(中)(国)(建)(设)(银)(行)(股)(份)(有)(限)(公)(司)(根)(据)(本)(基)(金)(合)(同)(的)(规)(定)(,已)(复)(核)(了)(本)(投)(资)(组)(合)(报)(告)(的)(内)(容)(。
本)(投)(资)(组)(合)(报)(告)(所)(载)(数)(据)(截)(至)(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)(
2.1报)(告)(期)(末)(按)(行)(业)(分)(类)(的)(境)(内)(股)(票)(投)(资)(组)(合)(
2.2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)(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)(
4.报)(告)(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)(序)(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)(序)(的)(前)(十)(名)(资)(产)(支)(持)(证)(券)(投)(资)(明)(细)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(资)(产)(支)(持)(证)(券)(。
7.报)(告)(期)(末)(按)(公)(允)(价)(值)(占)(基)(金)(资)(产)(净)(值)(比)(例)(大)(小)(排)(序)(的)(前)(五)(名)(贵)(金)(属)(投)(资)(明)(细)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(贵)(金)(属)(。
8.报)(告)(期)(末)(按)(公)(允)(价)(值)(占)(基)(金)(资)(产)(净)(值)(比)(例)(大)(小)(排)(序)(的)(前)(五)(名)(权)(证)(投)(资)(明)(细)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(权)(证)(。
9.报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(股)(指)(期)(货)(交)(易)(情)(况)(说)(明)(
9.1报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(股)(指)(期)(货)(持)(仓)(和)(损)(益)(明)(细)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(股)(指)(期)(货)(。
9.2本)(基)(金)(投)(资)(股)(指)(期)(货)(的)(投)(资)(政)(策)(
本)(基)(金)(参)(与)(股)(指)(期)(货)(交)(易)(,以)(套)(期)(保)(值)(为)(目)(的)(,制)(定)(相)(应)(的)(投)(资)(策)(略)(。
1、时)(点)(选)(择)(:基)(金)(管)(理)(人)(在)(交)(易)(股)(指)(期)(货)(时)(,重)(点)(关)(注)(当)(前)(经)(济)(状)(况)(、政)(策)(倾)(向)(、资)(金)(流)(向)(、和)(技)(术)(指)(标)(等)(因)(素)(。
2、套)(保)(比)(例)(:基)(金)(管)(理)(人)(根)(据)(对)(指)(数)(点)(位)(区)(间)(判)(断)(,在)(符)(合)(法)(律)(法)(规)(的)(前)(提)(下)(,决)(定)(套)(保)(比)(例)(。再)(根)(据)(基)(金)(股)(票)(投)(资)(组)(合)(的)(贝)(塔)(值)(,具)(体)(得)(出)(参)(与)(股)(指)(期)(货)(交)(易)(的)(买)(卖)(张)(数)(。
3、合)(约)(选)(择)(:基)(金)(管)(理)(人)(根)(据)(股)(指)(期)(货)(当)(时)(的)(成)(交)(金)(额)(、持)(仓)(量)(和)(基)(差)(等)(数)(据)(,选)(择)(和)(基)(金)(组)(合)(相)(关)(性)(高)(的)(股)(指)(期)(货)(合)(约)(为)(交)(易)(标)(的)(。
10.报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(国)(债)(期)(货)(交)(易)(情)(况)(说)(明)(
10.1本)(期)(国)(债)(期)(货)(投)(资)(政)(策)(
根)(据)(本)(基)(金)(基)(金)(合)(同)(约)(定)(,本)(基)(金)(投)(资)(范)(围)(不)(包)(括)(国)(债)(期)(货)(。
10.2报)(告)(期)(末)(本)(基)(金)(投)(资)(的)(国)(债)(期)(货)(持)(仓)(和)(损)(益)(明)(细)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(国)(债)(期)(货)(。
10.3本)(期)(国)(债)(期)(货)(投)(资)(评)(价)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(国)(债)(期)(货)(。
11.投)(资)(组)(合)(报)(告)(附)(注)(
11.1
本)(报)(告)(期)(内)(未)(出)(现)(基)(金)(投)(资)(的)(前)(十)(名)(证)(券)(的)(发)(行)(主)(体)(被)(监)(管)(部)(门)(立)(案)(调)(查)(或)(者)(在)(报)(告)(编)(制)(日)(前)(一)(年)(内)(受)(到)(公)(开)(谴)(责)(、处)(罚)(的)(情)(况)(。
11.2
本)(基)(金)(投)(资)(的)(前)(十)(名)(股)(票)(未)(超)(出)(基)(金)(合)(同)(规)(定)(的)(备)(选)(股)(票)(库)(。
11.3其)(他)(资)(产)(构)(成)(
11.4报)(告)(期)(末)(持)(有)(的)(处)(于)(转)(股)(期)(的)(可)(转)(换)(债)(券)(明)(细)(
本)(基)(金)(本)(报)(告)(期)(末)(未)(持)(有)(处)(于)(转)(股)(期)(的)(可)(转)(换)(债)(券)(。
11.5报)(告)(期)(末)(前)(十)(名)(股)(票)(中)(存)(在)(流)(通)(受)(限)(情)(况)(的)(说)(明)(
11.6投)(资)(组)(合)(报)(告)(附)(注)(的)(其)(他)(文)(字)(描)(述)(部)(分)(
无)(。
十)(一)(、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)(。基)(金)(业)(绩)(数)(据)(截)(至)(2018年)(6月)(30日)(。
1、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)(
景)(顺)(长)(城)(泰)(恒)(回)(报)(混)(合)(A类)(
景)(顺)(长)(城)(泰)(恒)(回)(报)(混)(合)(C类)(
2、自)(基)(金)(合)(同)(生)(效)(以)(来)(基)(金)(累)(计)(份)(额)(净)(值)(增)(长)(率)(变)(动)(及)(其)(与)(同)(期)(业)(绩)(比)(较)(基)(准)(收)(益)(率)(变)(动)(
注)(:本)(基)(金)(的)(投)(资)(组)(合)(比)(例)(为)(:本)(基)(金)(股)(票)(投)(资)(占)(基)(金)(资)(产)(的)(比)(例)(范)(围)(为)(0-95%。本)(基)(金)(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)(,应)(当)(保)(持)(不)(低)(于)(基)(金)(资)(产)(净)(值)(5%的)(现)(金)(或)(者)(到)(期)(日)(在)(一)(年)(以)(内)(的)(政)(府)(债)(券)(,其)(中)(现)(金)(不)(包)(括)(结)(算)(备)(付)(金)(、存)(出)(保)(证)(金)(及)(应)(收)(申)(购)(款)(等)(。本)(基)(金)(的)(建)(仓)(期)(为)(自)(2018年)(1月)(25日)(基)(金)(合)(同)(生)(效)(日)(起)(6个)(月)(。截)(至)(本)(报)(告)(期)(末)(,本)(基)(金)(仍)(处)(于)(建)(仓)(期)(。基)(金)(合)(同)(生)(效)(日)((2018年)(1月)(25日)()起)(至)(本)(报)(告)(期)(末)(不)(满)(一)(年)(。
十)(二)(、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、本)(基)(金)(C类)(基)(金)(份)(额)(的)(销)(售)(服)(务)(费)(;
4、《基)(金)(合)(同)(》生)(效)(后)(与)(基)(金)(相)(关)(的)(信)(息)(披)(露)(费)(用)(;
5、《基)(金)(合)(同)(》生)(效)(后)(与)(基)(金)(相)(关)(的)(会)(计)(师)(费)(、律)(师)(费)(、仲)(裁)(费)(和)(诉)(讼)(费)(;
6、基)(金)(份)(额)(持)(有)(人)(大)(会)(费)(用)(;
7、基)(金)(的)(证)(券)(、期)(货)(交)(易)(费)(用)(;
8、基)(金)(的)(银)(行)(汇)(划)(费)(用)(;
9、账)(户)(开)(户)(费)(用)(和)(账)(户)(维)(护)(费)(;
10、按)(照)(国)(家)(有)(关)(规)(定)(和)(《基)(金)(合)(同)(》约)(定)(,可)(以)(在)(基)(金)(财)(产)(中)(列)(支)(的)(其)(他)(费)(用)(。
(二)()基)(金)(费)(用)(计)(提)(方)(法)(、计)(提)(标)(准)(和)(支)(付)(方)(式)(
1、基)(金)(管)(理)(人)(的)(管)(理)(费)(
本)(基)(金)(的)(管)(理)(费)(按)(前)(一)(日)(基)(金)(资)(产)(净)(值)(的)(0.8%年)(费)(率)(计)(提)(。管)(理)(费)(的)(计)(算)(方)(法)(如)(下)(:
H=E×0.8%÷当)(年)(天)(数)(
H为)(每)(日)(应)(计)(提)(的)(基)(金)(管)(理)(费)(
E为)(前)(一)(日)(的)(基)(金)(资)(产)(净)(值)(
基)(金)(管)(理)(费)(每)(日)(计)(提)(,按)(月)(支)(付)(。由)(基)(金)(托)(管)(人)(根)(据)(与)(基)(金)(管)(理)(人)(核)(对)(一)(致)(的)(财)(务)(数)(据)(,自)(动)(在)(月)(初)(5个)(工)(作)(日)(内)(、按)(照)(指)(定)(的)(账)(户)(路)(径)(进)(行)(资)(金)(支)(付)(,基)(金)(管)(理)(人)(无)(需)(再)(出)(具)(资)(金)(划)(拨)(指)(令)(。若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(等)(,支)(付)(日)(期)(顺)(延)(。费)(用)(自)(动)(扣)(划)(后)(,基)(金)(管)(理)(人)(应)(进)(行)(核)(对)(,如)(发)(现)(数)(据)(不)(符)(,及)(时)(联)(系)(基)(金)(托)(管)(人)(协)(商)(解)(决)(。
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)(0.10%的)(年)(费)(率)(计)(提)(。托)(管)(费)(的)(计)(算)(方)(法)(如)(下)(:
H=E×0.10%÷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)(托)(管)(人)(根)(据)(与)(基)(金)(管)(理)(人)(核)(对)(一)(致)(的)(财)(务)(数)(据)(,自)(动)(在)(月)(初)(5个)(工)(作)(日)(内)(、按)(照)(指)(定)(的)(账)(户)(路)(径)(进)(行)(资)(金)(支)(付)(,基)(金)(管)(理)(人)(无)(需)(再)(出)(具)(资)(金)(划)(拨)(指)(令)(。若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(等)(,支)(付)(日)(期)(顺)(延)(。费)(用)(自)(动)(扣)(划)(后)(,基)(金)(管)(理)(人)(应)(进)(行)(核)(对)(,如)(发)(现)(数)(据)(不)(符)(,及)(时)(联)(系)(基)(金)(托)(管)(人)(协)(商)(解)(决)(。
3、基)(金)(销)(售)(服)(务)(费)(
本)(基)(金)(A类)(基)(金)(份)(额)(不)(收)(取)(销)(售)(服)(务)(费)(,C类)(基)(金)(份)(额)(的)(销)(售)(服)(务)(费)(年)(费)(率)(为)(0.2%。本)(基)(金)(销)(售)(服)(务)(费)(将)(专)(门)(用)(于)(本)(基)(金)(的)(销)(售)(与)(基)(金)(份)(额)(持)(有)(人)(服)(务)(,基)(金)(管)(理)(人)(将)(在)(基)(金)(年)(度)(报)(告)(中)(对)(该)(项)(费)(用)(的)(列)(支)(情)(况)(作)(专)(项)(说)(明)(。
销)(售)(服)(务)(费)(按)(前)(一)(日)(C类)(基)(金)(份)(额)(的)(基)(金)(资)(产)(净)(值)(的)(0.2%年)(费)(率)(计)(提)(。计)(算)(方)(法)(如)(下)(:
H=E×0.2%÷当)(年)(天)(数)(
H为)(C类)(基)(金)(份)(额)(每)(日)(应)(计)(提)(的)(销)(售)(服)(务)(费)(
E为)(C类)(基)(金)(份)(额)(前)(一)(日)(基)(金)(资)(产)(净)(值)(
销)(售)(服)(务)(费)(每)(日)(计)(算)(,逐)(日)(累)(计)(至)(每)(月)(月)(末)(,按)(月)(支)(付)(,基)(金)(管)(理)(人)(与)(基)(金)(托)(管)(人)(核)(对)(后)(,由)(基)(金)(托)(管)(人)(于)(月)(初)(5个)(工)(作)(日)(内)(按)(照)(指)(定)(的)(账)(户)(路)(径)(进)(行)(资)(金)(支)(付)(,基)(金)(管)(理)(人)(无)(需)(再)(出)(具)(资)(金)(划)(拨)(指)(令)(,从)(基)(金)(财)(产)(中)(一)(次)(性)(支)(付)(。若)(遇)(法)(定)(节)(假)(日)(、休)(息)(日)(等)(,支)(付)(日)(期)(顺)(延)(。
上)(述)(“一)(、基)(金)(费)(用)(的)(种)(类)(”中)(第)(4-10项)(费)(用)(,根)(据)(有)(关)(法)(规)(及)(相)(应)(协)(议)(规)(定)(,按)(费)(用)(实)(际)(支)(出)(金)(额)(列)(入)(或)(摊)(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)(。
十)(三)(、对)(招)(募)(说)(明)(书)(更)(新)(部)(分)(的)(说)(明)(
1、在)(“第)(三)(部)(分)(、基)(金)(管)(理)(人)(”部)(分)(,更)(新)(了)(基)(金)(管)(理)(人)(董)(事)(会)(成)(员)(、高)(级)(管)(理)(人)(员)(、投)(资)(决)(策)(委)(员)(会)(委)(员)(的)(相)(关)(信)(息)(;
2、在)(“第)(四)(部)(分)(、基)(金)(托)(管)(人)(”部)(分)(,更)(新)(了)(基)(金)(托)(管)(人)(相)(关)(情)(况)(信)(息)(;
3、在)(“第)(五)(部)(分)(、相)(关)(服)(务)(机)(构)(”部)(分)(,更)(新)(了)(基)(金)(份)(额)(销)(售)(机)(构)(的)(相)(关)(信)(息)(;
4、在)(“第)(八)(部)(分)(、基)(金)(份)(额)(的)(申)(购)(、赎)(回)(、转)(换)(及)(其)(他)(登)(记)(业)(务)(”部)(分)(,更)(新)(了)(申)(购)(限)(额)(信)(息)(;
5、在)(“第)(九)(部)(分)(、基)(金)(的)(投)(资)(”部)(分)(,更)(新)(了)(基)(金)(投)(资)(组)(合)(报)(告)(,数)(据)(截)(至)(2018年)(6月)(30日)(;
6、更)(新)(了)(“第)(十)(部)(分)(、基)(金)(的)(业)(绩)(”部)(分)(,数)(据)(截)(至)(2018年)(6月)(30日)(;
7、在)(“第)(二)(十)(二)(部)(分)(、其)(它)(应)(披)(露)(事)(项)(”新)(增)(了)(近)(期)(发)(布)(与)(本)(基)(金)(有)(关)(的)(公)(告)(目)(录)(,目)(录)(更)(新)(至)(2018年)(7月)(25日)(。
景)(顺)(长)(城)(基)(金)(管)(理)(有)(限)(公)(司)(
二)(一)(八)(年)(九)(月)(八)(日)(返)(回)(搜)(狐)(,查)(看)(更)(多)(责)(任)(编)(辑)(:
声)(明)(:该)(文)(观)(点)(仅)(代)(表)(作)(者)(本)(人)(,搜)(狐)(号)(系)(信)(息)(发)(布)(平)(台)(,搜)(狐)(仅)(提)(供)(信)(息)(存)(储)(空)(间)(服)(务)(。
阅)(读)(()
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