Announcement on the Offering of Fund Shares of Hongta Red Soil China Bond 0-3 Year Policy Financial Bond Index Securities Investment Fund

时间: 2024-03-05 07:56:39   来源: 突发事件     浏览:5次


Original title: Announcement on Offering Fund Shares of Hongta Red Clay China Bond 0-3 Year Policy Financial Bond Index Securities Investment Fund

Important tips

1. Hongta laterite China Bond 0-3 year policy financial bond index securities investment fund (hereinafter referred to as "the Fund") is 速递资讯registered and raised in accordance with the Reply of China Securities Regulatory Commission (hereinafter referred to as "China Securities Regulatory Commission") on October 19, 2023 on approving the registration of Hongta laterite China Bond 0-3 year policy financial bond index securities investment fund (No.[2023] 2380). The registration of the fund raised by China Securities Regulatory Commission does not mean that it makes substantive judgment or guarantee on the investment value, income and market prospect of the fund, nor does it mean that there is no risk in investing in the fund.

2. This fund is a bond-type securities investment fund, and its operation mode is open by contract.

3. The fund manager of the Fund is Hongta Hongtu Fund Management Co., Ltd. (hereinafter referred to as "the Company" or "the Fund Manager"), the fund custodian is Jiangsu Bank Co., Ltd., and the registration institution is the fund manager.

4. The offering targets of the Fund are individual investors, institutional investors, qualified overseas investors who can invest in securities investment funds according to laws and regulations, and other investors who are allowed to buy securities investment funds according to laws and regulations or the China Securities Regulatory Commission.

5. The fund share of Hongta laterite China Bond 0-3 year policy financial bond index securities investment fund will be publicly offered through the sales organizations (including direct selling organizations and other sales organizations) designated by the fund manager from December 4, 2023 to December 15, 2023. The fund manager may appropriately extend or shorten the fund offering time within the raising period according to the fund sales, but the longest time shall not exceed 3 months from the date of fund share offering.

6. Upper limit of raising scale

The total amount of effective subscription finally confirmed by the Fund during the raising period is planned to be no more than RMB 8 billion (excluding interest during the raising period). The fund manager may appropriately adjust the raising time according to the subscription, and make an announcement in time, but the longest time shall not exceed the statutory raising period.

If the amount of valid subscription applications during the raising period does not exceed 8 billion yuan after all confirmation, the fund manager will confirm all valid subscription applications. If the accumulated effective subscription application amount (excluding the interest during the fundraising period) exceeds 8 billion yuan after the fundraising deadline on any day (including the first day) during the fundraising period, the fund manager will adopt the method of "doomsday proportion confirmation" to effectively control the scale. When the doomsday ratio is confirmed, the fund manager will timely perform appropriate procedures to announce the ratio confirmation results. The unconfirmed subscription money will be returned to the investors at the end of the raising period, and the losses arising therefrom will be borne by the investors themselves.

When partial confirmation occurs, the investor's subscription rate is calculated according to the rate corresponding to the subscription application confirmation amount, and the subscription application confirmation amount is not limited by the subscription minimum. The confirmation result of the final subscription application is subject to the calculation and confirmation result of the fund registration institution.

7. Investors who want to purchase the Fund need to open a fund account of the Company. During the fund-raising period, the company's direct sales center and the sales outlets of other sales organizations also handle the procedures for opening fund accounts for investors. During the fund raising period, investors can apply for account opening and subscription at the same time.

8. An investor can only open and use one fund account. Investors who have already opened the company's fund account and the trading account required by the sales organization can subscribe for the fund directly without opening the fund account and trading account.

9. The interest generated by investors' effective subscription funds during the fund raising period will be converted into fund shares after the fund contract takes effect, which will be owned by the fund share holders, and the interest conversion share shall be subject to the records of the registration institution.

10. Investors subscribe in the fund manager's direct sales center (including direct sales counters and online direct sales channels) and other sales organizations. The minimum single subscription amount and the minimum single subscription amount for each account are RMB 10 yuan (including subscription fee). Where the sales organizations have other regulations on the minimum subscription amount and transaction level difference of the Fund, the business regulations of the sales organizations shall prevail.

The fund manager may adjust the above-mentioned restrictions on the subscription amount according to the market situation and with the permission of laws and regulations, and the fund manager must make an announcement in the specified media in accordance with the relevant provisions of the Administrative Measures for Information Disclosure of Public Offering of Securities Investment Funds (hereinafter referred to as the "Information Disclosure Measures") before the adjustment is implemented.

According to the combined calculation of various fund shares of the Fund, if the cumulative number of fund shares subscribed by a single investor of the Fund reaches or exceeds 20% of the total fund shares, the fund manager may restrict the investor's subscription application by means of proportional confirmation. If the acceptance of one or some subscription applications by the fund manager may cause investors to evade the aforementioned 20% requirement in disguise, the fund manager has the right to reject all or part of these subscription applications. The number of fund shares subscribed by investors shall be determined by the registration institution after the fund contract takes effect.

11. The acceptance of the subscription application by the sales organization (including direct selling organizations and other sales organizations) does not mean that the application will be successful, but only means that the sales organization has actually received the subscription application. The confirmation of subscription application shall be based on the confirmation result of the registration institution after the Fund Contract comes into effect. Investors should check the final transaction confirmation and subscription share at each sales outlet after the fund contract comes into effect.

12. This announcement only explains the relevant matters and regulations of the fund share offering. Investors who want to know the details of the fund should read the relevant legal documents of the fund in detail. The fund contract, custody agreement, fund prospectus, fund product information summary and this announcement will be posted on the website of the Company (www.htamc.com.cn) and the electronic fund disclosure website of the China Securities Regulatory Commission (http://eid.csrc.gov.cn/fund) at the same time. Investors can also download relevant application forms and learn about fund raising through the website of the Company.

13. Investors can call our customer service telephone number (4001-666-916) to inquire about the subscription, or call the customer service telephone numbers of other sales organizations to inquire about the subscription.

14. For investors in places where there are no sales outlets, please call our customer service number (4001-666-916) to inquire about the purchase.

15. Risk disclosure

Investment is risky and needs to be cautious. Public offering of securities investment funds (hereinafter referred to as "funds") is a long-term investment tool, whose main function is to diversify investment and reduce the individual risks brought by investing in a single securities. Funds are different from financial instruments such as bank deposits, which can provide fixed income expectations. When investors buy fund products, they may share the income generated by fund investment according to their holding shares, and they may also bear the losses caused by fund investment.

Before making an investment decision, investors should carefully read the product legal documents such as fund contract, fund prospectus and fund product information summary and this risk disclosure, fully understand the risk-return characteristics and product characteristics of the fund, seriously consider various risk factors existing in the fund, and fully consider their own risk tolerance according to their own investment purpose, investment period, investment experience, asset status and other factors, and make rational judgments and prudent investment decisions on the basis of understanding the product situation and opinions on the appropriateness of sales.

According to relevant laws and regulations, Hongta Laterite Fund Management Co., Ltd. made the following risk disclosure:

(1) According to different investment objects, funds are divided into stock funds, hybrid funds, bond funds, money market funds, funds in funds, commodity funds and other different types. Investors will get different income expectations and bear different degrees of risks when investing in different types of funds. Generally speaking, the higher the fund's income expectation, the greater the risk that investors bear.

(2) The fund may face various risks in the process of investment operation, including market risks, management risks, technical risks and compliance risks of the fund itself. Huge redemption risk is a unique risk of open-end funds. For this fund, when the net redemption application of fund shares (the total redemption application shares plus the total transfer application shares in fund conversion after deducting the total subscription application shares and the total transfer application shares in fund conversion) exceeds 10% of the total fund shares in the previous open day, investors may not be able to redeem all the fund shares in time, or the redemption payment may be delayed.

(3) Investors should fully understand the difference between fixed-term investment of funds and lump-sum withdrawal. Fixed-term investment is a simple way to guide investors to make long-term investment and average investment cost, but it can't avoid the inherent risks of fund investment, can't guarantee investors to get income, and is not an equivalent financial management method to replace savings.

(4) The fund manager promises to manage and use the fund assets in the principle of honesty, credit and diligence, but does not guarantee that the fund will make a certain profit or a minimum income. The past performance of the Fund and its net value do not indicate its future performance, and the performance of other funds managed by the fund manager does not constitute a guarantee for the performance of the Fund. The fund manager reminds investors of the principle of "the buyer is responsible" in fund investment. After making investment decisions, the investment risks caused by changes in fund operation and fund net value shall be borne by investors themselves. Fund managers, fund custodians, fund sales institutions and related institutions do not make any promises or guarantees on the investment income of funds.

(5) The Fund was applied for by Hongta Hongtu Fund Management Co., Ltd. in accordance with relevant laws, regulations and agreements, and registered with the permission of China Securities Regulatory Commission. The registration of the Fund by China Securities Regulatory Commission does not mean that it makes substantive judgment or guarantee on the investment value, market prospect and income of the Fund, nor does it mean that there is no risk in investing in the Fund. Investors are requested to strictly abide by the relevant laws and regulations on anti-money laundering and earnestly fulfill their anti-money laundering obligations.

I. Basic information about this offering

(1) Name of the fund

Hongta red soil China Bond 0-3 years policy financial bond index securities investment fund

(2) Short name and code of the fund

Fund abbreviation: 0-3 year policy financial bond index A of Hongta laterite China Bond, fund code: 020048.

Fund abbreviation: 0-3 year policy financial bond index C of Hongta laterite China Bond, fund code: 020049.

(3) Fund type

Bond securities investment fund

(4) the mode of operation of the fund

Contractual openness

(5) Duration of the fund

irregular

(6) Initial face value of fund shares

The initial face value of the fund share is RMB 1.00.

(7) Target of offering

The fund is raised by individual investors, institutional investors, qualified foreign investors and other investors who can invest in securities investment funds in accordance with laws and regulations or are allowed to buy securities investment funds by China Securities Regulatory Commission.

(8) Sales organization

1. Direct selling agencies

Hongta Hongtu Fund Management Co., Ltd.

2. Other sales organizations

The fund manager can adjust the fund sales organization according to the situation and publicize it on the fund manager's website.

(9) The fund raising period and the fund contract come into effect.

The fund raising period is from December 4, 2023 to December 15, 2023. The fund manager may appropriately extend or shorten the fund offering time within the raising period according to the fund sales, but the longest time shall not exceed 3 months from the date of fund share offering.

Since December 4, 2023, the Fund has been offered to both individual investors and institutional investors. Within 3 months from the date of fund share offering, under the condition that the total amount of fund raised shares is not less than 200 million, the fund raised amount is not less than 200 million yuan and the number of fund subscribers is not less than 200, the fund manager may decide to stop the fund offering at the expiration of the fund raising period or in accordance with laws, regulations and prospectus, and hire a statutory capital verification institution to make capital verification within 10 days, and go through the fund filing formalities with the China Securities Regulatory Commission within 10 days from the date of receiving the capital verification report.

If the fund raising meets the conditions for fund filing, the Fund Contract will take effect from the date when the fund manager completes the fund filing procedures and obtains the written confirmation from the China Securities Regulatory Commission; Otherwise, the Fund Contract will not take effect. The fund manager shall announce the entry into force of the Fund Contract the day after receiving the confirmation document from the China Securities Regulatory Commission. The fund manager shall deposit the funds raised during the fund-raising period into a special account, and no one may use them before the fund-raising behavior is over.

If the fund raising fails, the fund manager, fund custodian and sales organization shall not ask for remuneration. All expenses paid by the fund manager, fund custodian and sales organization for fund raising shall be borne by each party.

(10) Plan for limiting the sales scale during the raising period.

The total amount of effective subscription finally confirmed by the Fund during the raising period is planned to be no more than RMB 8 billion (excluding interest during the raising period). The fund manager may appropriately adjust the raising time according to the subscription, and make an announcement in time, but the longest time shall not exceed the statutory raising period.

If the amount of valid subscription applications during the raising period does not exceed 8 billion yuan after all confirmation, the fund manager will confirm all valid subscription applications. If the accumulated effective subscription application amount (excluding the interest during the fundraising period) exceeds 8 billion yuan after the fundraising deadline on any day (including the first day) during the fundraising period, the fund manager will adopt the method of "doomsday proportion confirmation" to effectively control the scale. When the doomsday ratio is confirmed, the fund manager will timely perform appropriate procedures to announce the ratio confirmation results. The unconfirmed subscription money will be returned to the investors at the end of the raising period, and the losses arising therefrom will be borne by the investors themselves.

The calculation method of confirmation ratio of doomsday subscription application is as follows:

Confirmation ratio of doomsday subscription application = (8 billion yuan-total amount of effective subscription application before doomsday)/total amount of effective subscription application at doomsday.

Confirmation amount of doomsday investor subscription application = effective subscription application amount submitted by doomsday × confirmation ratio of doomsday subscription application.

"Total amount of effective subscription application before the end of the day" and "Total amount of effective subscription application at the end of the day" do not include interest.

When partial confirmation occurs, the investor's subscription rate is calculated according to the rate corresponding to the subscription application confirmation amount, and the subscription application confirmation amount is not limited by the subscription minimum. The confirmation result of the final subscription application is subject to the calculation and confirmation result of the fund registration institution.

Investors are advised to pay attention to the fact that due to the adoption of the method of "doomsday proportion confirmation", the confirmation amount of the subscription application of doomsday investors will be lower than the subscription application amount, and the applicable rate of the subscription fee may be higher than the corresponding rate of the subscription application amount.

Second, the way of sale and related regulations

(1) The offering of the Fund is in the form of amount subscription, which is conducted simultaneously for individual investors and institutional investors during the offering period.

(2) Subscription rate

The fund subscription fee is charged for the Class A fund share of the Fund at the time of subscription; Class C fund shares are not charged subscription fees, but sales service fees are accrued from the assets of this class of funds after the Fund Contract comes into effect.

The Class A fund share of the Fund sets a differential subscription rate, which decreases with the increase of subscription amount, and investors are required to pay the subscription fee in full. Subscription fees are not included in the fund property, and are mainly used for various expenses incurred during the fund's marketing, sales, registration and other fundraising periods. The subscription rate is based on the net subscription amount and adopts the proportional rate. If an investor has more than one subscription in one day, the applicable rate shall be calculated separately according to a single subscription. When it is necessary to partially confirm the effective subscription amount by proportional placement, the investor subscription rate shall be calculated according to the rate corresponding to the confirmed amount of the effective subscription application.

The Class A fund share of the Fund sets a differential subscription rate, which decreases with the increase of subscription amount. The rate table is as follows:

(3) Calculation of subscription share

1. If investors choose to subscribe for Class A fund shares, the calculation formula of subscription shares is:

(1) If the subscription fee is subject to the proportional rate:

Net Subscription Amount = Subscription Amount/(1+Subscription Rate)

Subscription fee = subscription amount-net subscription amount

Subscription share = (net subscription amount+interest on subscription funds)/offering face value of fund share.

(2) If the subscription fee is fixed:

Subscription fee = fixed amount

Net subscription amount = subscription amount-subscription fee

Subscription share = (net subscription amount+interest on subscription funds)/offering face value of fund share.

2. If the investor chooses to subscribe for the share of Class C funds, the formula for calculating the subscription share is:

Subscription share = (subscription amount+interest on subscription funds)/par value of fund share sale.

The subscription share (including the interest converted share) shall be calculated to two decimal places, and the part after two decimal places shall be rounded off, and the gains or losses arising from this error shall be borne by the fund property.

3. Calculation example

Example: An investor invests 500,000 yuan to subscribe for the Class A fund share of the Fund. Assuming that the interest on the subscribed funds is 50.00 yuan and the corresponding subscription rate is 0.40%, the class A fund share he can get is:

Net subscription amount = 500,000.00/(1+0.40%) = 498,007.97 yuan.

Subscription fee = 500,000.00-498,007.97 = 1,992.03 yuan.

Subscription share = (498,007.97+50.00)/1.00 = 498,057.97 copies.

That is, an investor invests 500,000 yuan to subscribe for the Class A fund share of the Fund. Assuming that the interest on the subscribed funds is 50.00 yuan and the corresponding subscription rate is 0.40%, 498,057.97 Class A fund shares can be obtained.

Example: An investor subscribes for the Class A fund share of the Fund with a single investment of 5 million yuan. Assuming that the interest on the subscribed funds is 500.00 yuan and the corresponding subscription fee is 1,000.00 yuan, the class A fund share he can get is:

Subscription fee = 1,000.00 yuan

Net subscription amount = 5,000,000.00-1,000.00 = 4,999,000.00 yuan.

Subscription share = (4,999,000.00+500.00)/1.00 = 4,999,500.00.

That is, an investor subscribes for the Class A fund share of the Fund with a single investment of 5 million yuan. Assuming that the interest on the subscribed funds is 500.00 yuan and the corresponding subscription fee is 1,000.00 yuan, he can get 4,999,500.00 shares of the Class A fund.

Example: An investor subscribes for the Class C fund share of the Fund with a single investment of 500,000 yuan. Assuming the interest on the subscribed funds is 50.00 yuan, the class C fund share he can get is:

Subscription share = (500,000.00+50.00)/1.00 = 500,050.00.

That is, an investor subscribes for the fund's Class C fund share with a single investment of 500,000 yuan, and if the interest on the subscribed funds is 50.00 yuan, he can get 500,050.00 Class C fund shares.

4. Limit of subscription amount

The minimum subscription amount of the Fund for the first time is not less than 10 yuan (including subscription fee), and the minimum amount of additional subscription is 10 yuan (including subscription fee). If there are other regulations on the minimum subscription amount and transaction level difference of the Fund by the sales organizations, the business regulations of the sales organizations shall prevail. The cumulative subscription amount of a single investor during the raising period is not limited.

The fund manager may adjust the above-mentioned restrictions on the subscription amount according to the market situation and with the permission of laws and regulations, and the fund manager must make an announcement in the specified media in accordance with the relevant provisions of the Information Disclosure Measures before the adjustment is implemented.

According to the combined calculation of various fund shares of the Fund, if the cumulative number of fund shares subscribed by a single investor of the Fund reaches or exceeds 20% of the total fund shares, the fund manager may restrict the investor's subscription application by means of proportional confirmation. If the acceptance of one or some subscription applications by the fund manager may cause investors to evade the aforementioned 20% requirement in disguise, the fund manager has the right to reject all or part of these subscription applications. The number of fund shares subscribed by investors shall be determined by the registration institution after the fund contract takes effect.

III. Account Opening and Subscription Procedures

(1) Procedures for opening an account and subscribing through the direct selling center of this company.

Fund managers' direct sales counters and online direct sales channels accept investors' applications for account opening and subscription. At present, online direct sales channels are only for individual investors.

1, business processing time

9: 00 to 17: 00 on the fund sale date (not accepted on Saturday, Sunday and legal holidays).

2. Open a fund account

(1) Individual investors applying for opening a fund account through the direct selling counter must go to the counter of the outlet of the direct selling institution in person and provide the following information:

● Completed and signed Account Business Application Form (Individual);

● The original of my ID card and a copy of my signature;

● The original of my bank card or passbook and a copy of my signature;

● Notes on the Rights and Interests of Securities Investment Fund Investors signed and confirmed by myself;

● Questionnaire on Risk Tolerance of Individual Investors signed and confirmed by myself;

● Personal Tax Resident Identity Declaration Document signed and confirmed by myself (not required for China tax residents only);

● If entrusting others to act as agents, both the agent and the principal are required to sign the power of attorney in person at the counter, or provide a notarized power of attorney, and at the same time, check the identity documents or other identification documents of the agent and the principal and keep a copy, and provide the completed Power of Attorney for Business.

(2) Institutional investors shall provide copies of the following completed forms and supporting materials stamped and signed as required when opening a fund account:

Note: The account of basic pension/social security fund/annuity must be opened jointly by the administrator and the custodian: Table 1 is signed and sealed by the administrator and the custodian; Data 2, 3, 6 and 8 and tables 5, 7, 9 and 10 are provided by the custodian and the administrator respectively; Tables 11 and 13 and data 12 and 16 are provided by the administrator.

The investor's account opening information must be filled in truthfully and accurately, otherwise the errors and losses caused thereby shall be borne by the investor himself.

3. Apply for subscription

(1) Individual investors who apply for subscription through the direct selling counter shall go to the counter of the outlet of the direct selling institution in person and submit the following materials:

● Application Form for Trading Business (Public Offering);

● Original and photocopy of my ID card;

● If the payment fails to reach the corresponding account of our company within the trading time, you must provide the bank payment voucher receipt or proof of transfer within the trading time of the day.

(2) When an institution/product investor applies for subscription business, the institution/product authorized manager shall submit the following completed forms and supporting materials stamped and signed as required:

● Application Form for Trading Business (Public Offering);

● If the payment fails to reach the corresponding account of our company within the trading time, you must provide the bank payment voucher receipt or proof of transfer within the trading time of the day.

Those who have not yet opened an account can go through the account opening and subscription procedures at the same time. Investors can print the confirmation of fund account opening and subscription business at the direct sales counter on T+2 (working day). However, this confirmation is the confirmation of the subscription application, and the final result of the subscription can only be confirmed after the fund contract comes into effect.

4. Payment method

Investors who subscribe through the direct sales counter need to pay in full, as follows:

(1) Investors shall remit the full subscription funds to the direct selling account designated by the Company before 17: 00 on the trading application day:

(2) If the investor fails to remit the full subscription funds into the direct selling account designated by the Company before 17:00 on the same day, the investor's subscription application on that day will be invalid, and the investor needs to resubmit the subscription application on the day when the funds arrive, and the day when the funds arrive is the acceptance application date (that is, the effective application date).

(3) By the end of the raising period, the following conditions will be regarded as invalid subscription, and the money will be returned to the investor's designated fund settlement account:

● The investor draws funds, but fails to handle the account opening formalities or fails to open an account;

● Investors transfer funds, but the subscription application has not been processed or the subscription application has not been confirmed;

● The subscription funds allocated by investors are less than the subscription amount applied by them;

● The investor's transfer time is later than the time specified by the Japanese company at the end of fund subscription;

● Other circumstances that cause the subscription to be invalid.

(2) If the investor subscribes through a sales organization other than the company, the procedures for opening a fund account and subscription shall be subject to the provisions of each sales organization.

(3) Investors' tips

1. Investors who intend to subscribe for funds through over-the-counter trading are requested to obtain the application form for account opening and subscription from the direct sales center of our company or the sales outlets of other sales organizations. Investors can also download the relevant direct selling business forms from the website of our company (website: www.htamc.com.cn), but they must ensure that the submitted materials are consistent with the format required in the downloaded documents when handling the business.

2. The business application forms of the direct selling center and other sales outlets are different, so investors should not mix them.

IV. Liquidation and delivery

(1) All the funds raised during the fund-raising period are frozen in the special fund-raising account, and no one may use them before the fund-raising behavior ends. The interest generated from the valid subscription funds during the fund raising period will be converted into fund shares after the fund contract takes effect, which will be owned by the fund share holders, and the interest conversion share shall be subject to the records of the registration institution.

(2) The registration of the rights and interests of the Fund shall be completed by the registration institution after the fund raising.

V. Capital Verification of the Fund and the Entry into Force of the Fund Contract

(1) If the total amount of fund shares raised meets the following conditions within 3 months from the date of offering the fund shares, the fund manager shall go through the formalities of capital verification and fund filing in accordance with regulations:

1. The total amount of fund raised is not less than 200 million, and the amount raised by the fund is not less than 200 million yuan;

2. The number of fund subscribers shall be no less than 200.

(2) The fund manager shall, within 10 days from the end of the raising period, hire a statutory capital verification institution to make capital verification, and go through the fund filing formalities with the China Securities Regulatory Commission within 10 days from the date of receiving the capital verification report.

(3) Since the fund manager completes the fund filing procedures and obtains the written confirmation from the China Securities Regulatory Commission, the fund filing procedures are completed and the fund contract becomes effective.

(4) The fund manager shall make an announcement the day after receiving the confirmation document from the China Securities Regulatory Commission.

(5) If the fundraising period expires and the conditions for fund filing are not met, the fund manager shall bear the following responsibilities:

1, with its inherent property to bear the debts and expenses arising from the raising behavior;

2. Return the money paid by investors within 30 days after the expiration of the fund raising period, and add the interest of bank demand deposits for the same period;

3. If the fund raising fails, the fund manager, fund custodian and sales organization shall not ask for remuneration. All expenses paid by the fund manager, fund custodian and sales organization for fund raising shall be borne by each party.

(6) Expenses related to fund raising activities before the fund contract comes into effect, including information disclosure fees, accountant fees, attorney fees and other expenses, shall not be charged to the fund property.

Vi. the parties and intermediaries of this fundraising

(1) Fund manager

Name: Hongta Hongtu Fund Management Co., Ltd.

Registered address: Room 201, Building A, No.1 Qianwan 1st Road, Shenzhen Qianhai Shenzhen-Hong Kong Cooperation Zone (settled in Shenzhen Qianhai Business Secretary Co., Ltd.)

Office Address: Room 2301, Building 1, Phase IV, Qianhai Kerry Business Center, No.399, Qianwan 1st Road, Nanshan Street, Shenzhen Qianhai Shenzhen-Hong Kong Cooperation Zone

Legal Representative: Gong Xianglin

Date of establishment: June 12, 2012

Organization form: limited liability company

Registered capital: 496 million yuan.

Duration: going concern

Contact: Zhou Qiao

Tel: 0755-33328600

(2) Fund custodian

Name: Jiangsu Bank Company Limited

Registered address: No.26 Zhonghua Road, Nanjing, Jiangsu Province

Office Address: No.26 Zhonghua Road, Nanjing, Jiangsu Province

Legal Representative: Xia Ping.

Date of establishment: January 22, 2007

Organization form: joint stock limited company

Registered capital: 14.77 billion yuan.

Duration: going concern.

Contact: Cai Yue

Tel: 025-51811157

(3) Sales organization

1. Direct selling agencies

Hongta Hongtu Fund Management Co., Ltd.

Registered address: Room 201, Building A, No.1 Qianwan 1st Road, Shenzhen Qianhai Shenzhen-Hong Kong Cooperation Zone (settled in Shenzhen Qianhai Business Secretary Co., Ltd.)

Office Address: Room 2301, Building 1, Phase IV, Qianhai Kerry Business Center, No.399, Qianwan 1st Road, Nanshan Street, Shenzhen Qianhai Shenzhen-Hong Kong Cooperation Zone

Legal Representative: Gong Xianglin

Contact: Xu Anan

Tel: (0755)33372651

Fax: (0755)33379015

Customer service telephone number: 4001-666-916

Website: www.htamc.com.cn

2. Other sales organizations

The fund manager can change or increase or decrease the sales organization according to the situation, and publicize it on the fund manager's website.

(4) Registration institutions

Hongta Hongtu Fund Management Co., Ltd.

Registered address: Room 201, Building A, No.1 Qianwan 1st Road, Shenzhen Qianhai Shenzhen-Hong Kong Cooperation Zone (settled in Shenzhen Qianhai Business Secretary Co., Ltd.)

Office Address: Room 2301, Building 1, Phase IV, Qianhai Kerry Business Center, No.399, Qianwan 1st Road, Nanshan Street, Shenzhen Qianhai Shenzhen-Hong Kong Cooperation Zone

Legal Representative: Gong Xianglin

Contact: Xu Yiran

Tel: (0755)33328600

Fax: (0755)33379033

(5) Law firms that issue legal opinions.

Shanghai Tongli lawyer office

Registered address: 19th floor, Times Financial Center, No.68 Yincheng Middle Road, Pudong New Area, Shanghai.

Office Address: Floor 18-20, Times Financial Center, No.68, Yincheng Middle Road, Pudong New Area, Shanghai

Person in charge: Han Jiong

Tel: 021-31358666

Fax: 021-31358600

Attorneys: An Dong and Ding Yuan.

Contact: Ding Yuan

(6) An accounting firm that audits the assets of the fund.

PricewaterhouseCoopers Zhongtian Certified Public Accountants (Special General Partnership)

Registered address: Room 01, Unit 507, DBS Bank Building, No.1318 Lujiazui Ring Road, China (Shanghai) Pilot Free Trade Zone.

Office Address: 42nd Floor, Qiantan Center, No.588 Dongyu Road, Pudong New Area, China.

Legal Representative: Li Dan.

Tel: (021)23238888

Fax: (021)23238800

Signature Certified Public Accountants: Zhang Zhenbo and Wu Linjie

Contact: Wu Linjie

Hongta Hongtu Fund Management Co., Ltd.

November 29, 2023

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