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2019年12月重述版
信托契约
中银国际英国保诚信托有限公司
( “受托人”)
与
行健资产管理有限公司
( “基金管理人”)
关于
行健宏扬中国基金
香港英皇道979 号太古坊一座30楼
Simmons & Simmons
30th Floor, One Taikoo Place
979 King’s Road
Hong Kong
DX 225023 Wanchai
T 电话 +852 2868 1131
F 传真 +852 2810 5040
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目录?
1. 解释 .............................................................. ............................................................... .......................................... 7
1.1 定义 .............................................................. ............................................................... ................. 7
2. 本基金的组成 .............................................................. ............................................................... .......................... 10
3.1 本基金的声明 .............................................................. ............................................................... . 10
3.2 本基金的名称 .............................................................. ............................................................... . 10
2.3 基金资产的构成 ............................................................... ............................................................ 10
2.4 条款和条件的约束性 .............................................................. ..................................................... 10
2.5 《守则》 .............................................................. ............................................................... ........ 10
2.6 基金管理人和受托人的责任 .............................................................. ........................................... 10
3. 基金份额持有人 ............................................................... ............................................................... ...................... 10
4.1 份额 .............................................................. ............................................................... ............... 10
4.2 份额的形式 .............................................................. ............................................................... ..... 10
4.3 权益确认 .............................................................. ............................................................... ........ 11
4.4 持有人的权利 .............................................................. ............................................................... . 11
4.5 持有人的责任 .............................................................. ............................................................... . 11
3.6 对份额所有权的限制 .............................................................. ..................................................... 11
4. 份额的发行 .............................................................. ............................................................... .............................. 11
4.1 份额的发行 .............................................................. ............................................................... ..... 11
4.2 份额的申请 .............................................................. ............................................................... ..... 11
4.3 拒绝份额申请 .............................................................. ............................................................... . 11
4.4 可发行基金份额的日期 .............................................................. .................................................. 12
4.5 份额的发行价 .............................................................. ............................................................... . 12
4.6 交易调整额 .............................................................. ............................................................... ..... 12
4.7 认/ 申购费 .............................................................. ............................................................... ....... 12
4.8 份额付款 .............................................................. ............................................................... ........ 12
4.9 基金管理人出售份额 .............................................................. ..................................................... 12
4.10 暂停期间没有份额发行 .............................................................. .................................................. 13
4.11 收到付款后方可书面确认持有额 ............................................................... ................................... 13
4.12 所有份额发行的声明 .............................................................. ..................................................... 13
5. 份额的赎回 .............................................................. ............................................................... .............................. 13
5.1 持有人赎回份额 ............................................................... ............................................................ 13
5.2 赎回申请的内容 ............................................................... ............................................................ 13
5.3 赎回申请的发送 ............................................................... ............................................................ 13
5.4 部分赎回 .............................................................. ............................................................... ........ 13
5.5 赎回价格的计算 ............................................................... ............................................................ 13
5.6 交易调整额 .............................................................. ............................................................... ..... 14
5.7 受托人核查赎回价格 .............................................................. ..................................................... 14
5.8 赎回款项支付时间 .............................................................. ......................................................... 14
5.9 赎回款项的支付方式 .............................................................. ..................................................... 14
5.10 香港以外地区的赎回款项支付 .............................................................. ....................................... 14
5.11 清算资产以支付赎回款项 .............................................................. .............................................. 14
5.12 对应付款项的义务解除 .............................................................. .................................................. 14
5.13 限制在任何交易日的份额变现数目 .............................................................. ................................ 14
6. 基金份额的强制赎回 .............................................................. ............................................................... ............... 15
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6.1 强制性赎回受限人士所持有的份额 .............................................................. ................................ 15
6.2 提供关于状态的信息 .............................................................. ..................................................... 15
6A. 《海外账户税收合规法案》规定 .............................................................. ........................................................ 15
6A.1 遵守《海外账户税收合规法案》 ............................................................... ................................... 15
6A.2 提供、更新和传达税务文件 .............................................................. ........................................... 15
6A.3 遵守税收规则 .............................................................. ............................................................... . 16
6A.4 定义 .............................................................. ............................................................... ............... 16
7. 份额的转换 .............................................................. ............................................................... .............................. 17
7.1 将一类份额转换为另一类份额的权利 .............................................................. ............................ 17
7.2 转换费 .............................................................. ............................................................... ............ 17
7.3 不同集合投资计划之间的转换 .............................................................. ....................................... 18
8. 基金份额的转让 ............................................................... ............................................................... ...................... 18
8.1 持有人转让基金份额的权利 .............................................................. ........................................... 18
8.2 转让文书的签署 ............................................................... ............................................................ 18
8.3 转让文书的盖章 ............................................................... ............................................................ 18
8.4 登记费 .............................................................. ............................................................... ............ 18
8.5 转让登记 .............................................................. ............................................................... ........ 18
8.6 转让文书的保存 ............................................................... ............................................................ 18
8.7 只能依照本契约转让 .............................................................. ..................................................... 18
9. 基金份额的转移 ............................................................... ............................................................... ...................... 18
9.1 已故持有人基金份额的所有权 .............................................................. ....................................... 19
9.2 死亡持有人继任者的登记 .............................................................. .............................................. 19
9.3 继任者的权利 .............................................................. ............................................................... . 19
9.4 登记前由受托人留存应付款项 .............................................................. ....................................... 19
10. 名册 .............................................................. ............................................................... .................................... 19
10.1 基金份额名册 .............................................................. ............................................................... . 19
10.2 名册上的条目 .............................................................. ............................................................... . 19
10.3 联名持有人和法人团体的登记 .............................................................. ....................................... 19
10.4 名称/ 地址的变更 ............................................................... ........................................................... 20
10.5 关闭名册 .............................................................. ............................................................... ........ 20
10.6 查看名册 .............................................................. ............................................................... ........ 20
10.7 证明人员有权享有基金份额的确凿证据 .............................................................. ......................... 20
10.8 各类文件的登记费 .............................................................. ......................................................... 20
10.9 名册事项 .............................................................. ............................................................... ........ 20
11. 收益分配 ............................................................... ............................................................... ............................ 20
11.1 收益分配 .............................................................. ............................................................... ........ 20
11.2 收益分配日基金份额的赎回 .............................................................. ........................................... 21
11.3 临时收益分配 .............................................................. ............................................................... . 21
11.4 可供进行收益分配的金额 .............................................................. .............................................. 21
11.5 收益接收的延迟 ............................................................... ............................................................ 21
11.6 收益分配账户的利息 .............................................................. ..................................................... 21
11.7 无利息 .............................................................. ............................................................... ............ 22
11.8 收益分配额的再投资 .............................................................. ..................................................... 22
12. 投资权力 ............................................................... ............................................................... ............................ 22
12.1 基金资产的投资 ............................................................... ............................................................ 22
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12.2 现金存款的持有 ............................................................... ............................................................ 22
12.3 投资决定权 .............................................................. ............................................................... ..... 22
12.4 包销及分销合同 ............................................................... ............................................................ 23
12.5 金融衍生工具 .............................................................. ............................................................... . 23
12.6 担保贷款 .............................................................. ............................................................... ........ 23
12.7 软佣金安排 .............................................................. ............................................................... ..... 23
12.8 基金管理人或受托人进行的交易 ............................................................... ................................... 24
12.9 交易币种 .............................................................. ............................................................... ........ 24
12.10 最佳执行 .............................................................. ............................................................... ........ 24
12.11 遵守投资政策 .............................................................. ............................................................... . 24
13. 投资限制 ............................................................... ............................................................... ............................ 24
13.1 投资限制 .............................................................. ............................................................... ........ 24
13.2 适用于本基金的投资限制 .............................................................. .............................................. 25
13.3 违反投资限制 .............................................................. ............................................................... . 27
13.4 投资禁止事项 .............................................................. ............................................................... . 27
13.5 金融衍生工具及其他投资 .............................................................. .............................................. 28
13.6 作为对冲目的的金融衍生工具 .............................................................. ....................................... 28
13.7 作为非对冲目的的金融衍生工具 ............................................................... ................................... 28
13.8 投资金融衍生工具的规定 .............................................................. .............................................. 29
13.9 金融衍生工具交易对手限制除外条款 .............................................................. ............................ 29
13.10 广泛投资于金融衍生工具的基金 ............................................................... ................................... 29
13.11 证券融资交易 .............................................................. ............................................................... . 29
13.12 担保物 .............................................................. ............................................................... ............ 30
13.13 担保物披露规定 ............................................................... ............................................................ 31
13.14 交割保障 .............................................................. ............................................................... ........ 31
13.15 产生未来承诺或者或有承诺的金融衍生工具 .............................................................. .................. 31
13.16 内置金融衍生工具的金融工具 .............................................................. ....................................... 31
13.17 按《守则》进行投资 .............................................................. ..................................................... 31
14. 借款 .............................................................. ............................................................... .................................... 31
14.1 受托人借款的权利 .............................................................. ......................................................... 31
14.2 允许的出借人/ 利率 .............................................................. ........................................................ 32
14.3 与借款相关的出借人处的存款 .............................................................. ....................................... 32
14.4 与借款相关的存款 .............................................................. ......................................................... 32
14.5 本基金终止时的应偿付借款 .............................................................. ........................................... 32
14.6 借款费用 .............................................................. ............................................................... ........ 32
14.7 借款担保 .............................................................. ............................................................... ........ 32
14.8 借款相关损失的责任 .............................................................. ..................................................... 33
14.9 向受托人、基金管理人或任何一方的任何关联人士借款 .............................................................. 3 3
15. 安全保管和投资投票权 .............................................................. ............................................................... ....... 33
15.1 负责保管投资的受托人 .............................................................. .................................................. 33
15.2 次保管人的任命 ............................................................... ............................................................ 33
15.3 分开保管基金资产 .............................................................. ......................................................... 34
15.4 非上市股份投资的保管 .............................................................. .................................................. 34
15.5 投资投票权 .............................................................. ............................................................... ..... 34
16. 资产和债务评估 .............................................................. ............................................................... .................. 35
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16.1 资产净值的确定 ............................................................... ............................................................ 35
16.2 造成暂停的情况 ............................................................... ............................................................ 35
16.3 暂停期间不进行赎回或转换 .............................................................. ........................................... 35
16.4 暂停期间的申请撤回 .............................................................. ..................................................... 35
16.5 暂停通知 .............................................................. ............................................................... ........ 35
17. 审计师、账目和报告 .............................................................. ............................................................... ........... 35
17.1 审计师的任命和罢免 .............................................................. ..................................................... 36
17.2 基金管理人的报告职责 .............................................................. .................................................. 36
17.3 受托人报告 .............................................................. ............................................................... ..... 36
17.4 审计 .............................................................. ............................................................... ............... 36
17.5 确定新会计结算日的权利 .............................................................. .............................................. 36
17.6 账目的可用性 .............................................................. ............................................................... . 36
18. 费用 .............................................................. ............................................................... .................................... 36
18.1 管理费 .............................................................. ............................................................... ............ 36
18.2 业绩表现费 .................................................