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C-Shares CSI 300 Index ETF Prospectus 匯添富資產管理（香 港）有限公司

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C-Shares CSI 300 Index ETF Prospectus 匯添富資產管理（香 港）有限公司 China Universal International ETF Series C-Shares CSI 300 Index ETF Prospectus 匯添富資產管理（香 港）有限公司 China Universal Asset Management (Hong Kong) Company Limited 2701 One IFC, 1 Harbour View Street, Central, Hong Kong Tel: (852) 3983 5600 Fax: (852) 3983 5799 Email: [email protected] Web: www.99fund.com.hk Important - If you are in any doubt about the contents of this Prospectus, you should consult your stockbroker, bank manager, solicitor, accountant and/or other financial adviser for independent professional financial advice. CHINA UNIVERSAL INTERNATIONAL ETF SERIES (a Hong Kong umbrella unit trust authorized under Section 104 of the Securities and Futures Ordinance (Cap. 571) of Hong Kong) C-Shares CSI 300 Index ETF (Stock Codes: 83008 (RMB counter) and 03008 (HKD counter)) PROSPECTUS MANAGER China Universal Asset Management (Hong Kong) Company Limited LISTING AGENT FOR C-Shares CSI 300 Index ETF GF Capital (Hong Kong) Limited 3 July 2013 The Stock Exchange of Hong Kong Limited (“SEHK”), Hong Kong Exchanges and Clearing Limited (“HKEx”), Hong Kong Securities Clearing Company Limited (“HKSCC”) and the Hong Kong Securities and Futures Commission (“Commission”) take no responsibility for the contents of this Prospectus, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this Prospectus. China Universal International ETF Series (“Trust”) and its sub-funds set out in Part 2 of this Prospectus, including its initial Sub-Fund, C-Shares CSI 300 Index ETF (“CSI 300 ETF”) (collectively referred to as the “Sub- Funds”) have been authorised by the Commission pursuant to section 104 of the Securities and Futures Ordinance. Each of the Sub-Funds, including the CSI 300 ETF is a fund falling within Chapter 8.6 and Appendix I of the Code on Unit Trusts and Mutual Funds (“Code”). Authorisation by the Commission is not a recommendation or endorsement of the Trust or any of the Sub-Funds nor does it guarantee the commercial merits of the Trust, the Sub-Funds or their performance. It does not mean the Trust or the Sub-Funds are suitable for all investors nor is it an endorsement of their suitability for any particular investor or class of investors. TABLE OF CONTENTS DIRECTORY ....................................................................................................................................................................................2 PRELIMINARY ...............................................................................................................................................................................4 DEFINITIONS ..................................................................................................................................................................................5 PART 1 ...........................................................................................................................................................................................10 GENERAL INFORMATION RELATING TO THE TRUST .......................................................................................................10 PART 1 - GENERAL INFORMATION RELATING TO THE TRUST .......................................................................................11 1. THE TRUST .......................................................................................................................................................................11 2. KEY OPERATORS AND SERVICE PROVIDERS .........................................................................................................11 3. INVESTMENT CONSIDERATIONS ...............................................................................................................................15 4. INVESTMENT AND BORROWING RESTRICTIONS...................................................................................................15 5. GENERAL RISK FACTORS .............................................................................................................................................15 6. INVESTING IN A SUB-FUND .........................................................................................................................................25 7. CREATION AND REDEMPTION OF APPLICATION UNITS (PRIMARY MARKET) ..............................................26 8. TRADING OF UNITS ON THE SEHK (SECONDARY MARKET) ...............................................................................33 9. EVIDENCE OF UNITHOLDING ......................................................................................................................................34 10. VALUATION AND SUSPENSION ..................................................................................................................................34 11. DISTRIBUTION POLICY .................................................................................................................................................36 12. FEES AND CHARGES ......................................................................................................................................................36 13. TAXATION ........................................................................................................................................................................38 14. OTHER IMPORTANT INFORMATION ..........................................................................................................................39 PART 2 ...........................................................................................................................................................................................46 INFORMATION SPECIFIC TO SUB-FUNDS .............................................................................................................................46 APPENDIX 1 ..................................................................................................................................................................................47 C-SHARES CSI 300 INDEX ETF .................................................................................................................................................47 1. KEY INFORMATION .......................................................................................................................................................48 2. INVESTMENT OBJECTIVE AND STRATEGY .............................................................................................................51 3. INVESTMENT AND BORROWING RESTRICTIONS...................................................................................................51 4. INITIAL OFFER AND DEALING ....................................................................................................................................51 5. DISTRIBUTION POLICY .................................................................................................................................................54 6. PRC TAX PROVISIONS ...................................................................................................................................................55 7. RENMINBI QUALIFIED FOREIGN INSTITUTIONAL INVESTOR (RQFII) ..............................................................55 8. OVERVIEW OF THE OFFSHORE RMB MARKET .......................................................................................................56 9. CHINA A-SHARES MARKET IN THE PRC ...................................................................................................................58 10. RMB PAYMENT AND ACCOUNT PROCEDURES ......................................................................................................62 11. RISK FACTORS RELATING TO THE CSI 300 ETF ......................................................................................................63 12. FEES AND CHARGES ......................................................................................................................................................70 13. ADDITIONAL DOCUMENTS AVAILABLE FOR INSPECTION .................................................................................73 13A. PUBLICATION OF INFORMATION RELATING TO CSI 300 ETF .............................................................................73 14. INDEX LICENCE AGREEMENT .....................................................................................................................................73 15. MATERIAL CHANGES TO THE INDEX........................................................................................................................74 16. REPLACEMENT OF UNDERLYING INDEX .................................................................................................................74 17. THE UNDERLYING INDEX ............................................................................................................................................74 SCHEDULE 1 – INVESTMENT AND BORROWING RESTRICTIONS ..................................................................................78 1 DIRECTORY Manager and RQFII Holder China Universal Asset Management (Hong Kong) Company Limited 2701, One International Finance Centre, 1 Harbour View Street Central Hong Kong Directors of the Manager LIN Li Jun XIAO Shun Xi HAN Xian Wang Trustee BOCI-Prudential Trustee Limited 12/F & 25/F, Citicorp Centre 18 Whitfield Road Causeway
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