6 June 2020
Bank of Communications Schroder Fund Management Co., Ltd (the “Manager”) – Prospectus Summary (Updated) (2020 No. 1)
of
BOCOM Schroder Growth Mixed Securities Investment Fund
Dear Investors,
We are pleased to inform you that the prospectus summary (2020 No.1) of the abovementioned fund managed by the Manager (the “Prospectus Summary”) is now available on the website of the Manager’s Hong Kong Representative at www.bocomschroder.com.hk*. (*This website has not been reviewed by the Securities and Futures Commission.)
Thank you for your continued support to BOCOM Schroder. Should you have any enquiries, please contact our Customer Service hotline at +852 2793 9688, directly with your bank or financial adviser or to view the website of our Hong Kong Representative at www.bocomschroder.com.hk*. (*This website has not been reviewed by the Securities and Futures Commission.)
Yours faithfully,
Lee Huei Jing Chief Executive Officer
Address: Unit 1911, 19/F, The Center, 99 Queen’s Road Central, Hong Kong Telephone: 2793 9688 Email: [email protected] Website: www.bocomschroder.com.hk 公司地址: 香港中環皇后大道中 99 號中環中心 19 樓 1911 室 電話：2793 9688 電郵：[email protected] 網址：www.bocomschroder.com.hk
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary
(2020 No. 1)
Fund Manager: Bank of Communications Schroder Fund
Management Co., Ltd.
Fund Custodian: Agricultural Bank of China Limited
May 2020
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
[Important Information]
The BOCOM Schroder Growth Mixed Securities Investment Fund (hereinafter referred to as the "Fund") was developed from the BOCOM Schroder Growth Equity Securities Investment Fund. The BOCOM Schroder Growth Equity Securities Investment Fund was offered upon approval by the China Securities Regulatory Commission (“CSRC”) on September 25, 2006 pursuant to Document No.197. [2006] of the CSRC. The Fund Contract of the Fund comes into effect as of October 23, 2006.
The Fund Manager guarantees that the contents of this Prospectus are true, accurate and complete. This Prospectus has been approved by the CSRC, but in giving the approval for the Offering of the Fund, the CSRC does not make any substantive judgment on or guarantee the value and returns of the Fund, and does not imply that investment in the Fund is risk-free.
The Fund Manager shall manage and use Fund assets pursuant to the principles of due diligence, good faith and prudence. However, it cannot ensure the Fund profit, nor the minimum returns for Fund Unitholders. As a result of Fund price fluctuation, it cannot be guaranteed either that Fund Unitholders will get back all of their original investment.
All investments involve risks. Investors are advised to carefully read this Prospectus prior to (initial) subscription. The past performance of the Fund does not represent its future performance. Performance of other funds managed by the Fund Manager are no guarantee of the performance of the Fund.
This Prospectus Summary has been prepared in accordance with the Fund Contract of the Fund Prospectus. The Fund Contract is a legal document stipulating the rights and obligations of the Parties to the Fund Contract. Fund Investors become Fund Unitholders and Parties to the Fund Contract from the date they acquire Fund units pursuant to the Fund Contract. Their holding of Fund units indicates their acknowledgment and acceptance of the Fund Contract and they shall enjoy rights and assume obligations pursuant to the Fund Law, Measures for Operations, the Fund Contract and other relevant provisions. Fund Investors shall carefully read the Fund Contract to understand the rights and obligations of Fund Unitholders.
This contents of the Prospectus are as at April 2, 2020 while relevant financial data and net asset value performance at December 31, 2019. The financial data set out in this Prospectus have not been audited.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
I. Fund Manager
(I) Introduction to the Fund Manager
Name: Bank of Communications Schroder Fund Management Co., Ltd.
Domicile: 2nd Floor, Bank of Communications Tower, 188 Middle Yincheng Road, China (Shanghai) Pilot Free Trade Zone, Shanghai, P. R. China
Office Address: 21/F and 22/F, Two IFC, 8 Century Avenue, Pudong New Area, Shanghai
Zip Code: 200120
Legal Representative: RUAN Hong
Date of Establishment: August 4, 2005
Registered Capital: RMB 200 million
Term of Existence: Continuous Operation
Contact: GUO Jia Min
Telephone: (021) 61055050
Fax: (021) 61055034
Bank of Communications Schroder Fund Management Co., Ltd. (hereinafter referred to as the "Company") was established by approval from the Document No.128 [2005] of the CSRC. Shareholding structure is presented as follows:
Shareholder Equity Ratio
Bank of Communications Co., Ltd. (hereinafter referred to as by its 65% full name or as "Bank of Communications")
Schroder Investment Management Limited 30%
China International Marine Containers (Group) Co., Ltd. 5%
(II) Information of Key Personnel
1. Members of the board of directors of the Fund Manager
Ms. RUAN Hong, Chairperson of the Board, Doctoral Degree holder. She has served successively as the Deputy Officer then Officer of the General Office of Bank of Communications, Deputy General Manager then General Manager of the Overseas Institution Administration Department of Bank of Communications, Vice President of Shanghai Branch, Bank of
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Communications, and General Manager of Asset Custody Department of Bank of Communications and General Manager of Investment Management Department of Bank of Communications. General Manager of Bank of Communications Schroder Fund Management Co., Ltd.
Mr. CHEN Chao Teng, Vice-Chairman of the Board, Doctoral Degree holder. He currently serves as the Chief Investment Officer and Head of Discretionary Portfolio Management in Schroder Investment Management (Taiwan) Limited. He has served successively as the Discretionary Portfolio Investment Manager of Fuh Hwa Securities Investment Trust Company Limited, Departmental Manager and the Head of Investment of Invesco Taiwan Limited.
Ms. ZHOU Xi, Director, Master Degree holder. She is currently the Deputy General Manager of the Personal Finance Business Department and the Deputy General Manager of the Risk Management Department (Asset Protection Department) of the Bank of Communications. She has served as the General Manager of the Risk Management Department, Asset Protection Department, Legal and Compliance Department and Personal Finance Business Department of the Bank of Communications, Hunan Branch, and Assistant General Manager of the Personal Finance Business Department of the Bank of Communications.
Mr. SUN Rong Jun, Director, Master Degree holder. He currently serves as the Deputy General Manager of the Risk Management Department (Asset Preservation Department) at the headquarter of Bank of Communications. He had successively served as the Deputy Senior Manager then Senior Manager of Risk Management Department at the headquarter of Bank of Communications, Deputy General Manager at Liuzhou Branch of Bank of Communications, Assistant to the President at Inner Mongolia Branch of Bank of Communications.
Mr. XIE Wei, Director, General Manager, Doctoral Degree holder, Senior Economist, Member of the China Democratic League Central Committee, Member of the National Committee of the Chinese People’s Political Consultative Conference. He currently serves as the General Manager of Bank of Communications Schroder Fund Management Co., Ltd and also the Chairman of BOCOM Schroder Asset Management (Hong Kong) Company Limited. He has successively served as a teacher at the Department of Finance, Central University of Finance and Economics, Assistant Researcher of the Institute of Finance and Trade Economics, Chinese Academy of Social Sciences, Deputy General Manager of the Fund Department of China Power Trust Investment Co., Ltd., Deputy General Manager then General Manager of the Securities Department, General Manager of Beijing Securities Sales Office, Deputy General Manager of Securities Department as well as General Manager of the Northern Region of China People's Insurance Trust and Investment Corporation, Deputy General Manager of Fullgoal Fund Management Co., Ltd. and Deputy General Manager of Bank of Communications Schroder Fund Management Co., Ltd.
Mr. Lieven DEBRUYNE, Director, Master Degree holder. He currently serves as the Global Head of Distribution, Chief Executive, Asia Pacific and member of the Group Management Committee. He has served successively as the Head of Asian Investment Product with Schroder
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Investment Management Limited, CEO as well as Head of Intermediary Business, Asia Pacific, with Schroder Investment Management (Hong Kong) Limited.
Ms. HAO Ai Qun, Independent Director, Bachelor Degree holder. She successively served as the Deputy Director then Director of the Audit Department of the People's Bank of China, Researcher of the Cooperation Department, Deputy Inspector and Deputy Director of the Non-banking Department, Deputy Officer of the Non-banking Department of the China Banking Regulatory Commission, Deputy Officer and Inspector of the Banking Supervision Department; Appointed Director of Central HuiJin Investment Limited.
Mr. ZHANG Zi Xue, Independent Director, Doctoral Degree holder. He is currently a Professor at the School of Civil and Commercial Economic Law of the China University of Political Science and Law and a member of the Self-discipline Supervision Committee of the Asset Management Association of China. He has served successively as the Deputy Director at the General Office, Director of the Listed Company Supervision Department, Full-time Member of the Administrative Penalty Committee and Deputy Director of Trial Officer of the China Securities Regulatory Commission. He is also a member of the Merger & Acquisition Audit Committee of the listed company, and a member of the Administrative Review Committee of the China Securities Regulatory Commission.
Mr. LI Jian Qiang, Independent Director, Doctoral Degree holder. Professor of Chang Jiang Scholar Lecture at the Education Department. He is currently an Honorary Professor at the Department of Industrial and Manufacturing Systems Engineering of the University of Hong Kong, President of the Asia Association of Risk and Crisis Management, and an Independent Non-executive Director of Zoomlion Heavy Industry Science and Technology Co., Ltd., a listed company on the Shenzhen Stock Exchange. He has served as a Professor at the Department of Management Sciences of the City University of Hong Kong, a member of the Hunan Provincial Political Committee of Chinese People's Political Consultative Conference, and concurrently the Dean of the College of Business Administration at Hunan University.
2. Members of Board of Supervisors of the Fund Manager
Mr. WANG Yi Jun, Head of Supervisors, Master Degree holder. He currently serves as the Senior Deputy Dean of the Financial College, Deputy General Manager of Human Resources Department and General Manager of Education and Training Department of Bank of Communications. He has successively served as the Deputy Officer of the General Office of Bank of Communications, Deputy Officer, Senior Manager, Assistant General Manager then Deputy General Manager of the Corporate Affairs Department of Bank of Communications, Deputy General Manager of the Investment Banking Department and Vice President of Jiang Su Branch of Bank of Communications and General Manager of the Strategic Investment Department of Bank of Communications.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Mr. ZHANG Jun Xiang, Supervisor, Master Degree holder, Chevening Scholar, Certified Financial Analyst (CFA). He is currently the Head of Investment Risk AsiaPac at Schroder Investment Management (Hong Kong) Limited. He has successively served as the Asia Risk Manager at AXA Investment Managers Hong Kong, General Manager of Risk Management Department at Fortune SG Fund Management Co., Ltd., and trading risk monitoring etc positions at Standard Chartered Bank (Hong Kong) Limited.
Mr. LIU Zheng, Supervisor, Master Degree holder. He currently serves as the Deputy General Manager of the General Administration Department of Bank of Communications Schroder Fund Management Co., Ltd. He has successively served as a Management Trainee of the Bank of Communications Shanghai Branch, Senior Merger and Acquisition Manager, Investment Manager of the Strategic Investment Department of the Bank of Communications, Senior General Administration Manager of the General Manager’s Office of Bank of Communications Schroder Fund Management Co., Ltd.
Mr. HUANG Wei Feng, Supervisor, Master Degree holder. He currently serves as the General Manager of the Institutional Sales Department (Shanghai) and Product Development Department. He has successively served as the Administration Supervisor, Marketing Management Manager of Ping An Life Insurance Company (Shanghai), Assistant General Manager of the Administration Department of Bank of Communications Schroder Fund Management Co., Ltd. and General Manager of the Sales Centre Department in Western China.
3. Senior Management of the Fund Manager
Mr. XIE Wei, General Manager, please refer to the above for the biography.
Mr. XIA Hua Long, Deputy General Manager, Chief Information Officer, Doctoral Degree holder, Senior Economist. He has successively served as the Lecturer of Economics Management Faculty, Deputy Officer then Officer of the Research Office of the Economics Faculty, Deputy Dean of Economics Faculty of University of Geosciences, Deputy Officer, Officer, Senior Manager then Deputy General Manager of the Asset Custody Department of Bank of Communications, Vice President of the Asset Custody Business Centre of Bank of Communications and Municipal Party Committee standing member then Deputy Mayor (on secondment) of Qujing City, Yunnan Province.
Ms. YIN Hao, Deputy CEO, Master Degree holder. She also serves as the Chairperson of Bank of Communications Schroder Asset Management Co., Ltd. She has successively served as the Deputy Head of Reform Planner, Deputy Head of Marketing Planner then Head of Marketing Planner in the Marketing Department, Deputy Senior Manager then Senior Manager in Business Management Department, Senior Manager, Assistant to General Manager then Deputy General Manager in the Institutional Business Department of Bank of Communications.
Ms. XU Shan Yan, Deputy General Manager, Master Degree holder, Senior Economist. She also serves as a Director of Bank of Communications Schroder Asset Management Co., Ltd. She has
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1) successively served as a Lecturer of the College of Finance, Hunan University (previously known as Hunan College of Finance and Economics), the Deputy Manager of the Government Bond Department and General Manager of the Fund Management Department in Xiangcai Securities Co., Ltd. and Deputy General Manager of ABN AMRO Xiangcai Fund Management Co., Ltd.
Ms. SHE Chuan, Chief Compliance Officer, Master Degree holder. She has successively served as the Senior Manager of General Development Department and Project Manager of Investment Bank Department at Huatai Securities Company Limited, Director of Compliance at Galaxy Asset Management Company Limited, Head of Compliance and Audit then Deputy Head of Compliance and Risk, Investment Operations Director of Bank of Communications Schroder Fund Management Company Limited.
4. Fund Manager of the Fund
Mr. WANG Shao Cheng. Fund Manager, Master Degree holder of Physical Chemistry from Fudan University. He has worked in the securities industry for 16 years. He has served successively as a Researcher of Shanghai Rongchang Asset Management Co. Ltd., the Investment Manager of Central China Securities, the Assistant to the Chief Research Officer of CITIC-Prudential Fund Management Co., Ltd., and the Investment Manager, Fund Manager and Deputy General Manager of the Investment Department of Soochow Asset Management Co., Ltd. From September 2010 to October 2012, he was the Fund Manager of the Soochow New Venture Stock Type Securities Investment Fund. From February 2011 to November 2012, he was the Fund Manager of the Soochow CSI Emerging Industries Index Securities Investment Fund. From May 2011 to November 2012, he was the Fund Manager of the Soochow Value Growth Double Power Stock Securities Investment Fund. He joined Bank of Communications Schroder Fund Management Co., Ltd. in 2012, where he served as the Deputy General Manager of the Equity Department of the Company, and he is now the Department Director of the Equity Investment. From March 21, 2013 to August 14, 2015, he was the Fund Manager of the BOCOM Schroder Advanced Equipment Manufacturing Mixed Securities Investment Fund (originally the BOCOM Schroder Advanced Manufacturing Stock Securities Investment Fund). From November 7, 2015 to May 15, 2018, he was the Fund Manager of the BOCOM Schroder (Rong He) Capital Protection Mixed Securities Investment Fund. From November 7, 2015 to June 7, 2018, he was the Fund Manager of BOCOM Schroder Strategic Return Flexible Allocation Mixed Securities Investment Fund. From July 2, 2013 to June 17, 2019, he has been the Fund Manager of BOCOM Schroder Growth 30 Mixed Securities Investment Fund (originally the BOCOM Schroder Growth 30 Equity Securities Investment Fund). From August 24, 2018 to August 28, 2019, he has been the Fund Manager of BOCOM Schroder Hengyi Flexible Allocation Mixed Securities Investment Fund. Since March 24, 2015 he has been the Fund Manager of BOCOM Schroder Growth Mixed Securities Investment Fund (the BOCOM Schroder Growth
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Equity Securities Investment Fund) until now. Since September 28, 2018, he has been the Fund Manager of BOCOM Schroder Blue Chip Mixed Securities Investment Fund until now.
Former Fund Managers of the Fund:
Mr. GUAN Hua Yu, served as the Fund Manager of the Fund from October 8, 2010 to March 23, 2015.
Mr. ZHOU Wei, served as the Fund Manager of the Fund from October 23, 2006 to October 20, 2010.
5. Members of Investment Decision Committee
Members: XIE Wei (General Manager)
WANG Shao Cheng (Director of Equity Investment and Fund Manager)
YU Hai Ying (Director of Fixed Income (Mutual Funds) Investment and Fund Manager)
Ma Jun (Director of Research)
There is no close kinship between and among any of the above persons. The above updated personnel information is updated as of April 2, 2020. For any post-period change (if any), please refer to related announcements released by the Fund Manager.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
II. Fund Custodian
(I) Information of the Fund Custodian
1. Basic Information
Name: Agricultural Bank of China Limited ("Agricultural Bank of China")
Domicile: No. 69, Jianguomen Inner Street, Dongcheng District, Beijing
Office Address: East Tower, Chemsunny World Trade Center, 28 Fuxingmen Inner Avenue, Xicheng District, Beijing
Legal Representative: ZHOU Mu Bing
Date of Establishment: January 15, 2009
Authority Approving the Establishment and Number of Approval of Establishment: Y.J.F [2009] No. 13 of the China Banking Regulatory Commission (CBRC)
Number of Approval of Business of the Fund Custodian: Z.J.J.Z. [1998] No. 23 of the CSRC
Registered Capital: RMB 349,983.034 million
Term of Existence: Continuous Operation
Telephone: (010) 66060069
Fax: (010) 68121816
Contact: HE Qian
As an important member of China's financial system, Agricultural Bank of China Limited is headquartered in Beijing. Subject to approval of the State Council, Agricultural Bank of China Limited was established on January 15, 2009 in accordance with law, following overall institution status change of Agricultural Bank of China. Agricultural Bank of China Limited has inherited all the assets, debts, businesses, outlet network and employees of the original Agricultural Bank of China. With its outlets spreading across urban and rural areas of China, Agricultural Bank of China is one of the large-sized state-owned commercial banks which is characterized by the largest number of outlets, the most extensive business coverage, the widest service scope, the largest number of customers and the most sophisticated services and functions in China. In foreign countries and regions, Agricultural Bank of China has also built well-accepted reputation through its efforts. For years, it has been listed in the Fortune 500. As a large-sized state-owned commercial bank which serves both urban and rural areas, operates businesses all over the world and boasts sophisticated functions, Agricultural Bank of China has been sticking to the business idea of being customer-oriented, and operating on the basis of prudent and stable business operations, sustainable development. It has attached great importance to the two major markets of urban and rural areas,
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1) implemented the competition strategy of differentiation, and emphasized cultivation of the service brand of "Accompanying Your Growth". Based on outlets scattering all around the country, gigantic electronic network and diversified financial products, Agricultural Bank of China is devoted to offering high-quality financial service, sharing values and growing together with the majority of customers.
Agricultural Bank of China is one of the first group of domestic commercial banks in China to offer the service of fund custody. Being famous for rich experience, satisfying service and outstanding performance, Agricultural Bank of China received the honorary title of "The Best Custodian Bank" in China from Global Custodian, a U.K magazine. In 2007, Agricultural Bank of China passed the SAS70 internal control audit of the U.S, and obtained the SAS70 audit report without any reservation. Agricultural Bank of China has consecutively achieved International Standard on Internal Control (ISAE3402) certification for custody business since 2010. This shows the complete recognition of the sophistication and effectiveness of risk management and internal control of the operations procedures of custodian services of Agricultural Bank of China by a third party authentication institution which is independent and fair. Agricultural Bank of China has paid close attention to strengthening its capacity, thus the reputation of its brand has been growing. In 2010, it received the award of "The Best Custodian Bank" in the First TOP 10 Award Ceremony of "Gold Medal Financial Management". In 2010, Agricultural Bank of China received the "The Best Prize of Asset Custodian" awarded by the magazine of Chief Financial Officer. In 2012, Agricultural Bank of China was awarded “The Best Asset Custodian Bank” from “The 10th China’s Financial Annual Champion Awards”. From 2013 to 2017, it had consecutively won the “Award for Excellent Custody Institutions” from the China Central Depository & Clearing Co., Ltd. In 2015 and 2016, it was awarded the “Best Development Award for Pension Business” by the China Banking Association. In 2018 it received the “Best Fund Custodian Bank” award of 20 Years Mutual Fund by China Fund. In 2019, it was awarded the “2019 Custodian Bank Tianji” by the Securities Times.
The securities investment fund custodian department of Agricultural Bank of China was established in May 1998 by the CSRC and the People's Bank of China. Currently, there are the General Administration Department, Business Management Department, Customer Service Department I, Customer Service Department II, Customer Service Department III, Customer Service Department IV, Risk and Compliance Department, Product Development and Information Technology Department, Operations Department I, Operations Department II, Sales and Marketing Department, Internal Control and Monitoring Department and Account Administration Department,, having advanced safety precautions facilities and application systems of the fund custodian business.
2. Information of Key Personnel
There are nearly 310 employees under the custodian business department of Agricultural Bank of China among which includes more than 60 professionals with senior positions. Members of the
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1) service group are characterized by high professional standard, sound business and strong service capacity. All members of the senior management have over 20 years of working experience in the financial industry with highly-ranked technical titles and all of them are highly knowledgeable of the operation of the onshore and offshore securities markets.
3. Information of Business Operations of the Fund Custodian
As at March 31, 2020, there are a total of 523 Closed-end securities investment funds and open-ended securities investment funds which are under custody of Agricultural Bank of China.
(II) Internal Risk Control System of the Fund Custodian
1. Objectives of Internal Control
To strictly abide by relevant laws, regulations on custodian business promulgated by the country, rules of industrial regulation, and relevant management rules within the industry. To do business in conformity with law, ensure normative operation and realize strict supervision. To guarantee stable business operation, safety and integrity of Fund assets, faithfulness, accuracy, completeness and timeliness of relevant information. To protect the legitimate interests of Fund Unitholder(s).
2. Organizational Structure of Internal Control
The risk management committee shall be responsible for overall risk management and internal control of Agricultural Bank of China, and supervise and appraise the work of risk management and internal control of custodian business. The custodian business department has specially established a department of risk management, and appointed full-time supervisors of internal control to be responsible for supervision of internal control. These supervisors may independently exercise the right of supervision and audit.
3. Internal Control System and Measures
A systematic and sophisticated control system of rules is put in place. The management system and control system have been established to deal with obligation of posts and procedures of business operation. These systems could ensure the normative operation and smooth progression of the custodian business; relevant employees have the qualifications to work in this field; a strict system of review, examination and inspection has been practiced in terms of business management; the work of power delegation is subject to centralized control; the business seal has been kept, stored and used in accordance with rules; the account data have been kept in strict accordance with rules; the mechanism of checks and balances is rigorous and effective; a business operations area has been established specially to realized isolated management, as well as audio and video supervision; business information has been kept by full-time personnel to avoid unwanted disclosure of information; automated operation has been realized in the business operations to prevent human-error accident from happening; the technical system is sophisticated and independent.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
(III) The Methods and Procedures for the Fund Custodian to Supervise Operations of the Fund by the Fund Manager
Through parameter setting, the Fund Custodian types in the investment proportion and investment types prohibited which are required by the Fund Law, the Measures for Operation, the Fund Contract and the Custodian Agreement into the supervision system. Every day the Fund Custodian shall log on the supervision system to supervise investment operations of the Fund Manager. In addition, the Fund Custodian shall supervise other acts of the Fund Manager through the Fund capital account and Investment Order of the Fund Manager.
When any abnormal transaction act of the Fund is observed, the Fund Custodian shall deal with such act with the following measures in accordance with the specific situation:
1. Telephone Reminder: The Fund Custodian will remind the Fund Manager through telephone of problems which have attracted a lot of attention of media and public opinions;
2. Written Warning: The Fund Custodian will remind the Fund Manager in writing of problems like insufficiency of money supply or the fact that the investment proportion of this Fund is nearly exceeding the standard;
3. Written Report: The Fund Custodian will remind the Fund Manager with written report of acts like investment proportion exceeding the standard, capital liquidation or overdraft, as well as other acts violating rules, and report the case to the CSRC.
III. Relevant Service Providers
(1) Fund Unit Sales Agency
1. Class A Fund Units Direct Sales Agency
The direct Sales Agency consists of the direct sales counters of the Company and its online direct sales trading platform (including website and mobile application, the same applies below).
Name of the Organization: Bank of Communications Schroder Fund Management Co., Ltd.
Domicile: 2nd Floor, Bank of Communications Tower, 188 Middle Yincheng Road, China (Shanghai) Pilot Free Trade Zone, Shanghai, P. R. China
Office Address: 21/F and 22/F, Two IFC, 8 Century Avenue, Pudong New Area, Shanghai
Legal Representative: RUAN Hong
Date of Establishment: August 4, 2005
Telephone: (021) 61055724
Fax: (021) 61055054
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Contact: FU Jing
Customer Service Hotline: 400-700-5000 (toll free for long-distance calls), (021) 61055000
Website: www.fund001.com
Individual Investors can open accounts, handle businesses like the Subscription, Redemption, Switching of Class A Fund units of the Fund and regular Pre-authorized Contribution, etc. through the online direct sales trading platform of the Company. For more details of the trading specifications, please refer to the website of the Company. Website of the online direct sales trading platform of the Company: www.fund001.com.
2. Mainland Authorized Distributors for Class A Fund units other than the Direct Sales Agency:
Other OTC Sales Agency for Class A Fund units apart from the Direct Sales Agency:
(1) Industrial and Commercial Bank of China Limited
Domicile: 55 Fuxingmennei Street, Beijing
Office Address: 55 Fuxingmennei Street, Beijing
Legal Representative: YI Hui Man
Customer Service Hotline: 95588
Website: www.icbc.com.cn
(2) Agricultural Bank of China Limited
Domicile: No. 69, Jianguomen Inner Street, Dongcheng District, Beijing
Office Address: East Tower, Chemsunny World Trade Centre, 28 Fuxingmen Inner Avenue, Xicheng District, Beijing, China
Legal Representative: ZHOU Mu Bing
Telephone: (010) 66060069
Fax: (010) 68121816
Contact: HE Qian
Customer Service Hotline: 95599
Website: www.abchina.com
(3) China Construction Bank Corporation
Domicile: 25 Jinrong Street, Xicheng District, Beijing
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office Address: 25 Jinrong Street, Xicheng District, Beijing
Legal Representative: TIAN Guo Li
Telephone: (010) 66275654
Fax: (010) 66275654
Customer Service Hotline: 95533
Website: www.ccb.com
(4) Bank of Communication Co., Ltd.
Domicile: 188 Middle Yincheng Road, Pudong New Area, Shanghai
Office Address: 188 Middle Yincheng Road, Pudong New Area, Shanghai
Legal Representative: PENG Chun
Telephone: (021) 58781234
Fax: (021) 58408483
Contact: CAO Rong
Customer Service Hotline: 95559
Website: www.bankcomm.com
(5) China Merchants Bank Co., Ltd.
Domicile: 7088 Shennan Road, Futian District, Shenzhen
Office Address: 7088 Shennan Road, Futian District, Shenzhen
Legal Representative: LI Jian Hong
Telephone: (0755) 83198888
Fax: (0755) 83195109
Contact: DENG Joing Peng
Customer Service Hotline: 95555
Website: www.cmbchina.com
(6) Bank of Shanghai Co., Ltd.
Domicile: 168 Middle Yincheng Road, Shanghai
Office Address: 168 Middle Yincheng Road, Shanghai
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: JIN Yu
Telephone: (021) 68475888
Fax: (021) 68476111
Contact: CHANG Ping
Customer Service Hotline: (021) 962888
Website: www.bankofshanghai.com
(7) China Guangfa Bank Co., Ltd.
Domicile: 713 East Dongfeng Road, Yuexiu District, Guangzhou
Legal Representative: YANG Ming Sheng
Contact: LI Xiao Peng
Customer Service Hotline: 800-830-8003, 400-830-8003
Website: www.gdb.com.cn
(8) China Citic Bank Co., Ltd.
Domicile: 9 Chaoyangmen North Avenue, Dongcheng District, Beijing
Office Address: 9 Chaoyangmen North Avenue, Dongcheng District, Beijing
Legal Representative: LI Qing Ping
Telephone: (010) 89936330
Fax: (010) 85230024
Contact: FENG Jing
Customer Service Hotline: 95558
Website: bank.ecitic.com
(9) China Minsheng Bank Co., Ltd.
Domicile: 2 Fuxingmennei Street, Xicheng District, Beijing
Office Address: 2 Fuxingmennei Street, Xicheng District, Beijing, China
Legal Representative: HONG Qi
Telephone: (010) 58560666
Fax: (010) 57092611
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: XU Ye
Customer Service Hotline: 95568
Website: www.cmbc.com.cn
(10) China Everbright Bank Co., Ltd.
Domicile: 25A China Everbright Center, 25 Taipingqiao Street, Xicheng District, Beijing
Office Address: 25A China Everbright Center, 25 Taipingqiao Street, Xicheng District, Beijing
Legal Representative: TANG Suang Ning
Telephone: (010) 68098778
Fax: (010) 68560661
Contact: LI Wei
Customer Service Hotline: 95595
Website: www.cebbank.com
(11) Bank of Ningbo Co., Ltd.
Domicile: 294 East Zhongshan Road, Jiang Dong District, Ningbo
Legal Representative: LU Hua Yu
Telephone: (021) 63586210
Fax: (021) 63586215
Contact: HU Ji Xun
Customer Service Hotline: 96528 (Shanghai region: 962528)
Website: www.nbcb.com.cn
(12) Bank of Beijing Co., Ltd.
Domicile: 17A First Floor, Jinrong Street, Xicheng District, Beijing
Office Address: 17A First Floor, Jinrong Street, Xicheng District, Beijing
Legal Representative: ZHANG Dong Ning
Telephone: (010) 66223584
Fax: (010) 66226045
Contact: KONG Chao
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Customer Service Hotline: 95526
Website: www.bankofbeijing.com.cn
(13) PingAn Bank Co., Ltd.
Domicile: 5047 East Shennan Road, Luohu District, Shenzhen City
Office Address: 5047 East Shennan Road, Shenzhen City, Guangdong Province
Legal Representative: XIE Yong Lin
Telephone: 0755-22166574
Fax: 0755-82080406
Contact: ZHAO Yang
Customer Service Hotline: 95511-3 or 95501
Website: bank.pingan.com
(14) Bank of Jiangsu Co., Ltd.
Domicile: 26 Zhonghua Road, Nanjing
Office Address: 26 Zhonghua Road, Nanjing
Legal Representative: XIA Ping
Telephone: (025) 58587018
Fax: (025) 58587038
Contact: TIAN Chun Hui
Customer Service Hotline: 95319
Website: www.jsbchina.cn
(15) HuaXia Bank Co., Ltd.
Domicile: No. 22, Jianguomen Inner Street, Dongcheng District, Beijing
Office Address: 22 Jianguomen Inner Street, Dongcheng District, Beijing, China
Legal Representative: LI Min Ji
Customer Service Hotline: 95577
Website: www.hxb.com.cn
(16) Bank of Hangzhou Co., Ltd.
17
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Domicile: Bank of Hangzhou Building, 46 Qingchun Road, Hangzhou
Office Address: Bank of Hangzhou Building, 46 Qingchun Road, Hangzhou
Legal Representative: CHEN Zhen Shan
Telephone: (0571) 85108195, 85120696
Fax: (0571) 86475527
Contact: YAN Jun, XIA fan
Customer Service Hotline: 96523
Website: www.hzbank.com.cn
(17) Jiangsu Changshu Rural Commercial Bank Co., Ltd.
Domicile: 58 New Century Avenue, Changshu City, Jiangsu Province
Office Address: 58 New Century Avenue, Changshu City, Jiangsu Province
Legal Representative: SONG Jian Ming
Telephone: (0512) 52909128
Fax: (0512) 52909122
Contact: HUANG Xiao
Customer Service Hotline: 962000
Website: www.csrcbank.com
(18) HSBC (China) Company Limited
Domicile: 22/F, HSBC Tower, Shanghai IFC, 8 Century Avenue, Shanghai
Office Address: 22/F, HSBC Tower, Shanghai IFC, 8 Century Avenue, Shanghai
Legal Representative: LIU Yi Jian
Telephone: (021) 38883888
Fax: (021) 23208550
Contact: XU Yi Fan
Customer Service Hotline: 400-820-8828, (021) 38888828
Website: www.hsbc.com.cn
(19) Dongguan Rural Commercial Bank Co., Ltd.
18
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Domicile: 2 East Hong Fu Road, Dongcheng District, Dongguan
Office Address: 2 East Hong Fu Road, Dongcheng District, Dongguan
Legal Representative: WANG Yao Qiu
Telephone: (0769) 22866254
Fax: (0769) 22866282
Contact: LIN Pei Shan
Customer Service Hotline: (0769) 961122
Website: www.drcbank.com
(20) Jiangsu Jiangnan Rural Commercial Bank Co., Ltd.
Domicile: 413 Middle Heping Road, Changzhou, Jiangsu
Office Address: 413 Middle Heping Road, Changzhou, Jiangsu
Legal Representative: LU Xiang Yang
Telephone: (0519) 80585939
Fax: (0519) 89995170
Contact: JIANG Jiao
Customer Service Hotline: 96005
Website: http://www.jnbank.com.cn
(21) Everbright Securities Co., Ltd.
Domicile: 1508 Xinzha Road, Jing'an District, Shanghai
Office Address: 1508 Xinzha Road, Jing'an District, Shanghai
Legal Representative: XUE Feng
Telephone: (021) 22169999
Fax: (021) 22169134
Contact: LIU Chen
Customer Service Hotline: 10108998
Website: www.ebscn.com
(22) Guotai Junan Securities Co., Ltd.
19
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Domicile: 618 Shangcheng Road, China (Shanghai) Pilot Free Trade Zone, Shanghai
Office Address: 29/F, Guotaijunan Building, 768 West Nanjing Road, Jingan District, Shanghai
Legal Representative: HE Qing
Telephone: (021) 38676666
Fax: (021) 38670666
Contact: ZHU Ya Wei
Customer Service Hotline: 95521/4008888666
Website: www.gtja.com
(23) China Securities (International) Finance Holding Co., Ltd.
Domicile: Building 4, 66 Anli Road, Chaoyang District, Beijing
Office Address: 188 Chaoyangmennei Street, Beijing
Legal Representative: WANG Chang Qin
Telephone: (010) 85130588
Fax: (010) 65182261
Contact: WEI Ming
Customer Service Hotline: 95587
Website: www.csc108.com
(24) Haitong Securities Co., Ltd.
Domicile: 98 Middle HuaiHai Road, Shanghai
Office Address: 689 Guangdong Road, Shanghai
Legal Representative: WANG Kai Guo
Telephone: (021) 23219000
Fax: (021) 23219100
Contact: LI Xiao Ming
Customer Service Hotline: 95553 or dial the service hot-line in the banking office of relevant cities
Website: www.htsec.com
20
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
(25) GF Securities Co., Ltd.
Domicile: Room 618, Tengfeiyi Street, Zhongxin Guangzhou Knowledge Center, Huangpu District, Guangzhou
Office Address: Guangfa Securities Building, 26 Machang Road, Tianhe District, Guangzhou
Legal Representative: SUN Shu Ming
Telephone: (020)66338888
Fax: (020) 87553600
Contact: MA Meng Jie
Customer Service Hotline: 95575
Website: www.gf.com.cn
(26) China Galaxy Securities Co., Ltd.
Domicile: Tower C, International Corporate Square, 35 Jinrong Street, Xicheng District, Beijing
Office Address: Tower C, International Corporate Square, 35 Financial Street, Xicheng District, Beijing
Legal Representative: CHEN Gong Yan
Telephone: (010) 83574507
Contact: XIN Guo Zheng
Customer Service Hotline: 400-888-8888
Website: www.chinastock.com.cn
(27) China Merchants Securities Co., Ltd.
Domicile: Futian Street, 111 Fuhua Road, Futian District, Shenzhen
Office Address: 38-45/F, Tower A, Jiangsu Tower, Yitian Road, Futian District, Shenzhen
Legal Representative: HUO Da
Telephone: (0755) 82943666
Fax: (0755) 82943636
Contact: HUANG Chan Jun
Customer Service Hotline: 400-8888-111, 95565
21
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Website: www.newone.com.cn
(28) Xingye Securities Co., Ltd.
Domicile: 268 Hudong Road, Fuzhou
Office Address: 36 Changliu Road, Pudong New Area, Shanghai
Legal Representative: YANG Hua Hui
Telephone: (021) 38565547
Contact: QIAO Lin Xue
Customer Service Hotline: 95562
Website: www.xyzq.com.cn
(29) CITIC Securities Co., Ltd.
Domicile: Zhuoyue Time Square (2nd Phase) North Wing, 8 Center Third Road, Shenzhen City, Guangdong Province
Office Address: Citic Securities Building, 48 Liangmaqiao Road, Chaoyang District, Beijing
Legal Representative: ZHANG You Jun
Telephone: 010 60838888
Customer Service Hotline: 95548
Website: www.cs.ecitic.com
(30) Shenwan Hongyuan Securities Co., Ltd.
Domicile: 45/F, The Center, 989 Changle Road, Xuhui District, Shanghai
Office Address: 45/F, The Center, 989 Changle Road, Xuhui District, Shanghai
Legal Representative: YANG Yu Cheng
Telephone: (021) 33389888
Contact: LI Qing Yi
Customer Service Hotline: 95523/ 400-889-0562
Website: www.sywg.com
(31) Xiangcai Securities Co., Ltd.
Domicile: 12/F, Zhongshan International Building, 63 Middle Huangxing Road, Changsha City, Hunan Province
22
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office Address: 11/F, Biaozhi Business Center, 198 Middle Xiangfu Road, Tianxin District, Changsha
Legal Representative: LIN Jun Bo
Telephone: (021) 68634518
Fax: (021) 68865680
Contact: ZHONG Kang Ying
Customer Service Number: 400-888-1551
Website: www.xcsc.com
(32) Guodu Securities Co., Ltd.
Domicile: 9/F, 10/F, Guohua Investment Building, 3 South Dongzhimen Street, Dongcheng District, Beijing
Office Address: 9/F, 19/F, Guohua Investment Building, 3 South Dongzhimen Street, Dongcheng District, Beijing
Legal Representative: WANG Shao Hua
Customer Service Hotline: 400-818-8118
Website: www.guodu.com
(33) Huatai Securities Co., Ltd.
Domicile: 228 Middle Jiangdong Road, Nanjing, Jiangsu Province
Office Address: Huatai Securities Plaza, 228 Middle Jiangdong Road, Jianye District, Nanjing, Jiangsu Province
Legal Representative: ZHANG Wei
Telephone: (0755) 82492193
Fax: (0755) 82493962
Contact: HU Zi Hao
Customer Service Hotline: 95597
Website: www.htsc.com.cn
(34) BOCI International (China) Limited
Domicile: 39/F, 200 Middle Yincheng Road, Shanghai
23
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office Address: 39 - 40/F, Zhongyin Building, 200 Middle Yincheng Road, Pudong New Area, Shanghai
Legal Representative: XU Gang
Contact: LI Dan
Customer Service Hotline: 400-620-8888
Website: www.bocichina.com
(35) CITIC Securities (Shandong) Co., Ltd.
Domicile: Room 2001, No.1 Building, 222 Shenzhen Road, Lao Shan District, Qingdao
Office Address: 5/F, East Wing of Longxiang Plaza, 28 Donghai Road, Shinan District, Qingdao
Legal Representative: JIANG Xiao Lin
Telephone: 0531-89606166
Fax: 053285022605
Contact: JIAO Gang
Customer Service Hotline: 95548
Website: sd.citics.com
(36) Hengtai Securities Co., Ltd.
Domicile: 111 East Xinhua Street, Xincheng District, Hohhot City, Inner Mongolia
Office Address: 111 East Xinhua Street, Xincheng District, Hohhot City, Inner Mongolia
Legal Representative: PANG Jie Min
Telephone: (0471) 4979037
Fax: (0471) 4961259
Contact: WANG Xu Hua
Customer Service Hotline: (0471) 4960762, (021) 68405273
Website: www.cnht.com.cn
(37) Guosen Securities Co., Ltd.
Domicile: 16-26/F, Guosen Securities Building, 1012 Middle Hongling Road, Luohu District, Shenzhen
24
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office Address: 16-26/F, Guosen Securities Building, 1012 Middle Hongling Road, Luohu District, Shenzhen
Legal Representative: HE Ru
Telephone: (0755) 82130833
Fax: (0755) 82133952
Contact: ZHOU Yang
Customer Service Hotline: 95536
Website: www.guosen.com.cn
(38) Guoyuan Securities Co., Ltd.
Domicile: 179 Shouchun Road, Hefe City, Anhui Province
Office Address: 179 Shouchun Road, Hefe City, Anhui Province
Legal Representative: FENG Liang Zhi
Customer Service Hotline: 400-8888-777
Website: www.gyzq.com.cn
(39) Northeast Securities Co., Ltd.
Domicile: 1138 Freedom Road, Changchun, Jilin
Office Address: 1138 Freedom Road, Changchun, Jilin
Legal Representative: QIAO Zheng Zhong
Telephone: (0431) 85096709
Contact: PAN Kai
Customer Service Hotline: 4006000686, (0431) 85096733
Website: www.nesc.cn
(40) AVIC Securities Co., Ltd.
Domicile: 41/F, Tower A, Nanchang International Financial Building, 1619 Middle Honggu Avenue, New Honggutan District, Nanchang
Office Address: 41/F, Tower A, Nanchang International Financial Building, 1619 Middle Honggu Avenue, New Honggutan District, Nanchang
Legal Representative: DU Hang
25
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Telephone: (0791) 86768681
Fax: (0791) 86770178
Contact: DAI Lei
Customer Service Hotline: 400-8866-567
Website: www.avicsec.com
(41) Anxin Securities Co., Ltd.
Domicile: 35/F, Unit A02 28/F, Anlian Mansion, 4018 Jintian Road, Futian District, Shenzhen
Office Address: 35/F, Unit A02 28/F, Anlian Mansion, 4018 Jintian Road, Futian District, Shenzhen
Legal Representative: WANG Lian Zhi
Telephone: (0755) 82558305
Fax: (0755) 82558355
Contact: CHEN Jian Hong
Customer Service Hotline: 400-800-1001
Website: www.essence.com.cn
(42) Shenwan Hongyuan Securities (Western) Co., Ltd.
Domicile: 2 Jianshe Road, Urumqi, Xinjiang
Office Address: Hong Yuan Securities Building, 19 Taipingqiao Avenue, Xicheng District, Beijing
Legal Representative: FENG Rong
Telephone: (010) 88085858
Fax: (010) 88085195
Contact: LI Wei
Customer Service Hotline: 4008-000-562
Website: www.hysec.com
(43) Changjiang Securities Co., Ltd.
Domicile: Changjiang Securities Building, 8 Xinhua Road, Wuhan
Office Address: Changjiang Securities Building, 8 Xinhua Road, Wuhan
26
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: HU Yuan Zhao
Telephone: (027) 65799999
Fax: (027) 85481900
Contact: LI Liang
Customer Service Hotline: 95579 or 4008-888-999
Website: www.95579.com
(44) Tebon Securities Co., Ltd.
Domicile: 9/F, South Building, 510 Caoyang Road, Putuo District, Shanghai
Office Address: 26/F, UC Tower, 500 Fushan Road, Shanghai
Legal Representative: YAO Wen Ping
Telephone: (021) 68761616
Fax: (021) 68767981
Customer Service Hotline: 4008-888-128
Website: www.tebon.com.cn
(45) Zhongtai Securities Co., Ltd.
Domicile: 86 Jingqi Road, Shizhong District, Jinan, Shandong
Office Address: 86 Jingqi Road, Shizhong District, Jinan, Shandong
Legal Representative: LI Wei
Telephone: (0531) 68889155
Fax: (0531) 68889752
Contact: XU Man Hua
Customer Service Number: 95538
Website: www.zts.com.cn
(46) Jianghai Securities Co., Ltd.
Domicile: 56 Ganshui Road, Xiangfang District, Harbin, Heilongjiang
Legal Representative: SUN Ming Yang
Telephone: (0451) 85863719
27
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Fax: (0451) 82287211
Contact: LIU Shuang
Customer Service Hotline: 400-666-2288
Website: www.jhzq.com.cn
(47) Ping An Securities Co., Ltd.
Domicile: 8/F, Great China International Exchange Square Podium Building, Jintian Road, Futian District, Shenzhen
Office Address: 8/F, Great China International Exchange Square Podium Building, Jintian Road, Futian District, Shenzhen
Legal Representative: YANG Yu Xiang
Telephone: (0755) 22627802
Fax: (0755) 82400862
Contact: ZHENG Shu Li
Customer Service Hotline: 95511-8
Website: www.pingan.com
(48) Great Wall Glory Securities Co., Ltd.
Domicile: 17/F, Fulian Building, 2 West Lianqian Road, Xiamen, Fujian
Office Address: 17/F, Fulian Building, 2 West Lianqian Road, Xiamen, Fujian
Legal Representative: WANG Rong
Telephone: (0592) 5161642
Fax: (0592) 5161640
Contact: ZHAO Qin
Customer Service Hotline: (0592) 5163588
Website: www.xmzq.cn
(49) Hwabao Securities Co., Ltd.
Domicile: 27/F, Mirae Asset Tower, 166 Lujiazui Ring Road, Shanghai, China
Office Address: 57/F, Shanghai Global Financial Center, 100 Century Avenue, Pudong New District, Shanghai
28
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: CHEN Lin
Telephone: (021) 68777222
Fax: (021) 68777822
Contact: ZHAO Jie
Customer Service Hotline: 400-820-9898
Website: www.cnhbstock.com
(50) UBS Securities Co., Ltd.
Domicile: 12/F, 15/F, Winland International Financial Center, 7 Jinrong Street, Xicheng District, Beijing
Office Address: 12/F, 15/F, Winland International Financial Center, 7 Jinrong Street, Xicheng District, Beijing
Legal Representative: CHENG Yi Sun
Telephone: (010) 58328112
Fax: (010) 58328740
Contact: MOU Chong
Customer Service Hotline: 400-887-8827
Website: www.ubssecurities.com
(51) Aijian Securities Co., Ltd.
Domicile: 24/F, 758 West Nanjing Road, Shanghai
Office Address: 32/F, 1600 Century Avenue, Pudong New District, Shanghai
Legal Representative: ZHANG Jian Hua
Telephone: (021) 32229888
Fax: (021) 68728703
Contact: CHEN Min
Customer Service Hotline: (021) 63340678
Website: www.ajzq.com
(52) Great Wall Securities Co., Ltd.
Domicile: 14/F, 16/F, 17/F, Special Zone Press Tower, 6008 Shennan Road, Futian District,
29
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Shenzhen
Legal Representative: HUANG Yao Hua
Telephone: (0755) 83516289
Fax: (0755) 83516199
Contact: KUANG Ting
Customer Service Hotline: (0755) 33680000, 400-6666-888
Website: www.cc168.com.cn
(53) China Minzu Securities Co., Ltd.
Domicile: 6-9/F, Tower A, Xinsheng Building, 5 Jinrong Street, Xicheng District, Beijing
Office Address: 6-9/F, Tower A, Xinsheng Building, 5 Jinrong Street, Xicheng District, Beijing
Legal Representative: ZHAO Da Jian
Customer Service Number: 400-889-5618
Website: www.e5618.com
(54) Sinolink Securities Co., Ltd.
Domicile: 95 Upper Dongchenggen Street, Chengdu, Sichuan Province
Office Address: 95 Upper Dongchenggen Street, Chengdu
Legal Representative: RAN Yun
Telephone: (028) 86690057, (028) 86690058
Fax: (028) 86690126
Contact: LIU Jing Yi, GU Peng
Customer Service Hotline: 95310
Website: www.gjzq.com.cn
(55) Founder Securities Co., Ltd.
Domicile: 22-24/F, Huaqiao International Building, 2 Middle Furong Road, Changsha, Hunan
Office Address: 22-24/F, Huaqiao International Building, 2 Middle Furong Road, Changsha, Hunan
Legal Representative: LEI Jie
30
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Telephone: (0731) 85832343
Fax: (0731) 85832342
Contact: XU Jin Fu
Customer Service Hotline: 95571
Website: www.foundersc.com
(56) Bohai Securities Co., Ltd.
Domicile: Unit 101, 42 Office Building, Second Avenue, Tianjin Economic and Technological Development Zone
Office Address: 8 West Binshui Road, Nankai District, Tianjin
Legal Representative: WANG Chun Feng
Telephone: (022) 28451861
Fax: (022) 28451892
Contact: CAI Ting
Customer Service Hotline: 400-651-5988
Website: www.bhzq.com
(57) Cinda Securities Co., Ltd.
Domicile: Cinda Financial Center Building 1, Yard 9, Naoshikou Street, Xicheng District, Beijing
Office Address: Cinda Financial Center Building 1, Yard 9, Naoshikou Street, Xicheng District, Beijing
Legal Representative: ZHANG Zhi Gang
Telephone: (010) 63081000
Fax: (010) 63081344
Contact: YIN Xu Hang
Customer Service Hotline: 95321
Website: www.cindasc.com
(58) Orient Securities Co., Ltd.
Domicile: 22/F - 29/F, Building 2, 318 South Zhongshan Road, Shanghai
31
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: WANG Yi Min
Telephone: (021) 63325888
Fax: (021) 63326173
Contact: WU Yu
Customer Service Hotline: 95503
Website: www.dfzq.com.cn
(59) Southwest Securities Co., Ltd.
Domicile: 8 Qiaobei Yard, Jiangbei District, Chongqing
Office Address: Southwest Securities Co., Ltd., 8 Qiaobei Yard, Jiangbei District, Chongqing
Legal Representative: WU Jian
Telephone: (023) 63786141
Fax: (023) 63786212
Contact: ZHANG Yu
Customer Service Hotline: 95355, 400-809-6096
Website: www.swsc.com.cn
(60) China Dragon Securities Co., Ltd.
Domicile: Lanzhou Fortune Center, 638 West Donggang Road, Chengguan District, Lanzhou
Office Address: Lanzhou Fortune Center, 638 West Donggang Road, Chengguan District, Lanzhou
Legal Representative: LI Xiao An
Telephone: (0931) 4890208
Fax: (0931) 4890628
Contact: LI Xin Tian
Customer Service Hotline: 4006898888, (0931) 4890208
Website: www.hlzqgs.com
(61) Dongxing Securities Co., Ltd.
Domicile: 12-15/F, Tower B, Xinsheng Building, 5 Jinrong Street, Xicheng District, Beijing
32
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: XU Yong Li
Telephone: (010) 66555316
Fax: (010) 66555246
Contact: TANG Manchuan
Customer Service Hotline: 400-8888-993
Website: www.dxzq.net
(62) Huafu Securities Co., Ltd
Domicile: 7/F, 8/F, Xintiandi Building, 157 Wusi Road, Fuzhou
Office Address: 7-10/F, Xintiandi Building, 157 Wusi Road, Fuzhou
Legal Representative: HUANG Jin Lin
Telephone: (0591) 87383623
Fax: (0591) 87383610
Customer Service Hotline: (0591) 96326
Website: www.hfzq.com.cn
(63) China CICC Wealth Management Securities Co., Ltd.
Domicile: 18-21/F & Unit 01, 02, 03, 05, 11, 12, 13, 15, 16, 18, 19, 20, 21, 22, 23, 4/F, Tower A, Rongchao Commercial Center, Junction of Yitian Road and Fuzhong Road, Futian District, Shenzhen
Office Address: 04/F, 18-21/F, Tower A, Rongchao Commercial Center, 6003 Yitian Road, Futian District, Shenzhen
Legal Representative: GAO Tao
Telephone: (0755) 88320851
Contact: HU Zhi Jing
Customer Service Hotline: 95532 / 400-600-8008
Website: www.ciccwm.com
(64) Huarong Securities Co., Ltd.
Domicile: 8 Jinrong Street, Xicheng District, Beijing
Office Address: 8 Jinrong Street, Xicheng District, Beijing
33
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: SONG De Qing
Telephone: (010) 58568235
Fax: (010) 58568062
Contact: HUANG Heng
Customer Service Hotline: (010) 58568118
Website: www.hrsec.com.cn
(65) Central China Securities Co., Ltd.
Domicile: 10 Business Outer Ring Road, Zhengdong New District, Zhengzhou
Office Address: 10 Business Outer Ring Road, Zhengdong New District, Zhengzhou
Legal Representative: JIAN Ming Jun
Telephone: 0371- 69099881/2
Contact: CHENG Yue Yan, LI Pan Pan
Customer Service Hotline: 95377
Website: http://www.ccnew.com
(66) First Capital Securities Co., Ltd.
Domicile: 25th and 26th Floor, Block B, Zhongmin Times Square, No. 12 Sungang Road, Luohu District, Shenzhen, China
Office address: 25th and 26th Floor, Block B, Zhongmin Times Square, No. 12 Sungang Road, Luohu District, Shenzhen, China
Legal representative: LIU Xue Min
Telephone: (0755) 25832852
Fax: (0755) 25831718
Contact: CUI Guo Liang
Customer Service Hotline: 4008881888
Website: www.firstcapital.com.cn
(67) Dongguan Securities Co., Ltd.
Domicile: 1 South Keyuan Road, Guancheng District, Dongguan, Guangdong
Office Address: 1 South Keyuan Road, Guancheng District, Dongguan, Guangdong
34
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Telephone: (0769) 22115712
Fax: (0769) 22115712
Contact: LI Rong
Customer Service Hotline: 95328
Website: www.dgzq.com
(68) Eastmoney Securities Co., Ltd.,
Domicile: No.10 Building, International Headquarter Center, Liuwu New District, Lhasa City, Tibet
Office Address: Jintai Oriental Fortune Building, 88 Wanping South Road, Xuhui District, Shanghai
Legal representative: XU Wei Qin
Telephone: (021) 23586603
Fax: (021) 23586860
Contact: FU Jia
Customer Service Hotline: 95357
(69) CITIC Futures Co., Ltd.
Domicile: Rm 1301-1305 & 14/F, North Tower, Excellence Times Plaza (Phase II), 3rd Zhong Xin Road No. 8, Futian District, Shenzhen
Office Address: Rm 1301-1305 & 14/F, North Tower, Excellence Times Plaza (Phase II), 3rd Zhong Xin Road No. 8, Futian District, Shenzhen
Legal Representative: ZHANG Hao
Telephone: 010-60833754
Fax: 021-60819988
Contact: LIU Hong Ying
Customer Service Hotline: 400-900-8826
Website: www.citicsf.com
(70) China International Capital Corp., Ltd.
Domicile: 27/F & 28/F, Tower 2, China World Trade Center, 1 Jianguomen Outer Street, Beijing, China
35
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office Address: 27/F & 28/F, Tower 2, China World Trade Center, 1 Jianguomen Outer Street, Beijing, China
Legal Representative: BI Ming Jian
Telephone: (010) 65051166
Fax: (010) 65058065
Contact: YANG Han Yu
Website: www.cicc.com.cn
(71) Lianxun Securities Co., Ltd.
Domicile: 1/F & 3/F, 4/F West Radio and Television News Center, 55 Donjiang San Road, Jiangbei Street, Huicheng District, Huizhou
Office Address: 1/F & 3/F, 4/F West Radio and Television News Center, 55 Donjiang San Road, Jiangbei Street, Huicheng District, Huizhou
Legal Representative: XU Gang
Telephone: (021) 33606736
Fax: (021) 33606760
Contact: CHEN Si
Customer Service Hotline: 95564
Website: www.lxzq.com.cn
(72) Huaxi Securities Co. Ltd
Domicile: Huaxi Securities Building, No. 198 Two Tianfu Street, Gao Xin District, Chengdu, Xichuan Province
Office Address: Huaxi Securities Building, No. 198 Two Tianfu Street, Gao Xin District, Chengdu, Xichuan Province
Legal Representative: YANG Jiong Yang
Telephone: (028) 86135991
Fax: (028) 86150400
Contact: ZHOU Zhi Ru
Customer Service Hotline: 95584
Website: www.hx168.com.cn
36
BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
(73) Tianxiang Investment Consulting Co., Ltd.
Domicile: 701, Tower B, Fukai Building, 19 Jinrong Street, Xicheng District, Beijing
Office Address: 5/F, Tower C, 28 Xinjiekou Outer Street, Xicheng District, Beijing
Legal Representative: LIN Yi Xiang
Telephone: (010) 66045529
Fax: (010) 66045518
Contact: YIN Ling
Customer Service Hotline: (010) 66045678
Website: http://www.txsec.com, www.jjm.com.cn
(74) Ant (Hangzhou) Fund Sales Co., Ltd.
Domicile: No.2 East Haishu Road, Cangqian Street, Yuhang District, Hangzhou
Office Address: 12/F, Hang Seng Building, 3588 Jiangnan Road, Binjiang District, Hangzhou, Zhejiang Province
Legal Representative: CHEN Bo Qing
Telephone: (0571) 28829790, (021) 60897869
Fax: (0571) 26698533
Contact: ZHOU Yan Min
Customer Service Hotline: 4000-766-123
Website: www.fund123.cn
(75) Shenzhen Zhong Lu Fund Sales Co., Ltd.
Domicile: 8/F, Landmark Building Materials Holdings, Liyuan Road, Luohu District, Shenzhen
Office Address: 8/F, Landmark Building Materials Holdings, Liyuan Road, Luohu District, Shenzhen
Legal Representative: XUE Feng
Telephone: (0755) 33227953
Fax: (0755) 33227951
Contact: TANG Su Ya
Customer Service Hotline: 4006-788-887
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Website: www.zlfund.cn, www.jjmmw.com
(76) Shanghai E-Rich Fund Sales Investment Consulting Co., Ltd.
Domicile: Unit 220, Building 2, 526 Gaoxiang Road, Pudong New Area, Shanghai
Office Address: 16/F, Tower B, Yujing International Plaza, 555 Pudong Avenue, Pudong New Area, Shanghai
Legal Representative: ZHANG Yue Wei
Telephone: (021) 20691832
Fax: (021) 20691861
Contact: SHAN Bing Ye
Customer Service Number: 400-820-2899
Website: www.erichfund.com
(77) Shanghai EHowBuy Wealth Management Co., Ltd.
Domicile: Unit 449, Building 4, 37 Lane 685, Changzhong Road, Hongkou District, Shanghai
Office Address: Unit 903-906, Ordos International Building, 1118 Pudong South Road, Pudong New Area, Shanghai
Legal Representative: YANG Wen Bin
Fax: (021) 68596916
Contact: XUE Nian
Customer Service Hotline: 400-700-9665
Website: www.ehowbuy.com
(78) Noah Upright (Shanghai) Fund Sales Investment Consulting Co., Ltd.
Domicile: Unit 3724, 9 Lane 360, Fei Hong Road, Hongkou District, Shanghai
Office Address: 2/F, Building C, 32 Qing Huang Dao Road, Yangpu District, Shanghai
Legal Representative: WANG Jing Bo
Telephone: (021) 38600735
Fax: (021) 38509777
Contact: FANG Cheng
Customer Service Hotline: 400-821-5399
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Website: www.noah-fund.com
(79) Hexun Information Technology Co., Ltd.
Domicile: 10/F, Pan-Lee Building, 22 Chaowai Street, Chaoyang District, Beijing
Office Address: 10/F, Pan-Lee Building, 22 Chaowai Street, Chaoyang District, Beijing
Legal Representative: WANG Li
Telephone: (021) 20835789
Fax: (021) 20835879
Contact: ZHOU Yi
Customer Service Hotline: 4009200022
Website: http://licaike.hexun.com/
(80) Shanghai Tiantian Fund Sales Co., Ltd.
Domicile: 2/F, Building 2, 190 Longtian Road, Xuhui District, Shanghai
Office Address: 10/F, Tower 3C, 195 Longtian Road, Xuhui District, Shanghai
Legal Representative: QI Shi
Telephone: (021) 54509998
Fax: (021) 64385308
Contact: FAN Shi You
Customer Service Hotline: 400-1818-188
Website: www.1234567.com.cn
(81) Beijing Qianjing Wealth Investment Management Co., Ltd
Domicile: 1008-1012, 9/F, Building 1, Tower 6, Danling Road, Haidian District, Beijing
Office Address: 1008-1012, 9/F, Building 1, Tower 6, Danling Road, Haidian District, Beijing
Legal Representative: ZHAO Rong Chun
Telephone: (010) 57418829
Fax: (010) 57569671
Contact: WEI Zheng
Customer Service Hotline: 400-678-5095
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Website: www.niuji.net
(82) Shenzhen New Land Securities Investment Consulting Co., Ltd.
Domicile: Unit 1006, 10/F, 4 Building, Seg Science and Technology Park, Huaqiangbei Road, Futian District, Shenzhen
Office Address: 9/F, Tower C, International Enterprise Building, 35 Jinrong Street, Xicheng District, Beijing
Legal Representative: CHEN Cao
Telephone: (010) 58325395
Fax: (010) 58325282
Contact: LIU Bao Wen
Customer Service Hotline: 400-850-7771
Website: https://8.jrj.com.cn/
(83) Beijing Zhanheng Fund Sales Co., Ltd.
Domicile: 6 An Fu Street, Houshayu Town, Shunyi District, Beijing
Office Address: 2/F, Youdian News Plaza, 15-1 Anyuan Road, Chaoyang District, Beijing
Legal Representative: YAN Zhen Jie
Telephone: (010) 59601366-7024
Fax: (010) 62020355
Contact: MA Lin
Customer Service Hotline: 400-888-6661
Website: www.myfund.com
(84) Yilu Fortune (Beijing) Information Technology Co., Ltd.
Domicile: 702, Tower C, Building 5, 9 Chegongzhuang Street, Xicheng District, Beijing
Office Address: 2208, 22/F, Tower A, Wan Tong New World Plaza, 2 Fuchengmen Outer Street, Xicheng District, Beijing
Legal Representative: WU Xue Hua
Telephone: (010) -88312877
Fax: 010-88312099
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Contact: SU Hao
Customer Service Hotline: 400-001-1566
Website: http://www.yilucaifu.com/
(85) Shanghai DZH Fund Sales Ltd.
Domicile: 10 - 11/F, Building 1, 428 South Yanggao Road, Pudong New Area, Shanghai
Office Address: 10 - 11/F, Building 1, 428 South Yanggao Road, Pudong New Area, Shanghai
Legal Representative: SHEN Jian
Telephone: (021) 0219988-35374
Fax: (021) 20219923
Contact:ZHANG Ting
Customer Service Hotline: (021) 20219931
Website: https://www.gw.com.cn
(86) Shanghai LianTai Asset Management Co., Ltd.
Domicile: 310, 3/F, 277 North Fute Road, China (Shanghai) Pilot Free Trade Zone, Shanghai
Office Address: 3/F, Block 8, 518 North Fuquan Road, Changning District, Shanghai
Legal Representative: YAN Bin
Telephone: (021) 52822063
Fax: (021) 52975270
Contact: LING Qiu Yan
Customer Service Hotline: 4000-466-788
Website: www.66zichan.com
(87) Yixin Fund (Beijing) Investment Consultants Co. Ltd.
Domicile: Unit 1809, 15/F, Building No. 9, 88 Jianguo Road, Chaoyang District, Beijing
Office Address: Unit 1809, Tower C, SOHO Modern City, 88 Jianguo Road, Chaoyang District, Beijing
Legal Representative: SHEN Wei Hua
Telephone: (010) 52855713
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Fax: (010) 85894285
Contact: CHENG Gang
Customer Service Hotline: 400-6099-200
Website: www.yixinfund.com
(88) Zhejiang Tong Hua Shun Fund Sales Company Limited
Domicile: Unit 903, Yuan Mao Building, 1 Wen’erxi Road, Hangzhou City, Zhejiang Province
Office Address: 2/F, Tower 2, E-commerce Industrial Park, 7 Cuibo Road, Xihu District, Hangzhou City, Zhejiang Province
Legal Representative: LING Shun Ping
Telephone: (0571) 88911818
Fax: (0571) 86800423
Contact: WU Qiang
Customer Service Hotline: 400-877-3772
Website: www.5ifund.com
(89) Shanghai Ji Yu Fund Sales Co., Ltd
Domicile: Room 6153, Building No.2 of No.1800, Panyuan Road, Changxing town, Chongming country, Shanghai (Shanghai Taihe Economic Development Area)
Office Address: Room A1002 - Room A1003 Beimei Square, 518 Kunming Road, Shanghai
Legal Representative: WANG Xiang
Telephone: (021) 35385521
Fax: (021) 55085991
Contact: LAN Jie
Customer Service Hotline: 400-820-5369
Website: www.jiyufund.com.cn
(90) Zhu Hai Ying Mi Asset Management Co., Ltd.
Domicile: Room 105-3491, No.6 Bao Hua Road, Hengqin District, Zhuhai
Office Address: Unit Nos. B1201 to 1203, Level 12, Tower B, Poly International Plaza, No.1 Pazhou Avenue East, Haizhu District, Guangzhou
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: XIAO Wen
Telephone: (020) 89629099
Fax: (020) 89629011
Contact: HUANG Min Chang
Customer Service Hotline: (020) 89629066
Website: www.yingmi.cn
(91) Shanghai Lu Jin Suo Asset Management Co., Ltd.
Domicile: Unit 09, 14/F, No. 1333 Lujiazui Ring Road, Pudong New Area, Shanghai
Office Address: 14/F, No. 1333 Lujiazui Ring Road, Pudong New Area, Shanghai
Legal Representative: QUO Jian
Telephone: (021) 20665952
Fax: (021) 22066653
Contact: NING Bo Yu
Customer Service Hotline: 4008219031
Website: www.lufunds.com
(92) Beijing Hong Dian Fund Sales Co., Ltd.
Domicile: Unit 222, 2/F, A2 North Worker’s Stadium Road, Chaoyang District, Beijing
Office Address: Unit 222, 2/F, A2 North Worker’s Stadium Road, Chaoyang District, Beijing
Legal Representative: HU Wei
Telephone: (010) 65951887
Fax: (010) 65951887
Contact: JIANG Ying
Customer Service Hotline: 400-618-0707
Website: www. hongdianfund.com/
(93) Shanghai VStone Fund Sales Co., Ltd.
Domicile: Room 602-115, 765 South Xizang Road, Huangpu, Shanghai
Office Address: 4/F VStone Tower, 1 YanAn Road (East), Huangpu, Shanghai
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Legal Representative: CHEN Ji Wu
Telephone: (021) 63333319
Fax: (021) 63332523
Contact: LI Xiao Ming
Customer Service Hotline: 4000 178 000
Website: www.lingxianfund.com
(94) Shanghai Leadbank Fund Sales Co., Ltd.
Domicile: 12/F, 10 Lujiazui Software Park, No.61 Lane 91, Eshan Road, Pudong New District, Shanghai
Office Address: 12/F, 10 Lujiazui Software Park, No.61 Lane 91, Eshan Road, Pudong New District, Shanghai
Legal Representative: SHEN Ji Wei
Telephone: (021) 50583533
Fax: (021) 50583633
Contact: XU Peng
Customer Service Hotline: 400-005-6355
Website: a.leadfund.com.cn
(95) Beijing Hui Cheng Fund Sales Co., Ltd.
Domicile: 1108, 11/F, 11 Zhong Guancun Street, Danling Road, Haidian District, Beijing
Office Address: 1108, 11/F, 11 Zhong Guancun Street, Danling Road, Haidian District, Beijing
Legal Representative: WANG Wei Gang
Telephone: (010) 56282140
Fax: (010) 62680827
Contact: DING Xiang Kun
Customer Service Hotline: 400-619-9059
Website: www.fundzone.cn, www.51jijinhui.com
(96) Beijing Hang Tian Ming Ze Fund Sales Co., Ltd.
Domicile: Room 5122, 5/F, 10 North Hong Da Road, Economic and Technological
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Development Zone, Beijing
Office Address: Room 3001, 30/F, SOHO Nexus Center, No 19A East Third Ring Road North, Chaoyang District, Beijing
Legal Representative: LI Yue
Telephone: (010) 56642600
Fax: (010) 56642623
Contact: ZHANG Ye
Customer Service Hotline: 4007868868
Website: www.chtfund.com
(97) iFAST Fund Sales Co., Ltd
Domicile: Rm. 201, Block A, Shenzhen Qianwan 1st Road, Qianhai Shenzhen - Hong Kong Cooperation Zone, Shenzhen (settled in Shenzhen Qianhai Secretary of Commerce Co., Ltd)
Office Address: Suite 1704, 17th Floor, Hangtai Technology Plaza, Haide Third Road, Nanshan District, Shenzhen
Legal Representative: TEO WEE HOWE
Telephone: (0755) 89460500
Fax: (0755) 21674453
Contact: YE Jian
Customer Service Hotline: 400-684-0500
Website: www.ifastps.com.cn
(98) Beijing Tang Ding Yaohua Investment Consulting Co., Ltd.
Domicile: Room 236, Building 2, No. 10, Baiquan Street, Yanqing Economic Development Zone, Yanqing County, Beijing
Office Address: 38th Floor, Taikang Financial Center, No.1, No. 38, East 3rd Ring North Road, Chaoyang District, Beijing
Legal Representative: ZHANG Guanyu
Telephone: (010) 85870662
Fax: (010) 59200800
Contact: LIU Meiwei
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Customer Service Hotline: 400-819-9868
Website: www.tdyhfund.com
(99) Skylinkage Wealth and Investment Management Co., Ltd.
Domicile: Room 215A, Zhongshui Building, 31 Minfeng Hutong, Xicheng District, Beijing
Office Address: Room 712, Complex Building A, China Economic Press, 2 East Baizhifang Road, Xicheng District, Beijing
Legal Representative: LIANG Rong
Telephone: (010) 66154828
Fax: (010) 63583991
Contact: LI Ting Ting
Customer Service Hotline: 400-6262-818
Website: www.5irich.com
(100) Rifa Asset Management (Shanghai) Co., Ltd.
Domicile: Room 3301, BEA Finance Tower, 66 Hua Yuan Shi Qiao Road, Lujiazui, Shanghai
Office Address: Room 3301, BEA Finance Tower, 66 Hua Yuan Shi Qiao Road, Lujiazui, Shanghai
Legal Representative: ZHOU Quan Gong
Telephone: (021) 61600500
Fax: (021) 61600602
Contact: CAI Xiao Wei
Customer Service Hotline: 400-021-1010, (021) 61600500
Website: www.rffund.com
(101) Shanghai Yun Wan Investment & Management Co., Ltd.
Domicile: 2/F, Building 13, 27 Xin Jin Qiao Road, China (Shanghai) Pilot Free Trade Zone, Shanghai, 200127
Office Address: 6/F, Building 6, 308 Jin Kang Road, Shanghai
Legal Representative: DAI Xin Zhuang
Telephone: (021) 20538888
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Fax: (021) 20538999
Contact: JIANG Hui
Customer Service Hotline: 400-820-1515
Website: www.zhengtongfunds.com
(102) China Securities Jinniu (Beijing) Investment Consulting Co., Ltd.
Domicile: Room 2-45, Building 2, 1 Tongguantou, Fengtai District, Beijing
Office Address: 5/F, Tower A, GFNC, A1 Xuanwumenwai Avenue, Xicheng District, Beijing
Legal Representative: QIAN Hao Min
Telephone: (010) 59336533
Fax: (010) 59336500
Contact: MENG Han Xiao
Customer Service Hotline: 4008-909-998
Website: www.jnlc.com
(103) Beijing Keterui Fund Sales Co., Ltd.
Domicile: Room 157, No. 17, No. 12, Building Materials City Middle Road, Xisanqi, Haidian District, Beijing
Office Address: 15th Floor, Block A, Jingdong Group Headquarters, No. 18, Kechuang 11th Street, Yizhuang Economic and Technological Development Zone, Tongzhou District, Beijing
Legal Representative: WANG Su Ning
Telephone: 95118
Fax: 010-89189566
Contact: LI Dan
Customer Service Hotline: 4000-888-080
Website: kenterui.jd.com
(104) Beijing Sina Cangshi Fund Sales Co., Ltd.
Domicile: Room 518, 5/F, Scientific Research Building, Sina Headquarters, Plot N-1 and N-2, Zhongguancun Software Park Phase II (Westward Expansion), Northeast Wang Road West, Haidian District, Beijing
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office Address: Room 518, 5/F, Scientific Research Building, Sina Headquarters, Plot N-1 and N-2, Zhongguancun Software Park Phase II (Westward Expansion), Northeast Wang Road West, Haidian District, Beijing
Legal Representative: LI Zhao Chen
Telephone: (010) 60619607
Fax: (8610) 62676582
Contact: FU Wen Hong
Customer Service Hotline: (010) 62675369
Website: www.xincai.com
(105) Beijing Danjuan Fund Sales Co., Ltd.
Domicile: Room 1501, 15/F, 34 Chuangyuan Road, Chaoyang District, Beijing 222507
Office Address: 17/F Block C Wing, Rongxin Technology Center, 34 Chuangyuan Road, Chaoyang District, Beijing
Legal Representative: ZHONG Fei
Telephone: (010) 61840688
Fax: (010)84997571
Contact: HOU Fang
Customer Service Hotline: 400-1599-288
Website: danjuanapp.com/
(106) Fenghuang Jinzin (Yinchuan) Investment & Management Co., Ltd.
Domicile: Room 1402, 14/F, 142 Wanshou Road, Yuehaiwan Central Business District, Jinfeng District, Yinchuan, Ningxia Hui Autonomous Region (750000)
Office Address: Building 18, Chaolai High-Tech Industry Park, Court 18, Ziyue Road, Chaoyang District, Beijing (100000)
Legal Representative: CHENG Gang
Telephone: (010) 58160168
Fax: (010) 58160173
Contact: ZHANG Xu
Customer Service Hotline: 400-810-5919
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Website: www.fengfd.com
(107) Shenzhen Jinfuzi Fund Sales Co., Ltd.
Domicile: 18/F, Oriental Technology Building, 16 Keyuan Road, Yuehai Avenue, Nanshan District, Shenzhen
Office Address: 7/F, Building B3, Sinovac Science Park, Keyuan Road, Yuehai Avenue, Nanshan District, Shenzhen
Legal Representative: LAI Ren Jun
Telephone: (0755) 66892301
Fax: (0755) 66892399
Contact: ZHANG Ye
Customer Service Hotline: 400-9500-888
Website: www.jfzinv.com
（108）Ge Shang Fu Xin Investment Consulting Co., Ltd.
Domicile: Room 09 of 701, Building No. 19, East Third Ring Road North, Chaoyang District, Beijing
Office Address: Room 09 of 701, Building No. 19, East Third Ring Road North, Chaoyang District, Beijing
Legal Representative: LI Yue Zhang
Telephone: (010) 85594745
Fax: (010) 65983333
Contact: ZHANG Lin
Customer Service Hotline: 400-066-8586
Website: www.igesafe.com
（109）Shanghai Windin Investment Consulting Co., Ltd
Domicile: Block B, 11th Floor, 33 Fushan Road, China (Shanghai) Pilot Free Trade Zone, Shanghai
Office Address: 9th Floor, 33 Fushan Road, Pudong New District, Shanghai
Legal Representative: WANG Ting Fu
Telephone: (021) 50712782
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Fax: (021) 50710161
Contact: XU Ya Dan
Customer Service Hotline: 400-821-0203
Website: www.520fund.com.cn
（110）Tianjin Wanjia Wealth & Asset Management Co., Ltd.
Domicile: Unit 2-2413, Binhaizheshang Building, 1988 Yingbin Road, Tianjin Free Trade Zone (Central Business District)
Office Address: 5th Floor, Asia Pacific Insurance Building, 28 Feng Sheng Lane, Xicheng District, Beijing
Legal Representative: LI Xiu Ci
Telephone: (010) 59013828
Fax: (010) 59013707
Contact: WANG Fang Fang
Customer Service Hotline: (010) 59013842
Website: http://www.wanjiawealth.com
(111) Shanghai Wacai Financial Information Service Co., Ltd.
Domicile: Room 01, 02, 03, 5th Floor, No. 799 Yanggao South Road, China (Shanghai) Pilot Free Trade Zone, Shanghai
Office address: Room 01, 02, and 03, 5th Floor, No. 799, Yanggao South Road, China (Shanghai) Pilot Free Trade Zone, Shanghai
Legal representative: HU Yan Liang
Telephone: (021) 50810687
Fax: (021) 58300279
Contact: LI Juan
Customer Service Hotline: (021)50810673
Website: www.wacaijijin.com
(112) Harvest Wealth Management Co., Ltd.
Domicile: Unit 5312-15, 53rd Floor, Two IFC, 8 Century Avenue, Pudong New Area, Shanghai
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office address: 6th Floor, Block A, Jindi Center, No. 91 Jianguo Road, Chaoyang District, Beijing
Legal representative: ZHAO Xue Jun
Telephone: (021) 38789658
Fax: (021)68880023
Contact: WANG Gong
Customer Service Hotline: 400-021-8850
Website: www.harvestwm.cn
(113) Nanjing Suning Fund Sales Co., Ltd.
Domicile: 1-5 Suning Avenue, Xuanwu District, Nanjing
Office Address: No. 1-5, Suning Avenue, Xuanwu District, Nanjing
Legal Representative: WANG Feng
Telephone: 025-66996699
Fax: 025-66996699
Contact: FENG Pengpeng
Customer Service Hotline: 95177
Website: www.snjijin.com
(114) Beijing Baidu Baiying Fund Sales Co., Ltd.
Domicile: 101, 1st Floor, Building 1, No. 10, Shangdi 10th Street, Haidian District, Beijing
Office Address: Kuike Building, No. A9, Information Road, Haidian District, Beijing
Legal Representative: ZHANG Xuyang
Telephone: 010-61952703
Fax: 010-61951007
Contact: HUO Bohua
Customer Service Hotline: 95599-9
(115) Shanghai Huaxia Wealth Investment Management Co., Ltd.
Domicile: Room 268, 2nd Floor, Building 1, 687 Dongdaming Road, Hongkou District, Shanghai
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Office Address: 8th Floor, Block B, Tongtai Building, 33 Financial Street, Xicheng District, Beijing
Official representative: MAO Huai Ping
Telephone: 010-88066632
Fax: 010-63136184
Contact: ZHANG Jing Yi
Customer Service Hotline: 400-817-5666
Website: www.amcfortune.com
(116) Jiangsu Huilin Baoda Fund Sales Co., Ltd.
Domicile: No. 47 Gutan Avenue, Economic Development Zone, Gaochun District, Nanjing
Office Address: Room 1413, Zhonghuan International, No. 105 Zhongshan North Road, Gulou District, Nanjing City, Jiangsu Province
Legal Representative: WU Yan Lin
Telephone: 025-66046166 ext. 837
Fax: 025-56663409
Contact: SUN Ping
Customer Service Hotline: 025-66046166
Website: www.huilinbd.com
(117) Xuanyuan Insurance Agency Co., Ltd.
Domicile: Room 1105, No.707 Zhangyang Road, China (Shanghai) Pilot Free Trade Zone
Office address: Room 1105, No.707 Zhangyang Road, China (Shanghai) Pilot Free Trade Zone
Legal Representative: MA Yong Ju
Telephone: (021) 5071053
Fax: (021) 50701053
Customer Service Hotline: 400-080-8208
Website: www.licaimofang.cn
(118) Sunshine Life Insurance Co., Ltd.
Domicile: 16th Floor, Sanya Sunshine Financial Plaza, 360-1 Yingbin Road, Sanya City,
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Hainan Province
Office Address: 12th Floor, Kuntai International Building, No. 1, Yard 12, Chaoyangmenwai Avenue, Chaoyang District, Beijing
Legal Representative: LI Ke
Telephone: (010) 85632771
Fax: (010) 85632773
Contact: WANG Chao
Customer Service Hotline: 95510
Website: http://fund.sinosig.com
(119) Dalian Net Gold Fund Sales Co., Ltd.
Domicile: Room 202, 2nd Floor, Noble Building, No. 22 Titan Road, Shahekou District, Dalian City, Liaoning Province
Office Address: Room 202, 2nd Floor, Noble Building, No. 22 Titan Road, Shahekou District, Dalian City, Liaoning Province
Legal Representative: FAN Huai Dong
Telephone: (0411-39027810)
Fax: (0411-39027835)
Contact: YU Xiu
Customer Service Hotline: 4000-899-100
Website: http://www.yibaijin.com
Class A Fund units Exchange-traded Sales Agency refers to a member of Shanghai Stock Exchange with the qualification of selling open-ended funds as approved by the CSRC and accredited by Shanghai Stock Exchange and China Securities Depository and Clearing Corporation Limited (hereinafter referred to as "accredited SSE member"). For a list of accredited SSE members, please visit the website of Shanghai Stock Exchange.
3. Class H Fund units Sales Agency shall be relevant Sales Agency qualified for sales of the Fund as approved by the SFC and employed by the Hong Kong Representative or directly by the Fund Manager.
Bank of Communications Co., Ltd. Hong Kong Branch is the Hong Kong Sales Agency of the Fund Manager, responsible for offering sales service to Hong Kong investors.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
The Fund Manager can choose other organizations that satisfy the requirements to sell this Fund, and publish the list of Sales Agency on Fund Manager’s website in a timely manner in accordance with relevant laws and regulations.
(2) Unit Registration Agency
Name: China Securities Depository and Clearing Company Limited (CSDCC)
Domicile: 17 Taipingqiao Avenue, Xicheng District, Beijing
Office Address: 17 Jinrong Street, Xicheng District, Beijing
Legal Representative: ZHOU Ming
Telephone: (010) 50938782
Fax: (010) 50938907
Contact: ZHAO Yiqing
(3) Law Offices Providing Written Legal Opinion
Name: Shanghai Yuantai Law Offices
Domicile: Unit 1405, Huaxia Bank Building, 256 Pudong South Road, Shanghai
Office Address: Unit 1405, Huaxia Bank Building, 256 Pudong South Road, Shanghai
Person in charge: LIAO Hai
Telephone: (021) 51150298
Fax: (021) 51150398
Contact: LIAO Hai
Lawyer Agent: LIANG Lijing, LIU Jia
(4) Accounting Firm Auditing Fund Assets
Name: PricewaterhouseCoopers Zhong Tian LLP (Special General Partnership)
Domicile: 6/F, DBS Building, 1318 Lujiazui Huan Road, Pudong New Area, Shanghai
Office Address: 11/F, PWC Center, 202 Hubing Road, Shanghai
Managing Partner: LI Dan
Telephone: (021) 23238888
Fax: (021) 23238800
Contact: ZHU Hong Yu
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Certified Public Accountant Agent: TONG Yong Jing, ZHU Hong Yu
IV. Name of the Fund
Name of the Fund: BOCOM Schroder Growth Mixed Securities Investment Fund
V. Type of the Fund
Type of the Fund: a contract-type open-ended mixed fund
VI. Investment Objective of the Fund
Being a growth mixed fund, the Fund seeks long-term and stable capital appreciation for fund unitholders by investing into stocks of listed companies with satisfactory growth, which has gone through quality screening on the basis of putting risks under control and maintaining liquidity of fund assets.
VII. Investment Direction of the Fund
The fund invests in financial instruments of high liquidity, which include domestic stocks, bonds, money market instruments, warrants and asset-backed securities that are lawfully issued, as well as other types of securities approved by the laws and regulations or by the CSRC as the Fund investments. The Fund Manager can include other types of Fund investment into the scope that are approved by the laws and regulations as well as regulatory bodies after proper procedures.
The main investment objects of the Fund are growth stocks that have gone through strict quality screening and value assessment and that have fine governance structure, great development potentials, industry prosperity as well as high-quality growth. Specifically, they are mainly stocks of listed companies with high growth:
1. The growth rate of income from operations of principle business and EBIT growth rate are expected to exceed the GDP growth rate in the coming two years:
2. Companies that rank top 10 among all the listed companies in accordance with the Bank of Communications Schroder Evaluation System of Enterprise Growth;
3. Companies whose investment rating not lower than Grade 2 in accordance with the Bank of Communications Schroder Diversified Value Assessment System.
The portfolio proportion of the Fund: stock assets account for 60%—95% of fund assets; bonds, money market instruments, warrants, asset-backed securities, as well as other types of securities of fund investment approved by the laws and regulations or the CSRC account for 5%-40% of fund assets; the total retention of cash of the Fund and short-term government bonds mature in one year is not less than 5% of the Net Asset Value of the Fund. Settlement provisions, refundable guarantee deposits and subsequent Subscription money receivable cannot be included as cash of the Fund.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
VIII. Investment Strategy of the Fund
The Fund makes full use of the advantages of Fund Manager's research, combining rigorous and standardized method of stock-selection with positive and proactive investment style. Based on the analysis of the macro-economy, industrial prospect and the growth potential of listed companies, the Fund would invest in the stock selected for its potential, sustainability, quality and relatively reasonable price, so as to obtain excess returns.
The Fund thus sets up an indicator system of growth evaluation for assessing the growth of listed companies. With both quantitative and qualitative evaluation methods, the system focuses on the growth expectation of listed companies in the coming two years and selects the listed companies that meet the following three requirements as investment objects:
a) Growth rate and EBIT growth rate of its main business in the coming two years should exceed the GDP growth rate;
b) Ranking among the top 10% of all the listed companies in the growth evaluation system;
c) The investment rating should be no lower than Grade 2 in accordance with Bank of Communications Schroder Diversified Value Assessment System.
Some apparently competitive enterprises in fast-growing industries, or those which have enormous development opportunity or extraordinary growth potential are preferred. The stocks that satisfy the above requirements should account for no less than 80% of the total portfolio value of all stocks.
1. Asset Allocation
Adopting a “Top-down” decision support system that could analyze multiple factors and by combining qualitative and quantitative analysis, the Fund can make prediction and estimation of various markets, and thereby determines the allocation proportion of Fund assets among other categories of assets like stocks, bonds, money market instruments and so on. Besides, along with the relative change of the risk-return characteristics of various kinds of securities, the Fund adjusts the proportion of stock assets, bond assets and money market instruments accordingly to eliminate or control market risks and increase the Fund's yield rate.
2 Key Industries Selection
Fast-growing industries, whose overall growth rates dramatically exceed the average level of the whole market, are usually regarded as the locomotive and engine for rapid development of the national economy. As a result, the Fund mainly chooses such industries as key objects for investment. In those fast-growing industries, enterprises having prominent competitive advantages and holding leading positions in the industry will have preferential opportunities to be included in our core stock pool.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Under the framework of global economy, the Fund Manager makes analysis and forecast with multiple factors such as the macro-economy trends, industrial environment, industrial policies and competition patterns of industries. It also analyzes the potential influences of the changes of macro and industrial economic variables on different industries and determines relative investment values of various industries and the proper time for investment, by doing which to identify industries that are in prosperity and have great potential for development.
In practical operations, the Fund selects fast-growing industries with reference to three aspects: factor assessment of the economic cycle, factor assessment of industrial policies and assessment of fundamentally based indexes of industries (including industry life cycle, trends and prospects of industrial development, situation and trends of intra-industry competition, industrial revenue and growth of profits, etc.). Generally speaking, the Fund targets its investments mainly at pioneer industries which are in rapid development in the national economy, advantaged industries supported by national policies, and fast-growing industries benefiting from the macro-economy both at home and abroad.
As for the selected key industries, the listed companies that can be included in the core stock pool should have prominent competitive advantages and meet the following conditions:
a) Ranking top 25% in the industry concerning main business income and EBIT;
b) Having a market unit exceeding the average level of the industry;
c) Having the competitive advantages that cannot be imitated by competitors, such as advantages in resources, technology, talents, capital, business certificates, sales network and so on.
3. Stock Selection
The Fund comprehensively employs Schroder Group's stock research and analytical methods and other tools for investment analysis in order to identify fast-growing stocks and build the stock portfolio. The procedure can be divided into three levels as follows:
(1) Quality Screening
Screening out the listed companies that basically meet the requirements in administration, financial and managerial qualities for the construction of alternative stock pool. Main indexes for screening include profitability (like P/E, P/Cash Flow, P/FCF, P/S, P/EBIT, etc.), operational efficiency (like ROE, ROA, return on operating assets, etc.), and financial position (like D/A, liquidity ratio, etc.) and so on.
(2) Growth Assessment
The growth assessment of companies consists of two parts: prediction of income and profit growth ratio and comprehensive evaluation of growth. First, we make prediction on the growth ratio of main business income and EBIT, and eliminate stocks with estimated compound annual growth
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1) rate in the following two years of main business income and EBIT lower than that of the GDP's. Then, give overall scores and rank based on companies’ growth in accordance with the Bank of Communications Schroder Evaluation System of Enterprise Growth before selecting and putting stocks with the greatest potential for development and excellent development quality into the core stock pool. The Bank of Communications Schroder Evaluation System of Enterprise Growth evaluates a company's growth in four perspectives: macro-environment, industrial prospect, company quality and growth quality and make comprehensive analysis of company growth via the measure combining qualitative analysis and quantitative analysis.
The amount of stock in the core stock pool takes up 10% of the total number of listed companies. If the amount of stocks remaining after the elimination on the basis of the prediction of income and profit growth ratio is less than 10% of the total number listed companies, these stocks will directly enter the core stock pool.
(3) Diversified Value Assessment
We make assessment of the intrinsic value of the key listed companies in the core stock pool mentioned above and track studies on growth. After that, we select investment objects with relatively reasonable pricing and sustainable growth on the basis of specific value assessment.
4. Bond Investment
Concerning bond investment, the Fund can invest in national bonds, notes of Central Bank, financial bonds, corporate bonds and other convertible bonds. Active investment management is used to generate returns compatible with investment risk, and to some extent, eliminating systematic risk of stock market and guarantee liquidity of Fund assets.
Under the framework of global economy, the Fund Manager will make judgments on the tendency of the macro-economy and the changes in financial and monetary policy incurred, and make predictions on the future trend of interest rate and the change in credit environment with quantification tools. The Fund Manager will also build bond portfolio in consideration of various factors, including effects on bonds caused by interest rate change, bond yields, credit risks and liquidity risks. In practical operations, various strategies including duration limitation, term structure allocation, asset allocation strategies, riding the yield curve, enhanced leverage and exchange certificates, will be used to gain long-term and sustainable returns from the bond market.
5. Strategy of Warrant Investment
Based on the analysis of warrant's market value, the Fund's warrant investment aims to generate stable current yield via asset allocation and selection of variety and generic types. The investment will be equipped with warrant pricing model, making use of active scientific management, and taking full consideration of profitability, liquidity and risk of the warrant assets.
6. Strategy of Asset-backed Securities Investment
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
For its asset-backed securities investment, the Fund will adopt active strategies including duration limitation, yield curve, securities selection of single security and seizing market opportunity. It aims to generate long-term and stable returns under rigid control of risks to invest in high yield types after risk adjustment by credit investigation and liquidity management.
IX. Performance Benchmark of the Fund
The adopted benchmark of the general performance of the Fund is as below:
75% × FTSE China A 600 Growth Index ＋ 25% × FTSE Chinese Government Bond Index
The Fund Manager can adjust the Fund performance assessment benchmark and make a timely announcement thereof as it deems fit in accordance with appropriate procedure if FTSE Group stops calculating and formulating the above benchmark index or change the name of it, or if there are any changes to laws and regulations, or if an index that is more authoritative and can better indicate the characteristics of returns and risks of the Fund is promoted on the market.
X. Characteristics of Risks and Returns of the Fund
The Fund is a mixed fund, aiming to invest in companies with good growth prospects. The Fund pursues excess returns. Its risks and expected returns are higher than bond funds and money market funds and lower than stock funds. The Fund is one of the securities investment funds with relatively high risk and expected returns. According to the “Administrative Measures for the Suitability of Securities and Futures Investors” promulgated on July 1, 2017, the Fund Managers and Sales Agency have re-evaluated the risk of the Fund. The act of risk evaluation has not changed the Fund's substantive risk-return characteristics. However, due to changes in the risk classification criteria, there may be changes in the representation of the risk rating of the Fund accordingly. The specific risk rating results should be based on the rating results provided by the Fund Manager and the Sales Agency.
XI. Report on the Fund Portfolio
The board of directors and the directors of the Fund Manager guarantee that there are no false records, misleading statements or serious omissions in the report and hold individual and joint responsibility for the authenticity, accuracy and completeness of the information herein.
Pursuant to the Fund Contract, Agricultural Bank of China, the Fund Custodian, reviewed the financial indexes, net value and portfolio reports of the report on January 20, 2020 and ensured that there were no false records, misleading statements or serious omissions in what had been reviewed.
The reporting period is from October 1, 2019 to December 31, 2019. The financial information of the report is not audited by the auditor.
1 Information about the Fund Portfolio at the end of the Reporting Period
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Serial Proportion in the Numbe Project Amount (RMB) Total Fund Asset r (%)
1 Equity Securities Investment 2,371,428,053.16 84.99
Specifically: Stock 2,371,428,053.16 84.99
2 Fund Investment - -
3 Fixed Income Investment 130,188,000.00 4.67
Specifically: Bond 130,188,000.00 4.67
Asset-backed Securities - -
4 Investment in Precious Metals - -
5 Investment in Financial Derivatives - -
Buying back the Sale of Financial 6 Assets 200,000,220.00 7.17
Specifically: Financial assets bought back for sale of buyout - - resubscribe
The Sum of Bank Deposit and 7 85,418,778.99 3.06 Settlement Provisions
8 Other Assets 3,181,934.51 0.11
9 Total 2,790,216,986.66 100.00
2 Stock Portfolios categorized by Industry at the end of the Reporting Period
(1) Stock Portfolios which invested in domestic stocks categorized by Industry at the end of the Reporting Period
Proportion in the Code Industry Type Fair Value (RMB) Net Asset Value of the Fund (%)
Agriculture, Forest, Husbandry and A Fishery 81,560,389.34 2.95
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
B Mining - -
C Manufacturing 1,648,758,626.00 59.55
Electric Power, Heating Power, D Gas and Water Production as well - - as Supply
E Construction - -
F Wholesale and Retail 5,580,879.00 0.20
Transportation, Storage and Postal G Service - -
H Accommodation and Catering - -
Information Transmission, I Software and Information 320,594,844.82 11.58 Technology Service
J Finance - -
K Real Estate - -
L Renting and Commercial Service 14,499,412.00 0.52
Scientific Research and M 65,777,910.24 2.38 Technological Service
Water Conservancy, Environment N and Public Facility Management 6,578.04 0.00
Residential Service, Repair and O Other Services - -
P Education 234,649,413.72 8.48
Q Health and Social Work - -
R Culture, Sports and Entertainment - -
S Combination - -
Total 2,371,428,053.16 85.65
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
(2) Stock Portfolios which invested via The Stock Connect categorized by Industry at the end of the Reporting Period
The Fund does not hold any stocks which invested via The Stock Connect as at the end of the reporting period.
3 Particulars of Top 10 Stock Investment concerning the Proportion of Fair Value Stocks in the Net Asset Value of the Fund at the End of the Reporting Period
Proportion in the Net Serial Stock Number of Asset Stock Name Fair Value (RMB) Number Code Shares Value of the Fund (%)
1 603517 Juewei Food Co., Ltd 5,733,425 266,317,591.25 9.62
2 002216 Sanquan Food Co., Ltd. 18,486,713 264,359,995.90 9.55
002607 Offcn Education Technology 13,123,569 234,649,413.72 8.48 3 Co., Ltd.
603707 Nanjing King-friend 4,636,863 192,337,077.24 6.95 4 Biochemical Pharmaceutical Co., Ltd.
5 688008 Montage Technology Co., Ltd 2,122,697 152,006,332.17 5.49
6 600216 Zhejiang Medicine Co., Ltd 9,887,413 131,996,963.55 4.77
7 002230 Iflytek Co., Ltd 3,274,960 112,920,620.80 4.08
002371 Naura Technology Group Co., 1,104,165 97,166,520.00 3.51 8 Ltd
688188 Shanghai Friendess Electronic 572,712 90,001,525.53 3.25 9 Technology Co., Ltd
600529 Shandong Pharmaceutical Glass 3,235,100 89,418,164.00 3.23 10 Co., Ltd.
4 Bond Portfolios categorized by Bonds Types at the End of the Reporting Period
Proportion in the Net Serial Bond Types Fair Value (RMB) Asset Value of the Fund Number (%)
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
1 Treasury Bonds - -
2 Notes of central bank - -
3 Financial Bonds 130,188,000.00 4.70
Specifically: Policy Bank Bonds 130,188,000.00 4.70
4 Corporate Bonds - -
Corporate Short-term Commercial 5 - - Paper
6 Medium-term Notes - -
7 Convertible Bonds - -
Interbank Negotiable Certificates of 8 - - Deposit
9 Others - -
10 Total 130,188,000.00 4.70
5 Particulars of Top 5 Bond Investment concerning the Proportion of Fair Value in the Net Asset Value of the Fund at the End of the Reporting Period
Proportion in Quantity Serial the Net Asset Bond Code Bond Name (number of Fair Value (RMB) Number Value of the bonds) Fund (%)
1 190206 SDBC 2.65 04/23/20 600,000 60,096,000.00 2.17
2 190405 ADBCH 2.51 06/24/2020 600,000 60,078,000.00 2.17
3 190211 SDBC 2.59 09/25/2020 100,000 10,014,000.00 0.36
6 Particulars of Top 10 Asset-backed Securities Investment Concerning the Proportion of Fair Value in the Net Asset Value of the Fund at the End of the Reporting Period
The Fund does not hold asset-backed securities at the end of the reporting period.
7 Particulars of Top 5 Precious Metal Investment Concerning the Proportion of Fair Value in the Net Asset Value of the Fund at the End of the Reporting Period
The Fund does not hold precious metals at the end of the reporting period.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
8 Particulars of Top 5 Warrant Investment based on Fair Value in the Net Asset Value of the Fund at the End of the Reporting Period
The Fund does not hold warrants at the end of the reporting period.
9 Analysis of the Trading of Stock Index Futures Invested by the Fund at the End of the Reporting Period
The Fund does not hold stock index futures in the reporting period.
10 Analysis of the Trading of Government Bond Futures Invested by the Fund at the End of the Reporting Period
The Fund does not hold government bond futures in the reporting period.
11 Notes to the Portfolio Report
(1) During the reporting period, issuers of the top 10 stocks invested by the Fund were not investigated by the regulatory authorities, nor did their issuers receive public reprimand or punishment within the year prior to the reporting and preparation date.
(2) Top 10 stocks invested by the Fund have not deviated from the provisional stock pool in accordance with the Fund Contract.
(3) Other Asset Composition
Serial Numbe Name Amount (RMB) r
1 Refundable Deposits 442,752.49
2 Receivables regarding Securities Clearing -
3 Receivable Dividend -
4 Receivable Interest 2,027,986.26
5 Receivables regarding Subscription 711,195.76
6 Other Receivables -
7 Deferred Expenses -
8 Others -
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
9 Total 3,181,934.51
(4) Particulars of the Convertible Bonds at the Stage of Conversion held at the End of the Reporting Period
There are no convertible bonds at the stage of conversion held by the Fund at the end of this reporting period.
(5) Analysis of the Restriction on Circulation in the Top 10 Stocks at the End of the Reporting Period
Proportion in Serial Fair Value of the Analysis of the the Net Asset Numbe Stock Code Stock Name Part Restricted on Restriction on Value of the r Circulation (RMB) Circulation Fund (%)
688188 Shanghai 1,193,450.23 0.04 Restricted shares Friendess 1 Electronic Technology Co., Ltd
(6) Other Written Descriptions of the Notes of the Portfolio Report
As the items are rounded off, the sum of individual items and the total items may differ in the ending figures.
XII. Performance of the Fund
The performance of the Fund is as of December 31, 2019, and its financial data are not audited by the auditor.
The Fund Manager shall manage and use Fund assets pursuant to the principles of due diligence, good faith and prudence. However, it cannot guarantee Fund profits, nor the minimum returns. The past performance of the Fund is not indicative of its future performance. There is risk in investment, thus Investors shall carefully read this Prospectus of the Fund before making any investment decisions.
The following indexes of Fund performance exclude all the expenses of holders' Initial Subscription or trading funds. After the expenses are added, the actual returns are lower than the listed numbers.
1. Comparison between the Growth Rate of Net Asset Value per Unit of the Fund and the Benchmark Yield in the Corresponding Period
(1) BOCOM Schroder Growth Mixed Class A
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Standard Standard Deviation Rate of Rate of Deviation of the Rate Return of Return of of Rate of of Return ①－③ ②－④ Period Net Asset Benchmark Return of of Net ① ③ Benchmark Value Asset ④ Value ②
Past 3 months 14.75% 0.98% 4.91% 0.58% 9.84% 0.40%
2019 51.07% 1.27% 35.57% 1.01% 15.50% 0.26%
2018 -22.57% 1.33% -24.78% 1.12% 2.21% 0.21%
2017 -8.87% 0.98% 9.54% 0.55% -18.41% 0.43%
2016 -6.41% 1.61% -15.86% 1.28% 9.45% 0.33%
2015 59.89% 2.69% 16.28% 1.96% 43.61% 0.73%
2014 5.11% 1.24% 19.64% 0.85% -14.53% 0.39%
2013 23.32% 1.34% -1.57% 1.03% 24.89% 0.31%
2012 14.58% 1.22% 4.28% 1.06% 10.30% 0.16%
2011 -17.70% 1.11% -22.25% 1.00% 4.55% 0.11%
2010 1.07% 1.40% -1.58% 1.21% 2.65% 0.19%
2009 83.03% 1.89% 65.17% 1.56% 17.86% 0.33%
2008 -45.11% 1.98% -54.48% 2.28% 9.37% -0.30%
2007 124.76% 2.06% 90.80% 1.66% 33.96% 0.40%
2006 (From the Effective Date of the 33.11% 1.12% 29.12% 1.11% 3.99% 0.01% Fund Contract to December 31, 2006)
(2) BOCOM Schroder Growth Mixed Class H
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Standard Standard Deviation Rate of Rate of Deviation of the Rate Return of Return of of Rate of of Return ①－③ ②－④ Period Net Asset Benchmark Return of of Net ① ③ Benchmark Value Asset ④ Value ②
Past 3 months 14.76% 0.98% 4.91% 0.58% 9.85% 0.40%
2019 51.10% 1.27% 35.57% 1.01% 15.53% 0.26%
2018 -22.66% 1.33% -24.78% 1.12% 2.12% 0.21%
2017 -8.84% 0.98% 9.54% 0.55% 18.38% 0.43%
2016 (From the Effective Date of the Share Class 20.80% 1.11% 1.98% 0.84% 18.82% 0.27% launched to December 31, 2016)
2. Comparison between the Rate of Return the Accumulated Net Asset Value per Unit of the Fund against the Benchmark in the Corresponding Period since the Effective Date of the Fund Contract
BOCOM Schroder Growth Mixed Securities Investment Fund
The Performance Chart of the Historical Trends between the Net Asset Value per Unit of the Fund and that of the Benchmark in the Corresponding Period
(October 23, 2006 to December 31, 2019)
(1) BOCOM Schroder Growth Mixed Class A
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Note: The above chart shows the performance from October 23, 2006 to December31, 2019. The portfolio build up period of the Fund is 6 months from the Effective Date of the Fund Contract. As at the end of the portfolio build up period, all asset allocation ratios of the Fund abide the regulations related to the investment proportion as stipulated in the Fund Contract and the Prospectus.
(2) BOCOM Schroder Growth Mixed Class H
Note: The Fund starts to offer Class H Fund units from March 7, 2016. The application for subscription by the investor which submitted on March 7, 2016, will confirm and register the valid unit on March 8, 2016. The chart is showing from March 8, 2016 to December 31, 2019.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
XIII. Fees and Taxes of the Fund
(1) Types of Fund Fees
1. Management Fee of the Fund Manager;
2. Custodian fee of the Fund Custodian;
3. Fund information disclosure fee after the Fund Contract comes into effect;
4. Fund-related accounting fee and legal fee after the Fund Contract comes into effect;
5. Fees for general meeting of Fund Unitholders;
6. Securities trading fee of the Fund;
7. As allowed by relevant regulations, the Fund can make provision for Sales and Service Fees from Fund assets, the detailed method and criteria of provision is specified in the Prospectus or relevant announcement.
8. Other fees that can be included as per relevant national requirements and the Fund Contract.
The expenses incurred upon the termination of the liquidation of Fund assets for the Fund Contract shall be deducted from the total value of Fund assets based on the actual expenditure amount.
(II) Standards or Methods for Provision of Fund Fees
1. Fees Related to Fund Operations
(1) Management Fee of the Fund Manager
The Fund management fee should be drawn by an annual rate as 1.5% of the Net Asset Value of the Fund. The calculation method of management fee is as follows:
H = E × 1.5% days of the year
H for the Fund management fee that should be paid on a daily basis
E for Net Asset Value of the Fund on the preceding day
The management fees are drawn on a daily basis, accumulated daily till the end of each month and paid monthly. The Fund Manager shall give out the instruction of transferring the Fund management fees and the Fund Custodian shall reexamine and make a one-time payment to the Fund Manager from Fund assets within the first two days of the next month. The date of payment shall be postponed in case payment could not be made in statutory holidays and festivals.
(2) Custodian Fee of the Fund Custodian
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
The custodian fee should be drawn by an annual rate as 0.25% of the Net Asset Value of the Fund. The calculation method of custodian fee is as follows:
H ＝ E × 0.25% days of the year
H for the custodian fee of the Fund that should be paid on a daily basis
E for Net Asset Value of the Fund on the preceding day
The custodian fee of the Fund is drawn on a daily basis, accumulated daily till the end of each month and paid monthly. The Fund Manager shall give out the instruction of transferring the custodian fee of the Fund and the Fund Custodian shall reexamine and draw from Fund assets a one-time payment within the first two days of the next month. The date of payment shall be postponed in case payment cannot be made in statutory holidays and festivals.
(3) Item 3 to item 8 under the "(1) Types of Fund Fees" above should be paid as per actual by the Fund Custodian from Fund assets and included in the current period fees as required by other relevant laws and regulations as well as corresponding agreements.
2. Fees related to Fund sales
On the basis of their places of sales and subscription and redemption rates, the Fund divides its units into different classes, including Class A Fund units and Class H Fund units. The two classes of Fund units are given different fund codes. The Net Asset Values per Unit of the Class A Fund and the Class H Fund would be respectively announced by the Fund Manager. Fund units of different classes shall not be switched between each other unless the Fund Manager announces to launch relevant services in the future when certain conditions are met in the future.
The Subscription and Redemption businesses of the Class H Fund units shall be handled in accordance with the Prospectus unless other relevant announcements (such as the supplementary documents of the Prospectus stipulated by the Fund for its sales in Hong Kong) of the Fund have specified otherwise.
(1) Subscription Fee
The fee to be charged during the Subscription process of the Fund is called the front-end load. The fee to be charged during the Redemption process of the Fund is called the back-end load. The OTC Subscription of Class A Fund units adopts both the front-end load and back-end load, while the exchange-traded Subscription only supports the front-end load. Only the front-end load mode is applicable to Class H Fund units Investors, which means that payment of Subscription fee shall be made at the time of Subscription.
The Subscription fee of the Fund shall be borne by the applicant and not be listed in Fund assets, which is mainly utilized in the marketing, selling and registration of the Fund.
Subscription fee rates of the Class A Fund units are as follow:
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Subscription Amount Front-end (Including Subscription Fee) Load Rate
Less than RMB 500 Thousand 1.5%
Subscription fee rate RMB 500 Thousand (inclusive) and RMB 1 Million 1.2% (Front-end)of Class A RMB 1 Million (inclusive) to RMB 2 Million 0.8% Fund units
RMB 2 Million (inclusive) to RMB 5 Million 0.5%
RMB 1,000 per Over 5 Million (inclusive) subscription
Back-end Holding Period Load Rate
Within 1 Year (inclusive) 1.8% Subscription fee rate (Back-end) of Class A 1-3 Years (inclusive) 1.2% Fund units 3-5 Years (inclusive) 0.6%
Over 5 Years 0
Subscription fees shall not be collected of Fund units that are incurred from dividends automatically reinvested.
As of April 11, 2013, specified Subscription fee will be applied to pension clients who have subscribed Class A Fund units of the Fund through the direct sales counter of the Fund Manager.
The term "pension clients" refers to clients who subscribe to basic pension funds and funds offered in accordance with a legally devised pension scheme as well as supplementary pension funds established from returns on the investment and operations thereof, including national social security funds, local social security funds that may be invested in funds, single enterprise annuity schemes and collective enterprise annuity scheme. In case a new pension fund type recognized by the pension fund regulatory authorities comes into being, the Fund Manager also includes it into the scope of the pension defined above in the next updated Prospectus and files the same with the CSRC in accordance with relevant rules and regulations.
The specified Subscription fee rate for the pension clients who subscribe Class A Fund units through direct sales counter of the Fund Manager are listed as follows:
Specified Subscription Amount Subscription fee rate Front-end (Including Subscription Fee) (Front-end)of Class A Load Rate
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Fund units Less than RMB 500 Thousand 0.60%
RMB 500 Thousand (inclusive) and RMB 1 0.48% Million
RMB 1 Million (inclusive) to RMB 2 Million 0.32%
RMB 2 Million (inclusive) to RMB 5 Million 0.20%
RMB 1,000 per Over 5 Million (inclusive) Subscription
The maximum Subscription rate for the Class H Fund units shall not exceed 5% and specific rate shall be determined by the Sales Agency in Hong Kong themselves.
Investors place order through the Direct Sales Agency can enjoy the following fee discount. Investors are advised to pay attention to the Fund Manager’s announcement for information of and changes to the fee discount promotion event, the actual fee discount rate and the period of the promotion. The latest announcement shall prevail the fee discount rate and the related terms and conditions.
(1) Investors who subscribe Class A Fund units through the direct sales counters of the Fund Manager will enjoy a 90% discount of the subscription fee. For the Pension Clients mentioned above, the current applicable specific subscription fee rate or the above mentioned 90% discount on the general subscription fee rate whichever is lower will apply. If the original subscription rate before the discount is a fixed fee, the original fixed rate will be applied and no discount will be granted.
(2) Individual Investors who subscribe Class A Fund units through online direct sales trading platform of the Fund Manager or invest in the Pre-authorization Contribution Plan can enjoy discount on the subscription fee rate and Pre-authorization Contribution Plan fee rate, redemption fee rate will remain unchanged. Information of the actual discount rate, please refer to the subscription fee table for online direct sales trading platform or Pre-authorized Contribution Plan at the Fund Manager website or the related announcement.
Please refer to the Company website for transaction amount limit of the registered bank card or any other bank cards for the online direct sales trading.
The Fund Manager may adjust the above transaction fees and limit the amount based on its business conditions, and announce in advance in accordance with the requirements of relevant laws and regulations.
The Fund currently does not provide online direct sales trading for Class H Fund units.
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
(2) Calculation of Subscription Units
The OTC Subscription of Class A Fund units adopts both the front-end load and back-end load while the Exchange-traded Subscription only supports the front-end load. Only the front-end load mode is applicable to Class H Fund units Investors, which means that payment of Subscription fee shall be made at the time of Subscription.
1) The Front-end Load
Total Subscription amount = total application amount
Net Subscription amount = total Subscription amount / (1 + Subscription fee rates)
Subscription fee = total Subscription amount - net Subscription amount
Units of Subscription = (total Subscription amount - Subscription fee) / Net Asset Value per Unit of the relevant class of the Fund on Day T
Example 1: An Investor makes an investment of RMB 40,000 for Subscription of Class A Fund units, with a Subscription fee rates of 1.5%. Suppose that the Net Asset Value per Class A unit on the day of Subscription is RMB 1.0400. If the Investor chooses the front-end load, the units of Subscription he/she will get are as follows:
Total Subscription amount = RMB 40,000
Net Subscription amount = 40,000 / (1 + 1.5%) = RMB 39,408.87
Subscription fee = 40,000 - 39,408.87 = RMB 591.13
Units of Subscription = (40,000 - 591.13) / 1.0400 = 37,893.14
If the Investor chooses exchange-traded Subscription of Class A Fund units, the units of the Subscription will be 37,893 and the amount of the remaining 0.14 units will be sent back to Investor.
Example 2: An Investor makes an investment of RMB 40,000 for Subscription of Class H Fund units. Suppose that the Net Asset Value per Unit of Class H Fund units on the day of Subscription is RMB 1.0400 and the Subscription rate is 1.5%, the units of Subscription he/she will get are as follows:
Total Subscription amount = RMB 40,000
Net Subscription amount = 40,000 / (1 + 1.5%) = RMB 39,408.87
Subscription fee = 40,000 - 39,408.87 = RMB 591.13
Units of Subscription = (40,000 - 591.13) / 1.0400 = 37,893.14
2) The Back-end Load:
Total Subscription amount = total application amount
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Units of Subscription = total Subscription amount/Net Asset Value per Unit of the Fund on Day T
When an Investor proposes Redemption, the calculation of the back-end Subscription fee is as follows:
Back-end load = Units of Redemption × Net Asset Value per Unit of the Fund on the day of Subscription × back-end load rates
Example 3: An Investor makes an investment of RMB 40,000 for Subscription of Class A Fund units. Suppose that the Net Asset Value per Class A unit on the day of Subscription is RMB 1.0400. If the Investor chooses the back-end load, the units of Subscription he/she will get are as follows:
Units of Subscription = 40,000/1.0400 = 38,461.54
i.e. The Investor makes an investment of RMB 40,000 for Subscription of Class A Fund units. Suppose that the Net Asset Value per Unit of Class A Fund units on the day of Subscription is RMB 1.0400, such Investor will get 38,461.54 Fund units. However, back-end Subscription fees shall be paid for Redemption of Fund units at the applicable back-end Subscription fee rates based on the unit holding time.
(3) Redemption Fee
Redemption fees shall be borne by the applicants. 25% of Redemption fees of the Class A Fund units shall become part of Fund assets, and the rest will be used as the unit registration fee and other necessary handling fees. In which, Class A Fund Unitholders with continuous holding period is less than 7 days will be charged a redemption fee of not less than 1.5% and the full amount will be for the account of the Fund assets.
Redemption fee rate of Class A Fund units is as follow:
Holding Period Redemption Rate
Within 7 Days 1.5%
Redemption fee rate 7 Days (inclusive) - 1 Year (inclusive) 0.5% of Class A Fund units 1-2 Years (inclusive) 0.2%
Over 2 Years 0%
The Redemption fee rate of the Class H Fund units is 0.13%, 100% of the Redemption fee is for the account of the Fund assets.
(4) Calculation of Redemption Amount
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
The Redemption amount shall be calculated by multiplying the actual confirmed valid Redemption units based on the Net Asset Value per Unit of such class the Fund on Day T, with relevant fee deducted and rounded to two decimal places. The unit of the Redemption amount shall be "RMB".
1) If the Investor chooses to pay front-end (initial) Subscription fee at the time of (Initial) Subscription of Class A Fund units, or the Investor subscribes Class H Fund units, the calculation method of the Redemption amount is as follows:
Redemption fee = Units of Redemption × Net Asset Value per Unit of the relevant class of the Fund unit on Day T × applicable Redemption fee rate of Fund units of the relevant class of Fund unit
Redemption amount = Units of Redemption × Net Asset Value per Unit of the Fund on Day T - Redemption fee
Example 4: An Investor redeems 10,000 Class A Fund units with a corresponding Redemption fee rate of 0.5%. Suppose that the Net Asset Value per Unit of Class A Fund units on the day of Redemption is RMB 1.0160, the Redemption amount he/she will get is as follows:
Redemption fee = 10,000 × 1.0160 × 0.5% = RMB 50.80
Redemption amount = 10,000 × 1.0160 - 50.80 = RMB 10,109.20
i.e. The Investor redeems 10,000 Class A Fund units. Suppose that the Net Asset Value per Unit of Class A Fund units on the day of Redemption is RMB 1.0160, the Redemption amount he/she will get is RMB 10,109.20.
Example 5: An Investor redeems 10,000 Class H Fund units with a Redemption fee rate of 0.13%. Suppose that the Net Asset Value per Unit of Class H Fund units on the day of Redemption is RMB 1.0160, the Redemption amount he/she will get is as follows:
Redemption fee = 10,000 × 1.0160 × 0.13% = RMB 13.21
Redemption amount = 10,000 × 1.0160 - 13.21 ＝ RMB 10,146.79
i.e. The Investor redeems 10,000 Class H Fund units. Suppose that the Net Asset Value per Unit of Class H Fund units on the day of Redemption is RMB 1.0160, the Redemption amount he/she will get is RMB 10,146.79.
2) If the Investor chooses to pay back-end (initial) Subscription fee at the time of (initial) Subscription of Class A Fund unit, the calculation method of the Redemption amount is as follows:
Total Redemption amount = Units of Redemption × Net Asset Value per Unit of Class A Fund unit on Day T
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Back-end load of (initial) Subscription = Units of Redemption × Net Asset Value per Unit of Class A Fund unit on the day of (initial) Subscription × back-end load rates
Redemption fee = total Redemption amount × Redemption fee rates
Redemption amount = total Redemption amount - back-end load - Redemption fee
Example 6: An Investor redeems 10,000 Class A Fund units, with a Redemption fee rate of 0.5%. Suppose that the Net Asset Value per Unit of Class A Fund unit on the day of Redemption is RMB 1.0160, the back-end load applicable to Investor is 1.8% and that the Net Asset Value per Unit of Class A Fund unit at the time of Subscription is RMB 1.0100, then the Redemption amount he/she will get is as follows:
Total Redemption amount = 10,000 × 1.0160 = RMB 10,160
Back-end load = 10,000 × 1.0100 × 1.8% = RMB 181.80
Redemption fee = 10,160 × 0.5% = RMB 50.80
Redemption amount = 10,160 - 181.80 - 50.80 = RMB 9,927.40
i.e.: An Investor redeems 10,000 Class A Fund units with a Redemption fee rate of 0.5%. Suppose that the Net Asset Value per Unit of Class A Fund unit on the day of Redemption is RMB 1.0160, the back-end load applicable to Investor is 1.8% and that the Net Asset Value per Unit of Class A Fund unit at the time of Subscription is RMB 1.0100, then the Redemption amount he/she will get is RMB 9,927.40.
(5) Switching Fee
As announced by the Fund on December 11, 2007, the Fund has opened the daily Switching business of Class A Fund units since December 14, 2007. The Fund has not yet opened the daily Switching business of Class H Fund units. Thus, the content of this Chapter is only applicable to Class A Fund units.
1) Each Fund Switching is considered as a Redemption and a Subscription, the fee of which consists of the Redemption fee of the switching-out fund and the difference between the Subscription fees of the switching-in and switching-out funds.
2) Redemption Fee of Switching-out Fund
The Redemption fee of the switching-out fund is charged in accordance with the latest Redemption fee rate and calculation method prescribed by the latest Updated Prospectus of the Fund and relevant announcements. A pre-set of the Redemption fee will be added to Fund assets (charging standards shall follow the latest provisions stated at the latest Updated Prospectus of the Fund) and the rest will be paid for relevant handling fees like registration fee.
3) Make-up Fee for the Subscription of Switching-in and Switching-out Funds under the
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Front-end Load Mode
If a fund not charging the Subscription fee or with a low front-end load is switched to the fund with a high front-end load, the make-up fee for the front-end Subscription will be charged. If a fund with a high front-end load is switched to a fund not charging the Subscription fee or with a low front-end load, the make-up fee for the front-end Subscription will be charged. In principle, the make-up fee for Subscription will be the make-up of the switching-in front-end load rates categorized by the confirmed switching-in amount minus the switching-out front-end load rates, and both the Subscription make-up rates of the switching-in fund and the switching-out fund will be categorized by and decreased progressively with the confirmed switching-out fund.
4) Make-up Fee for the Subscription of Switching-in and Switching-out Funds under the Back-end Load Mode
If a fund not charging the Subscription fee or with a low back-end load is switched to a fund with a high back-end load, the make-up fee for the back-end Subscription will not be charged but the back-end load of the switching-in fund will be charged in full amount when the switching-in Fund units are redeemed. If a fund with a high back-end load is switched to a fund not charging the Subscription fee or with a low back-end load, the make-up fee for the back-end Subscription will be charged and the back-end load of the switching-in fund will be charged in full amount when the switching-in Fund units are redeemed. The back-end subscribing make-up fee will be the make-up of the back-end load rates of the switching-out fund categorized by the time its units are held minus the back-end load rates of the switching-in fund.
5) Subscription Make-up Rates Discount for Online Direct Sales
To better serve Investors, the Fund Manager has opened the online Fund direct sales service. Individual Investors can perform the Fund Switching business on the "online direct sales trading platform" where certain Switching services enjoy Switching fees discounts. The discounted fees are only available for the Subscription make-up fee of the switching-in fund and the switching-out fund, not for the switching-out fund Redemption fee. For details of the Switching service available on the Online Direct Sales Platform and the Switching rates discount, please visit the website of the Fund Manager.
For specific Switching rates, please see the related Switching rates chart or related announcement listed on Fund Manager's website (www.fund001.com).
6) The Fund Manager may adjust the above-mentioned charging methods and rates as allowed by the laws and regulations, and in such case, the Fund Manager must make an announcement on the media designated by the CSRC in accordance with related provisions of the Measures for Information Disclosure before the adjusted charging methods and rates being implemented.
(6) Calculation of Switching Units
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
1) Calculation and Examples of Switching Units under the Front-end Load Mode
Confirmed switch-out amount = switch-out Fund units × Net Asset Value per Unit of the Fund on the day of Switching application
Redemption fee of switch-out fund = confirmed switch-out amount × Redemption fee rate of corresponding switch-out fund
Confirmed switch-in amount = confirmed switch-out amount - Redemption fee of switch-out fund
Make-up fee for switch-out and switch-in fund Subscription = confirmed switch-in amount × make-up rate for subscribing of corresponding switch-out and switch-in funds / (1 + make-up rate for subscribing of corresponding switch-out and switch-in funds)
(Note: If a fixed amount of make-up fee for subscribing is available, the make-up fee for switch-out and switch-in fund Subscription = fixed amount of make-up fee for Subscription)
Confirmed unit of switch-in fund = (confirmed switch-in amount - make-up fee for switch-out and switch-in fund subscribing + A) / Net Asset Value per Unit of the Fund on the day of fund switch-in application
Where:
A is the account accumulative returns to be paid on Fund units switched out from the monetary market after pro rata carry-over (limited only to Funds switched out from the monetary market, otherwise A is 0).
The confirmed unit of switch-in fund should be rounded up to two decimal places, and any error should be added to Fund assets.
Example 1: An Investor holds 100,000 units of the BOCOM Schroder Leading Trend Mixed Securities Investment Fund under the front-end load mode with a half-year holding time. The net asset value of the BOCOM Schroder Leading Trend Mixed Securities Investment Fund per unit on the day of switch application is RMB 1.010 and the net asset value of BOCOM Schroder Growth Mixed Securities Investment Fund is RMB 2.2700. If the Investor switches the 100,000 units of the BOCOM Schroder Leading Trend Mixed Securities Investment Fund under the front-end load mode into the BOCOM Schroder Growth Mixed Securities Investment Fund units under the same mode, the confirmed units of switch-in funds of the BOCOM Schroder Growth Mixed Securities Investment Fund should be calculated as:
Confirmed switch-out amount = 100,000 × 1.010 = RMB 101,000
Redemption fee for switch-out fund = 101,000 x 0.5% = RMB 505
Confirmed switch-in amount = 101,000 - 505 = RMB 100,495
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Make-up fee for switch-out and switch-in fund Subscription = 100,495 × 0 / (1 + 0) = RMB 0
Confirmed unit of switch-in fund = (100,495 - 0) / 2.2700 = 44,270.93 units
Example 2: An Investor holds 1 million units of the BOCOM Schroder Enhanced Yield Bond Securities Investment Fund A with a holding time of one and a half year. The net asset value of the BOCOM Schroder Enhanced Yield Bond Securities Investment Fund A on the day of the switching application is RMB 1.0200, and that of the BOCOM Schroder Leading Trend Mixed Securities Investment Fund is RMB 1.010. If the Investor switches the 1 million units of the BOCOM Schroder Enhanced Yield Bond Securities Investment Fund A into units of the BOCOM Schroder Leading Trend Mixed Securities Investment Fund under the front-end load mode, the confirmed unit of switch-in fund of the BOCOM Schroder Leading Trend Mixed Securities Investment Fund should be calculated as:
Confirmed switch-out amount = 1,000,000 × 1.0200 = RMB 1,020,000
Redemption fee for switch-out fund = 1,020,000 x 0.05% = RMB 510
Confirmed switch-in amount = 1,020,000 - 510 = RMB 1,019,490
Make-up fee for switch-out and switch-in fund Subscription = 1,019,490 × 0.5% / (1 + 0.5%) = RMB 5,072.09
Confirmed unit of switch-in fund = (1,019,490 - 5,072.09) / 1.010 = 1,004,374.17 units
Example 3: An Investor holds 100,000 units of the Bank of Communications Schroder Enhanced Yield Bond Securities Investment Fund C, with holding period of one and a half years, whose net asset value per unit on the day of switch application is RMB 1.2500, while that of the BOCOM Schroder Core Equity Mixed Securities Investment Fund is RMB 2.2700 on the same day. If the Investor switches the 1 million units of the BOCOM Schroder Enhanced Yield Bond Securities Investment Fund C into units of the BOCOM Schroder Core Equity Mixed Securities Investment Fund under the front-end load mode, the confirmed unit of switch-in fund of the BOCOM Schroder Core Equity Mixed Securities Investment Fund should be calculated as:
Confirmed switch-out amount = 100,000 × 1.2500 = RMB 125,000
Redemption fee for switch-out fund = RMB 0
Confirmed switch-in amount = 125,000 - 0 = RMB 125,000
Make-up fee for switch-out and switch-in fund Subscription = 125,000 × 1.5% / (1 +1.5%) = RMB 1,847.29
Confirmed unit of switch-in fund = (125,000 - 1,847.29) / 2.2700 = 54,252.30 units
Example 4: An Investor holds 100,000 units of the BOCOM Schroder Money Market Securities Investment Fund A whose accrued returns to be paid is RMB 61.52. On the day of the
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1) switch application, the net asset value of the BOCOM Schroder Enhanced Yield Bond Securities Investment Fund A/B per unit is RMB 1.2700 and that of BOCOM Schroder Money Market Securities Investment Fund is RMB 1.00 per unit. If the Investor switches the 100,000 units of the BOCOM Schroder Money Market Securities Investment Fund A into units of the BOCOM Schroder Enhanced Yield Bond Securities Investment Fund A, the confirmed unit of switch-in fund of the BOCOM Schroder Enhanced Yield Securities Investment Bond Fund A should be calculated as:
Confirmed switch-out amount = 100,000 × 1.00 = RMB 100,000
Redemption fee for switch-out fund = RMB 0
Confirmed switch-in amount = 100,000 - 0 = RMB 100,000
Make-up fee for switch-out and switch-in fund Subscription = 100,000 × 0.8% / (1 + 0.8%) = RMB 793.65
Confirmed unit of switch-in fund = (100,000 - 793.65 + 61.52) / 1.2700 = 78,163.68 units
2) Calculation and Examples of Switching Units under the Back-end Load Mode
Confirmed switch-out amount = switch-out Fund units × Net Asset Value per Unit of the Fund on the day of Switching application
Redemption fee of switch-out fund = confirmed switch-out amount × Redemption fee rate of corresponding switch-out fund
Confirmed switch-in amount = confirmed switch-out amount - Redemption fee of switch-out fund
Make-up fee for switch-out and switch-in fund Subscription = confirmed switch-in amount × make-up rate for Subscription of corresponding switch-out and switch-in funds
Confirmed unit of switch-in fund = (confirmed switch-in amount - make-up fee for switch-out and switch-in fund subscribing + A) / Net Asset Value per Unit of the Fund on the day of fund switch-in application
Where:
A is the account accumulative returns to be paid on Fund units switched out from the monetary market fund after pro rata carry-over (limited only to Funds switched out from the monetary market, otherwise A is 0).
The confirmed unit of switch-in fund should be rounded up to two decimal places, and any error should be added to Fund assets.
Example 5: An Investor holds 100,000 units of the BOCOM Schroder Dynamic Allocation Theme Selection Mixed Securities Investment Fund under the back-end load mode with a holding
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1) time of one and a half year, the net asset value of which per unit on the day of switch application is RMB 1.2500; and the net asset value of the BOCOM Schroder Stable Allocation Mixed Securities Investment Fund is RMB 2.2700. If the Investor switches the 100,000 back-end units of the BOCOM Schroder Dynamic Allocation Theme Selection Mixed Securities Investment Fund into back-end units of the BOCOM Schroder Stable Allocation Mixed Securities Investment Fund, the confirmed switch-in unit of the latter should be calculated as:
Confirmed switch-out amount = 100,000 × 1.250 = RMB 125,000
Redemption fee for switch-out fund = 125,000 x 0.2% = RMB 250
Confirmed switch-in amount = 125,000 - 250 = RMB 124,750
Make-up fee for switch-out and switch-in fund Subscription = 124,750 × 0 = RMB 0
Confirmed unit of switch-in fund = (124,750 - 0) / 2.2700 = 54,955.95 units
Example 6: An Investor holds 100,000 units of the BOCOM Schroder Pioneer Mixed Securities Investment Fund under the back-end load mode with a holding time of one and a half year, the net asset value of which per unit on the day of Switching application is RMB 1.2500; and the net asset value of the BOCOM Schroder Money Market Securities Investment Fund is RMB 1.00. If the Investor switches the 100,000 units of the BOCOM Schroder Pioneer Stock Mixed Securities Investment Fund into units of the BOCOM Schroder Money Market Securities Investment Fund, the confirmed unit of switch-in fund of the BOCOM Schroder Money Market Securities Investment Fund should be calculated as:
Confirmed switch-out amount = 100,000 × 1.250 = RMB 125,000
Redemption fee for switch-out fund = 125,000 x 0.2% = RMB 250
Confirmed switch-in amount = 125,000 - 250 = RMB 124,750
Make-up fee for switch-out and switch-in fund Subscription = 124,750 × 1.2% = RMB 1,497
Confirmed unit of switch-in fund = (124,750 - 1497) / 1.00 = 123,253.00 units
Example 7: An Investor holds 100,000 units of BOCOM Schroder Blue Chip Mixed Securities Investment Fund under the back-end load mode with a holding time of three and a half years. On the day of switch application, the net asset value of BOCOM Schroder Blue Chip Mixed Securities Investment Fund is RMB 0.8500 while that of BOCOM Schroder Enhanced Yield Bond Securities Investment Fund B is RMB 1.0500 per unit. If the Investor switches the 100,000 units of BOCOM Schroder Blue Chip Mixed Securities Investment Fund into units of BOCOM Schroder Enhanced Yield Bond Securities Investment Fund B, the switch-in fund units of the latter should be calculated as:
Confirmed switch-out amount = 100,000 × 0.850 = RMB 85,000
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1)
Redemption fee for switch-out fund = 85,000 × 0 = RMB 0
Confirmed switch-in amount = 85,000 - 0 = RMB 85,000
Make-up fee for switch-out and switch-in fund Subscription = 85,000 × 0.2% = RMB 170
Confirmed unit of switch-in fund = (85,000 - 170) / 1.0500 = 80,790.48 units
Example 8: An Investor holds 100,000 units of BOCOM Schroder Money Market Securities Investment Fund A whose not-carried-over returns to be paid is RMB 61.52. On the day of the switch application, the net asset value of BOCOM Schroder Enhanced Yield Bond Securities Investment Fund B per unit is RMB 1.2700 and that of BOCOM Schroder Money Market Securities Investment Fund is RMB 1.00 per unit. If the Investor switches the 100,000 units of BOCOM Schroder Money Market Securities Investment Fund A into units of Schroder Enhanced Yield Bond Securities Investment Fund Class B, the confirmed unit of switch-in fund of BOCOM Schroder Enhanced Yield Securities Investment Bond Fund Class B should be calculated as:
Confirmed switch-out amount = 100,000 × 1.00 = RMB 100,000
Redemption fee for switch-out fund = RMB 0
Confirmed switch-in amount = 100,000 - 0 = RMB 100,000
Make-up fee for switch-out and switch-in fund Subscription = 100,000 × 0 = RMB 0
Confirmed unit of switch-in fund = (100,000 + 61.52) / 1.2700 = 78,788.60 units
(7) The Fund Manager may adjust the Subscription fee rates and the Redemption fee rates in accordance with the laws and regulations and the Fund Contract. The latest Subscription fee rates and Redemption fee rates are set out in the updated Prospectus. If there are changes in rates, the Fund Manager must make an announcement on at least one kind of the media designated by the CSRC at least three days prior to the adoption of the new rates.
(III) Items not included in Fund Fees
Fees and expenses or Fund assets loss due to the failure of the Fund Manager and the Fund Custodian to fulfill or completely fulfill their obligations as well as the fees of handling events not related to Fund operations should not be included in Fund fees.
The information disclosure fee, accountants' fee, legal fee and other fees during the Offering Period should not be disbursed from Fund assets. Other items not included in Fund fees shall be operated based on relevant rules of the CSRC.
(IV) Adjustment of the Fund Management Fee and Custodian Fee
The Fund Manager and the Fund Custodian can adjust the rates of the management fee and the custodian fee or change the charging model in accordance with the Fund development. Unless
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BOCOM Schroder Growth Mixed Securities Investment Fund (Updated) Prospectus Summary (2020 No.1) otherwise specified by the Fund Contract and relevant laws and regulations, there shall be a general meeting of Fund Unitholders for the increase of Fund management rates and Fund custody rates; while a general meeting of Fund Unitholders is not required for the approval of the decrease of Fund management rates and Fund custodian rates or the change of charging model without increasing the general level of the rates.
If the continuous sales service fee model for the Fund or funds of this type is allowed by the laws and regulations or the regulatory bodies, the Fund may introduce continuous sales service fee pricing model in accordance with the laws; unless otherwise specified by the laws and regulations as well as the regulatory bodies, if the introduction of this pricing model does not impose the burdens to existing Fund Unitholder(s), then a general meeting of Fund Unitholders is not required.
The Fund Manager must make an announcement on at least one kind of the media designated by the CSRC in accordance with the relevant provisions of the Measures for Information Disclosure prior to the adoption of the new rates or charging model.
(V) Taxation of the Fund
All tax payers related in the operations of the Fund should fulfill their own tax obligations in accordance with the laws and regulations of Mainland China, Hong Kong, and the countries where Investors are located.
XIV. Sections updated in the Prospectus
Overall updates
(I) Updated the relevant content in “Important Information”
(II) Updated the relevant content in “Section III. Fund Manager”
(III) Updated the relevant content in “Section IV. Fund Custodian”
(IV) Updated the relevant content in “Section V. Relevant Service Providers”
(V) Updated the relevant content in “ Section X. Investment of the Fund”, data as at December 31, 2019.
(VI) Updated the relevant content in “Section XI. Performance of the Fund”, data as at December 31, 2019.
(VII) Updated the relevant content in “Section XVIII. Risk Disclosures”
(VIII) Updated the relevant content in “Section XXIII. Other Disclosures”
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Bank of Communications Schroder Fund Management Co., Ltd.
June 6, 2020
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