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China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated)

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China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated) China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated) (2015 No.3) Fund Manager: China Southern Asset Management Co., Ltd. Fund Custodian: Industrial and Commercial Bank of China Limited 18 December 2015 China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated) Contents 1. PREFACE 4 2. DEFINITION 5 3. FUND MANAGER 11 4. FUND CUSTODIAN 24 5. RELATED SERVICE AGENCIES 31 6. SUBSCRIPTION AND REDEMPTION OF UNITS 92 7. FUND INVESTMENT 104 8. FUND ASSETS 119 9. VALUATION OF FUND ASSETS 121 10. FUND INCOME AND DISTRIBUTION 127 11. FUND EXPENSES AND TAX 129 12. FUND ACCOUNTING AND AUDITING 132 13. INFORMATION DISCLOSURE OF THE FUND 133 14. RISK DISCLOSURE 140 15. MODIFICATION AND TERMINATION OF FUND CONTRACT AND LIQUIDATION OF FUND ASSETS 143 16. SUMMARY OF FUND CONTRACT 146 17. SUMMARY OF FUND CUSTODIAN AGREEMENT 167 18. SERVICES TO UNITHOLDERS 188 19. OTHER DISCLOSURES 192 20. MAINTENANCE AND INSPECTION OF THE PROSPECTUS 200 21. DOCUMENTS AVAILABLE FOR INSPECTIONS 201 2 China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated) IMPORTANT The Fund has been approved by the CSRC on 25 April 2008 in its approval document Zheng Jian Xu Ke [2008] No. 596, and was established on 18 June 2008. The Fund Manager warrants that the contents of this Prospectus are true, accurate and complete. This Prospectus has been approved by the CSRC; nevertheless, in giving such approval, the CSRC implies no judgment in substance or guarantee for the value and income of the Fund, nor does it imply that the investment in the Fund is risk-free. Before investing in this Fund, investors are advised to have full understanding of the Fund’s product features, and they should consider their own risk tolerance thoroughly, estimate the market rationally, and make decisions on the investment behaviors such as intention, timing and quantity of fund subscription, while they are entitled to the income of the Fund investment, they also bear the corresponding investment risks, including: systematic risks arising from political, economic, social and other influences on the prices of securities; non-systematic risks of individual securities; liquidity risk arising from continuing massive redemption by Unitholders; and management risk arising from the fund management activities of the Fund Manager; risks pertaining to the Fund. Investment involves risk. Before investing in this Fund, investors are advised to read through the Prospectus carefully. The Fund's past performance is not indicative of its future performance. The Fund Manager shall manage the fund assets with honesty, good faith, prudence and efficiency, but does not guarantee any profits or minimum returns on the Fund. The Prospectus has been reviewed by the Fund Custodian. The content contained in this Prospectus is up to 18 December 2015, and the related financial data and NAV performance data are as of 30 September 2015. (Unaudited) 3 China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated) 1. Preface This Prospectus is drafted pursuant to the Law of the People’s Republic of China on Securities Investment Funds (hereinafter referred to as the "Funds Law"), the Administrative Measuses on Operation of Securities Investment Funds (hereinafter referred to as the "Operation Measures"), the Administrative Measuses on Sale of Securities Investment Funds (hereinafter referred to as the "Sale Measures"), the Administrative Measures on Information Disclosure of Securities Investment Funds (hereinafter referred to as the " Information Disclosure Measures ") and the Fund Contract of China Southern Selected Value Mixed Securities Investment Fund (hereinafter referred to as the "Fund Contract"). The Fund Manager hereby warrants that there is no false or misleading statement or material omission in this Prospectus, and it shall be responsible for the truthfulness, accuracy, and completeness thereof. The Fund shall apply for offering based on the information in this Prospectus. The Fund Manager does not entrust or authorize any person to provide any information that is not disclosed in this Prospectus or to make any explanation or clarification of this Prospectus. This Prospectus is drafted pursuant to the Fund Contract and approved by the CSRC. The Fund Contract is the legal document stipulating the rights and obligations of the Parties to Fund Contract. Investors become Unitholders and Parties to the Fund Contract starting upon acquiring the Units pursuant to the Fund Contract. Their holding of the Units indicates their acknowledgement and acceptance of the Fund Contract, and they shall enjoy the rights and bear the obligations pursuant to the Funds Law, the Fund Contract and other Laws and Regulations. Investors should carefully review the Fund Contract to have a knowledge of the rights and obligations of the Unitholders. 4 China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated) 2. Definition Unless otherwise specified herein, the following terms in this Prospectus shall have the meanings given below: “Contract” or “Fund refers to the Fund Contract of China Southern Selected Value Mixed Contract” Securities Investment Fund and any valid amendments and supplements thereto from time to time “China” or the “PRC” refers to the People's Republic of China, for the purposes of the Fund Contract only, excluding Hong Kong Special Administrative Region, Macau Special Administrative Region and Taiwan “Laws and refers to the laws, administrative regulations, departmental rules and Regulations” regulatory documents of the PRC in effect at the present time “Funds Law” refers to the Law of the People’s Republic of China on Securities Investment Fund “Sale Measures” refers to the Administrative Sale Measures of Securities Investment Fund “Operation Measures” refers to the Administrative Operation Measures of Securities Investment Fund “Information refers to the Administrative Information Disclosure Measures of Disclosure Measures” Securities Investment Fund “RMB” or “Yuan” refers to RMB Yuan, the lawful currency of the PRC “Fund” or the “Fund” refers to the China Southern Selected Value Mixed Securities Investment Fund offered pursuant to the Fund Contract “Prospectus” refers to the Prospectus of China Southern Selected Value Mixed Securities Investment Fund , an offering document for the disclosure of information in relation to the Fund, including the Fund Manager, the Fund Custodian, relevant service providers, the initial offering of the Fund, the coming into effect of the Fund Contract, Subscription and Redemption of Units, Fund investments, Fund performance, Fund assets and valuation of Fund assets, the Fund Income and its distribution, fees and taxation, information disclosure, risk disclosure, termination and liquidation of the Fund, summary of the Fund Contract, summary of the Custodian Agreement, services to Unitholders, other disclosures, maintenance and inspection of this Prospectus, documents available for inspection and other information for Investors to consider and make decision on the initial Subscription or Subscription, and its periodic updates 5 China Southern Selected Value Mixed Securities Investment Fund Prospectus (Updated) “Custodian refers to the Custodian Agreement of China Southern Selected Value Agreement” Mixed Securities Investment Fund entered into between the Fund Manager and the Fund Custodian and any valid amendments and supplements thereto from time to time “Offering refers to the Offering Announcement of China Southern Selected Value Announcement” Equity Securities Investment Fund “Business Rules” refers to the Rules on Open-ended Fund Business of China Southern Asset Management Co., Ltd. “CSRC” refers to the China Securities Regulatory Commission “Banking Regulatory refers to the China Banking Regulatory Commission or other entities as Authority” authorised by the State Council of the PRC “Fund Manager” refers to China Southern Asset Management Co., Ltd. “Fund Custodian” refers to the Industrial and Commercial Bank of China Limited “Unitholder” refers to an investor who lawfully acquires Units pursuant to the Fund Contract and relevant documents “Sales Agency” refers to a sales agency which is qualified to carry out sales agency of funds under the Sale Measures and other requirements of the CSRC and has entered into a sales and service agency agreement with respect to the Fund with the Fund Manager to handle the Offer, Subscription, Redemption and other operations of the Fund “Sales Institutions” refers to the Fund Manager and Sales Agencies “Sales Outlets” refers to direct sales outlets of the Fund Manager and distribution outlets of the Sales Agencies “Registration refers to the registration, deposit, transfer, clearing and settlement of the Business” Fund, including management of the Unitholders’ Fund Accounts, registration, settlement and clearing of the Units, confirmation of transactions of the Fund, distribution of dividends, creation and maintenance of the register of the Unitholders and others “Fund Registration refers to China Southern Asset Management Co., Ltd. or other eligible Institution” institutions authorized by it to handle the registration business for the Fund “Parties to the Fund refers to legal entities which are bound by the Fund Contract and enjoy Contract” the rights and bear the obligations under the Fund Contract, including the Fund Manager, the Fund Custodian and the Unitholders “Retail Investor” refers to a natural person who is eligible
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