BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary
(2019 No.1)
Fund Manager: Bank of Communications Schroder Fund
Management Co., Ltd.
Fund Custodian: China Construction Bank Corporation
June 2019
The Fund Prospectus is revised every 6 months and announced within 45 days after each relevant 6 month period updating to the last day of the relevant 6 month period
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
[Important Information] The BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (hereinafter referred to as the "Fund") was offered upon approval by the China Securities Regulatory Commission ("CSRC") on April 25, 2006 pursuant to Document No.78 [2006] of the CSRC. The Fund Contract of the Fund comes into effect as of June 14, 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 any decision made concerning the Fund does not imply that the CSRC's substantive judgment on or guarantee for the value and returns of the Fund, or 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.
The contents of this Prospectus are as at June 14, 2019, while relevant financial data and Net Asset Value performance are as at March 31, 2019. The financial data set out in this Prospectus have not been audited.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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 Operations: Continuous operations
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 full name or 65% 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 Board of Directors of Fund Manager
Ms. RUAN Hong, Chairperson of the Board, Doctoral Degree. 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 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.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Mr. CHEN Chao Teng, Vice-Chairman of the Board, Doctoral Degree. 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. 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. 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 Guangxi Liuzhou Branch of Bank of Communications, Assistant to the President at Inner Mongolia Branch of Bank of Communications.
Mr. XIE Wei, Director, Doctoral Degree, 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. 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. He currently serves as the CEO, Asia Pacific with Schroders plc. He has served successively as the Head of Asian Investment Product with Schroder 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. 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.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Mr. ZHANG Zi Xue, Independent Director, Doctoral Degree. He is currently a Professor at the School of Civil and Commercial Economic Law of China University of Political Science and Law and a member of the Self-discipline Supervision Committee of the Asset Management Assication 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. 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 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 Office of the Fund Manager
Mr. WANG Yi Jun, Head of Supervisors, Master Degree. 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, 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.
Mr. ZHANG Jun Xiang, Supervisor, Master Degree, 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.
Ms. ZHANG Ling Han, Supervisor, Bachelor Degree. She currently serves as the Director of the Sales Management Department of Bank of Communications Schroder Fund Management Company Limited. She has successively served as customer manager of the Fuzhou Branch of the Bank of China, the District Manager of the Shanghai Branch of New China Life Insurance Company Limited, the Channel Manager of the Marketing Department of Galaxy Asset Management Company Limited, the Channel Manager, the Deputy General Manager of the Channel Department and the Deputy General Manager of the Guangzhou Branch, General Manager of Sales Management Department of Bank of Communications Schroder Fund Management Company Limited.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Mr. LIU Zheng, Supervisor, Master Degree. He currently serves as the Deputy General Manager of the General Manager’s Office 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.
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, Doctoral Degree, 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. Also serves as Chairman of Bank of Communications Schroder Asset Management Co., Ltd. She has successively served as Deputy Head of Reform Planner, the 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, Senior Economist. Also serves as Director of Bank of Communications Schroder Asset Management Co., Ltd. She has 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. 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. CHEN, Zi Duo, Fund Manager, Master in Materials Science and Engineering at Tsinghua University, with 11 years of working experience in fund management industry. Joined Bank of Communications Schroder Fund Management Co., Ltd. in August 2008, He has successively served as Sector Analyst ,Senior Analyst, and
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Assistant Head of Research. Fund Manager of BOCOM Schroder Blue Chip Mixed Securities Investment Fund (previously BOCOM Schroder Blue Chip Securities Investment Fund) from October 22, 2014 to January 28, 2019; Fund Manager of BOCOM Schroder Stable Allocation Mixed Securities Investment Fund since 4 July 2018.
Former Fund Managers:
Ms.TANG Qian, served as the Fund Manager of the Fund from 12 December, 2013 to 27 July, 2018.
Mr. ZHANG Ke Bing, served as the Fund Manager of the Fund from July 19, 2011 to January 9, 2014.
Mr. HUA Xin, served as the Fund Manager of the Fund from September 10, 2009 to August 3, 2011.
Mr. LI Li, served as the Fund Manager of the Fund from August 21, 2009 to December 30, 2010.
Mr. ZHENG Tuo, served as the Fund Manager of the Fund from July 4, 2007 to August 20, 2009.
Mr. LI Xu Li, served as the Fund Manager of the Fund from June 14, 2006 to July 3, 2007.
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 Investment (Mutual Funds), 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 June 14, 2019. For any post-period change (if any), please refer to related announcements released by the Fund Manager.
II. Fund Custodian
(I) Information of the Fund Custodian
1. Basic Information
Name: China Construction Bank Corporation ("China Construction Bank")
Domicile: 25 Jinrong Street, Xicheng District, Beijing
Office Address: No.1 Building, Yard 1, Naoshikou Street, Xicheng District, Beijing
Legal Representative: TIAN Guo Li
Date of Establishment: September 17, 2004
Form of the Organization: A limited liability corporation
Registered Capital: RMB two hundred and fifty billion ten million nine hundred and seventy-seven thousand four hundred and eighty-six (RMB 250,010,977,486)
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Term of Operations: Continuous operations
Reference number of approval for custody qualification: Document No.12 [1998] of the CSRC
Contact: TIAN Qing
Telephone: (010) 6759 5096
China Construction Bank (CCB), established in October 1954, is a large-scale joint-stock commercial bank with headquarters in Beijing, pioneering in China and famous in the world. The CCB was listed on the Hong Kong Stock Exchange (HKEx) in October 2005 (stock code 939) and listed on Shanghai Stock Exchange (SSE) in September 2007 (stock code 601939).
At the end of June 2018, the CCB Group’s total assets were RMB22,805,182 million, an increase of RMB680,799 million or 3.08% over the end of last year. In the first half of 2018, the CCB Group maintained steady growth in profitability, profit before tax increased by RMB9,327 million or 5.42% to RMB181,420 million over the same period last year, and net profit increased by RMB8,456 million or 6.08% to RMB147,465 million.
In 2017, CCB received “2017 Best Bank in China ” awards from Hong Kong Asia Currency, the “2017 Best Transforming Bank” awards from US Global Finance, the “2017 Best Digital Banking in China” and “2017 Best Large-scale Retail Bank in China” awards from Singapore Asian Banker, “2017 Best Innovation Bank” awards from the Asian Banker, and the “Most Social Responsible Financial Institution Award” from China Banking Association. The CCB Group ranked 2nd in the “2017 World’s Top 1000 Banks” from the UK magazine The Banker’s and ranked 28th in the “World’s Top 500” from the US magazine Fortune in 2017.
The China Construction Bank Headquarters has the Department of Asset Custody Business which includes 10 functional offices, namely the General and Compliance Office, Fund Market Office, Office of Securities & Insurance Assets Market, Office of Wealth Management, Trust & Stock Rights Market, QFII Custody Office, Pension Custody Office, Liquidation Office, Accounting Office, Cross-border Custody Operating Office and Supervision and Audit Office. A custody operation center is set up in Hefei, Anhui Province, and a sub-center of custody operation center has set up in Shanghai, with a total of more than 315 employees. Since 2007, the Department has, as a regular internal control measure, continuously engaged external accounting firms to perform its internal control audit.
2. Information of Key Personnel
Ji Wei, General Manager of Department of Asset Custody Business, formerly worked at the Project Finance Department and Credit Business Department for China Construction Bank Nantong Branch. Also held the leading positions in the Business Department, Investment Custody Department and Credit Approval Department at the Headquarter. He has 8 years custodian services expericence with rich experience in customer service and business management.
Gong Yi, Seinor Manager of Department of Asset Custody Business (Level I, Professional), formerly worked at China Construction Bank Beijing Branch International Department, Sales Department and was appointed as
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Vice President to manage Credit Business and Group Clients Business, he has accumulated rich experience in customer service and business management.
Huang Xiulian, Senior Manager of Department of Asset Custody Business (Level I, Professional), formerly worked in the Accounting Department of the CCB Headquarters and has been engaged in custody business management work for a long time with extensive experience in customer service and business management.
Zheng Shaoping, Deputy General Manager of Asset Custody Business Department, previousely worked at the Investment Department, Principal Agency Department and Strategic Account Department of China Construction Bank Head Office, and has been engaged in customer services and credit business management for an extended period. He also has rich experience in customer service and business management.
Yuan Ding, Deputy General Manager of Asset Custody Business Unit, worked in the International Business Department of China Construction Bank Head Office. He has been engaged in overseas business and overseas business management, domestic foreign exchange business management, foreign financial institution customer marketing, strong experience in client services and business management area.
3. Information of Business Operations of the Fund Custodian
CCB, as one of the first commercial banks in China to provide securities investment fund custody business, CCB has always upheld the "customer-oriented" operation philosophy, continued to strengthen risk management and internal control, strictly carried out all responsibilities as a custodian, so as to protect the legal rights and interests of assets holders and provide qualified custody services for clients. After years of steady development, the scale of assets under custody keeps expanding and types of custody businesses increasingly grow, a custody business system is formed, including products like securities investment funds, social security funds, insurance capital, individual accounts of basic pension insurance, (R)QFII, (R)QDII and enterprise annuity. Therefore, China Construction Bank is now one of the commercial banks with most types of custody businesses in China. As of the end of the 2nd quarter of 2018, 857 securities investment funds are under the custody of China Construction Bank. CCB has, on the basis of its professional and highly efficient custody service ability and outstanding business standard, won a great recognition in the industry. China Construction Bank successively awarded “Best Custodian Bank in China” from Global Custodian for 9 times, “The Best Trustee Bank in China” awards from The Asset Financial Magazine for 4 times, “ Best Trustee Insituional” awards 5 times consecutively from China Government Securities Depository Trust & Clearing Co. Ltd., , “The Best Custodian Bank”awards from Global Finance Magazine which was the only Chinese bank received this recognition.” in 2016, and “The Best Custody System Implementation” awards from Asian Banker in 2017.
(II) Internal Risk Control System of the Fund Custodian
1. Objectives of Internal Control
As the Fund Custodian, China Construction Bank will strictly abide by relevant laws, regulations on custody business promulgated by the country, rules of industrial regulation, and relevant management rules within the industry; perform business in conformity with the law, ensure normative operation and realize strict supervision;
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2) guarantee stable business operation, safety and integrity of Fund assets, faithfulness, accuracy, completeness and timeliness of relevant information; and protect the lawful rights and interests of Fund Unitholder(s).
2. Organizational Structure of Internal Control
China Construction Bank has a Risk and Internal Control Management Committee, responsible for risk management and internal control as well as examine and provide guidance to the risk control of the custody business. The Department of Asset Custody Business has established a dedicated Internal Control and Compliance team who is responsible for the internal control and compliance of the Asset Custody Business, they are empowered with independent supervision and internal control compliance functions and capabilities.
3. Internal Control System and Measures
The Department of Asset Custody Business has had 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.
(III) The Methods and Procedures for the Fund Custodian to Supervise Operations of the Fund by the Fund Manager
1. Supervision Methods
The investment operation of funds under custody will be supervised in accordance with the Fund Law and its complementary laws and regulations and the Fund Contract. The self-developed "New Custody Business Supervision – Subsystem” will be used to, in strict accordance to requirements of currently applicable laws and regulations and the Fund Contract, supervise the ratio, scope and portfolio of Fund investment operated through the Fund Manager. In daily Fund settlement and accounting services provided for Fund investment operation, the Investment Orders sent to the Fund Manager, withdrawals and expenditures of Fund fees conducted by the Fund Manager should also be supervised.
2. Supervision Procedures
(1) The New Custody Business Supervision – Subsystem will be used regularly each day to supervise all ration control of Fund investment operation. Any abnormal findings should be risk warning to the Fund Manager, check with the Fund Manager and urge the latter to rectify, in case of any significant events a timely report will be submitted to CSRC.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
(2) Upon receiving any funds transfer directive from the Fund Manager, all elements of orders should be examined.
(3) Technical and non-technical methods will be used to detect suspected violating trades (if any), require the Fund Manager to explain or provide evidence by phone or in written, and make timely report to CSRC if necessary.
III. Relevant Service Providers
(1) Fund Units Sales Agency
1. Class A Fund Units Direct Sales Agency
The direct sales agency consists of the Company direct sales counter and its online direct sales trading platform (including website and 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
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 and regular Pre-authorized Contribution of front end Class A Fund units 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. OTC Sales Agencies for Class A Fund units other than the direct sales agency:
(1) Industrial and Commercial Bank of China Limited
Domicile: 55 Fuxingmen Inner Street, Beijing
Office Address: 55 Fuxingmen Inner Street, Beijing
Legal Representative: YI Hui Man
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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 Center, 28 Fuxingmen Inner Avenue , Xicheng District, Beijing
Legal Representative: ZHOU Mu Bing
Telephone:(010)66060069
Fax: (010) 85109219
Contact: HE Qian
Customer Service Hotline: 95599
Website: www.abcchina.com
(3) China Construction Bank Corporation
Domicile: No. 25, Finance Street, Xicheng District, Beijing
Office Address: No. 25, Finance 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
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
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: DONG Jian Yue
Contact: YANG Ming Sheng
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 12
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
Legal Representative: XU Ye
Customer Service Hotline: 95568
Website: www.cmbc.com.cn
(10) China Everbright Bank Co., Ltd.
Domicile: No.25 Taipingqiao Ave, 25 Everbright Center, Xicheng District, Beijing
Office Address: No.25 Taipingqiao Ave, 25 Everbright Center, Xicheng District, Beijing
Legal Representative: TANG Shuang Ning
Telephone: (010) 68098778
Fax: (010) 68560661
Contact: LI Wei
Customer Service Hotline: 95595
Website: www.cebbank.com
(11) Citibank (China) Co., Ltd.
Domicile: 35th Floor Citigroup Tower, 33 Hua Yuan Shi Qiao Lu, Shanghai Pudong New Area
Office Address: 35th Floor Citigroup Tower, 33 Hua Yuan Shi Qiao Lu, Shanghai Pudong New Area
Zip code: 200120 13
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Legal representative: LIN Yuhua
Customer Service Hotline : 400-821-1880,800-830-1880 (using landline within Mainland China )
Website: www.citibank.com.cn
(12) 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
(13) Bank of Beijing Co., Ltd.
Domicile: Ground Floor, No. A-17, Financial Street, Xicheng District, Beijing
Office Address: Ground Floor, No. A-17, Financial Street, Xicheng District, Beijing
Legal Representative: ZHANG Dong Ning
Fax: (010) 66226045
Contact: KONG Chao
Customer Service Hotline: 95526
Website: www.bankofbeijing.com.cn
(14) PingAn Bank Co., Ltd.
Domicile: 5047 East Shennan Road, Shenzhen City
Office Address: 5047 East Shennan Road, Shenzhen City, Guangdong Province
Legal Representative: XIE Yong Lin
Telephone: (021) 38637673
Fax: (021) 50979507
Contact: ZHANG Li
Customer Service Hotline: 95511-3
Website: www.bank.pingan.com 14
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
(15) Bank of Jiangsu Co., Ltd.
Domicile: 26 Zhong Hua Lu, Nanjing
Office Address: 26 Zhong Hua Lu, Nanjing
Legal Representative: XIA Ping
Telephone: (025) 58587018
Fax: (025) 58587038
Contact: TIAN Chun Hui
Customer Service Hotline: 95319
Website: www.jsbchina.cn
(16) 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
(17) Bank of Hangzhou Co., Ltd.
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
(18) 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 15
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Telephone: (0512) 52909128
Fax: (0512) 52909122
Contact: HUANG Xiao
Customer Service Hotline: 962000
Website: www.csrcbank.com
(19) 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
(20) Dongguan Rural Commercial Bank Co., Ltd.
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
(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 16
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Fax: (021) 22169134
Contact: LIU Chen
Customer Service Hotline: 10108998
Website: www.ebscn.com
(22) Guotai Junan Securities Co., Ltd.
Domicile: 618 Shangcheng Road, China (Shanghai) Pilot Free Trade Zone, Shanghai
Office Address: 29/F, Bank of Shanghai Building, 168 Middle Yincheng Road, Pudong New Area, Shanghai
Legal Representative: YANG De Hong
Telephone: (021) 38676666
Fax: (021) 38670666
Contact: RUI Ming Qi
Customer Service Hotline: 95521, 400-8888-666
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: 4008-888-108
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
17
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
(25) GF Securities Co., Ltd.
Domicile: 43/F, Metropolitan Plaza, 183 North Tianhe Road, Guangzhou
Office Address: 36/F, 38/F, 41/F, 42/F, Metropolitan Plaza, 183 North Tianhe Road, Guangzhou
Legal Representative: WANG Zhi Wei
Fax: (020) 87555305
Contact: XIAO Zhong Mei
Customer Service Hotline: 95575 or dial the service hot-lines of the banking office of relevant city.
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 Jinrong 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: 38-45/F, Tower A, Jiangsu Tower, Yitian Road, Futian District, Shenzhen
Office Address: 38-45/F, Tower A, Jiangsu Tower, Yitian Road, Futian District, Shenzhen
Legal Representative: GONG Shao Lin
Telephone: (0755) 82943666
Fax: (0755) 82943636
Contact: HUANG Jian
Customer Service Hotline: 400-8888-111, 95565 18
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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: A/F, China Merchants Bank Building, 7088 Shennan Street, Shenzhen City
Office Address: Citic Securities Building, 48 Liangmaqiao Road, Chaoyang District, Beijing
Legal Representative: WANG Dong Ming
Telephone: (010) 60838888
Fax: (010) 60833739
Contact: CHEN Zhong
Customer Service Hotline: 95558
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: LI Mei
Telephone: (021) 33389888
Contact: LI Qing Yi
Customer Service Hotline: 95523 or 4008895523
Website: www.sywg.com
(31) Xiangcai Securities Co., Ltd.
Domicile: 12/F, Zhongshan International Building, 63 Middle Huangxing Road, Changsha City, Hunan 19
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Province
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, 10/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
Office Address: Huatai Securities Plaza, 228 Middle Jiangdong Road, Jianye District, Nanjing, Jiangsu
Legal Representative: ZHOU Yi
Telephone: (0755) 82492193
Fax: (0755) 82492962
Contact: PANG Xiao Yun
Customer Service Hotline: 95597
Website: www.htsc.com.cn
(34) BOCI International (China) Limited
Domicile: 39/F, 200 Middle Yincheng Road, Shanghai
Office Address: 39 - 40/F, Zhongyin Building, 200 Middle Yincheng Road, Pudong New Area, Shanghai
20
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Legal Representative: XU Gang
Contact: LI Dan
Customer Service Hotline: 400-620-8888
Website: www.bocichina.com
(35) CITIC Securities (Shandong) Co., Ltd.
Domicile: Unit 1507-1510, 15/F, Aucma Building, 29 Miaoling Road, Laoshan District, Qingdao
Office Address: 20/F, No.1 Building, Qingdao International Financial Center, 222 Shenzhen Road, Laoshan District, Qingdao
Legal Representative: YANG Bao Lin
Telephone: (0532) 85022326
Fax: (0532) 85022605
Contact: WU Zhong Chao
Customer Service Hotline: (0532) 96577
Website: www.zxwt.com.cn
(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
Office Address: 16-26/F, Guosen Securities Building, 1012 Middle Hongling Road, Luohu District, Shenzhen
Legal Representative: HE Ru
21
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
Telephone: (0791) 86768681
Fax: (0791) 86770178
Contact: DAI Lei
22
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
Legal Representative: HU Yuan Zhao
Telephone: (027) 65799999
Fax: (027) 85481900
Contact: LI Liang
Customer Service Hotline: 95579 or 4008-888-999 23
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
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, 24
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Shenzhen
Office Address: 8/F, Great China International Exchange Square Podium Building, Jintian Road, Futian District, Shenzhen (518048)
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
Office Address: 17/F, Fulian Building, 2 West Lianqian Road, Xiamen
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
Legal Representative: CHEN Lin
Telephone: (021) 68777222
Fax: (021) 68777822
Contact: ZHAO Jie
Customer Service Hotline: 400-820-9898
Website: www.cnhbstock.com
25
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
(50) Caitong Securities Co., Ltd.
Domicile: Unit 201, 501, 502, 1103, 1601-1615, 1701-1716, Jiahua International Business Center, No. 15 Hangda Road, Hangzhou
Office Address: Unit 201, 501, 502, 1103, 1601-1615, 1701-1716, Jiahua International Business Center, No. 15 Hangda Road, Hangzhou
Legal representative: SHEN Ji Ning
Telephone: (0571)87789160
Contact: TAO Zhi Hua
Customer Service Hotline: 95336, 40086-96336
Website: www.ctsec.com
(51) China International Capital Corp., Ltd.
Domicile: 27/F & 28/F, Tower 2, China World Trade Center, 1 Jianguomen Outer Street, Beijing, China
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) 85679203
Contact: YANG Xian Yu
Website: www.cicc.com.cn
(52) 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 26
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
(53) Aijian Securities Co., Ltd.
Domicile: 24/F, 758 West Nanjing Road, Shanghai
Office Address: 32/F, 1600 Century Avenue, Shanghai
Legal Representative: ZHANG Jian Hua
Telephone: (021) 32229888
Fax: (021) 68728703
Contact: CHEN Min
Customer Service Hotline: (021) 63340678
Website: www.ajzq.com
(54) Great Wall Securities Co., Ltd.
Domicile: 14/F, 16/F, 17/F, Special Zone Press Tower, 6008 Shennan Road, Futian District, 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
(55) 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
(56) Sinolink Securities Co., Ltd.
Domicile: 95 Upper Dongchenggen Street, Chengdu, Sichuan
Office Address: 95 Upper Dongchenggen Street, Chengdu
Legal Representative: RAN Yun
Telephone: (028) 86690057, (028) 86690058 27
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Fax: (028) 86690126
Contact: LIU Jing Yi, JIA Peng
Customer Service Hotline: 95310
Website: www.gjzq.com.cn
(57) 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
Telephone: (010) 68546765
Fax: (010) 68546792
Contact: XU Jin Fu
Customer Service Hotline: 95571
Website: www.foundersc.com
(58) 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) 28451991
Fax: (022) 28451892
Contact: CAI Ting
Customer Service Hotline: 400-651-5988
Website: www.bhzq.com
(59) 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
28
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Fax: (010) 63081344
Contact: YIN Xu Hang
Customer Service Hotline: 95321
Website: www.cindasc.com
(60) Orient Securities Co., Ltd.
Domicile: 22/F - 29/F, Building 2, 318 South Zhongshan Road, Shanghai
Legal Representative: WANG Yi Min
Telephone: (021) 63325888
Fax: (021) 63326173
Contact: WU Yu
Customer Service Hotline: 95503
Website: www.dfzq.com.cn
(61) 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
(62) 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 29
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Customer Service Hotline: 4006898888, (0931) 4890208
Website: www.hlzqgs.com
(63) Dongxing Securities Co., Ltd.
Domicile: 12-15/F, Tower B, Xinsheng Building, 5 Jinrong Street, Xicheng District, Beijing
Legal Representative: XU Yong Li
Telephone: (010) 66555316
Fax: (010) 66555246
Contact: TANG Manchuan
Customer Service Hotline: 400-8888-993
Website: www.dxzq.net
(64) 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
(65) China Investment 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: LONG Zeng Lai
Telephone: (0755) 82023442
Fax: (0755) 82026539
Contact: LIU Yi
Customer Service Hotline: 400-600-8008
30
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Website: www.china-invs.cn
(66) Huarong Securities Co., Ltd.
Domicile: 8 Jinrong Street, Xicheng District, Beijing
Office Address: 8 Jinrong Street, Xicheng District, Beijing
Legal Representative: SONG De Qing
Telephone: (010) 58568235
Fax: (010) 58568062
Contact: HUANG Heng
Customer Service Hotline: (010) 58568118
Website: www.hrsec.com.cn
(67) Central China Securities Co., Ltd.
Domicile: 10 Business Outer Ring Road, Zhengdong New District, Zhengzhou
Legal Representative: JIAN Ming Jun
Contact: CHEN Yue Yan, LI Pan Pan,DANG Jing
Telephone: (0371) 69099882
Fax: (0371) 65585899
Customer Service Hotline: (0371) 95377
Website: www.ccnew.com
(68) Eastmoney Securities Co., Ltd., Tibet
Domicile: 101 Beijing Middle Road, Lhasa City
Office Address: Jintai Oriental Fortune Building, 88 Wanping South Road, Xuhui District, Shanghai
Postal code: 200030
Legal representative: CHEN Hong
Telephone: (021) 23586603
Fax: (021) 23586860
Customer Service Hotline: 95357
Website: http://www.18.cn
(69) Tianxiang Investment Consulting Co., Ltd. 31
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
(70) 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
(71) Huaxi Securities Co., Ltd.
Domicile: Huaxi Securities Building, 198 Tianfuer Street, Gaoxin District, Chengdu, Sichuan
Office Address: Huaxi Securities Building, 198 Tianfuer Street, Gaoxin District, Chengdu, Sichuan
Legal Representative: YANG Jiong Yang
Telephone: (028) 86135991
Fax: (028) 86150400
Contact: ZHOU Zhi Ru
Customer Service Hotline: 95584
Website: www.hx168.com.cn
32
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
(72) Dongguan Securities Co.,Ltd.
Domicile: 1 South Keyuan Road, Guancheng District, Dongguan, Guangdong
Office Address: 1 South Keyuan Road, Guancheng District, Dongguan, Guangdong
Telephone: (0769) 22115712
Fax: (0769) 22115712
Contact: LI Rong
Customer Service Hotline: 95328
Website: www.dgzq.com
(73) First Capital Securities Co., Ltd.
Domicile: Block B, 25th and 26th floor, Zhongmin Times Square, 12 Sungang Road, Luohu District, Shenzhen
Office Address: Block B, 25th and 26th floor, Zhongmin Times Square, 12 Sungang Road, Luohu District, Shenzhen
Legal representative: LIU Xuemin
Tel: (0755) 25832852
Fax: (0755) 25831718
Contact: CUI Guoliang
Customer Service Hotline: 4008881888
Website: www.firstcapital.com.cn
(74) 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: (0755) 23953913
Fax: (0755) 83217421
Contact: HONG Cheng
Customer Service Hotline: 400-900-8826 33
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Website: www.citicsf.com
(75) Ant (Hangzhou) Fund Sales Co., Ltd.
Domicile: Room 202, Building 1, 218 West Wenyi Road, Cangqian Street, Yuhang District, Hangzhou
Office Address: 6/F, Block B, Dragon Times Plaza, 18 Wantang Road, XiHu District, Hangzhou, Zhejiang Province
Legal Representative: CHEN Bo Qing
Telephone: (0571) 81119792
Fax: (0571) 22905999
Contact: HAN Ai Bin
Customer Service Hotline: 4000-766-123
Website: www.fund123.cn
(76) 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
Website: www.zlfund.cn, www.jjmmw.com
(77) 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
34
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Customer Service Number: 400-820-2899
Website: www.erichfund.com
(78) 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
(79) 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
Website: www.noah-fund.com
(80) 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
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Website: http://licaike.hexun.com/
(81) 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
(82) 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
Website: www.niuji.net
(83) 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
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Customer Service Hotline: 400-850-7771
Website: https://8.jrj.com.cn/
(84) 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 Rd, 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
(85) 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
Contact: SU Hao
Customer Service Hotline: 400-001-1566
Website: http://www.yilucaifu.com/
(86) Shanghai DZH 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) 20219931
Fax: (021) 20219923
Contact: FU Jiang
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Customer Service Hotline: 021-20219931
Website: https://8.gw.com.cn/
(87) Shanghai LianTai Asset Management Co., Ltd.
Domicile: 310, 3/F, 277 North Fute Road, China (Shanghai) Pilot Free Trade Zone
Office Address: 3/F, Block 8, 518 Fuquan Road North, 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
(88) Yixin Puze Investment Advisory (Beijing) Co., Ltd.
Domicile: 1809, 15/F, Building 9, 88 Jianguo Road, Chaoyang District, Beijing
Office Address: 1809, Tower C, SOHO New Town, 88 Jianguo Road, Chaoyang District, Beijing
Legal Representative: SHEN Wei Hua
Telephone: (010) 52855713
Fax: (010) 85894285
Contact: CHENG Jiang
Customer Service Hotline: 400-6099-200
Website: www.yixinfung.com
(89) 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
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Customer Service Hotline: 400-877-3772
Website: www.5ifund.com
(90) Beijing Zeng Cai Fund Sales Company Limited
Domicile: Room 1208, Canway Building, 66 Nanlishi Road, Xicheng District, Beijing
Office Address: Room 1208, Canway Building, 66 Nanlishi Road, Xicheng District, Beijing
Legal Representative: LUO Xi An
Telephone: (010) 670009888
Fax: (010) 670009888-6000
Contact: LI Hao
Customer Service Hotline: 400-001-8811
Website: www.zengcaiwang.com
(91) Tai Cheng Cai Fu Fund Sales (Dailin) Co., Ltd
Domicile: 3 Zhong Long Yuan, Sha He Kou District, Dalian, Liaoning Province
Office Address: 3 Zhong Long Yuan, Sha He Kou District, Dalian, Liaoning Province
Legal Representative: LIN Zhuo
Telephone: (0411) 88891212
Fax: (0411) 84396536
Contact: XUE Chang Ping
Customer Service Hotline: 4006411999
Website: www.taichengcaifu.com
(92) 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: Rm A1002– Room A1003 Beimei Square, 518 Kunming Road, Yangpu District, Shanghai
Legal Representative: WANG Xiang
Telephone: (021) 35385521
Fax: (021) 55085991
Contact: LAN Jie
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Customer Service Hotline: 400-820-5369
Website: www.jiyufund.com.cn
(93) 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, Poly International Plaza, Tower B, No.1 Pazhou Avenue East, Haizhu District, Guangzhou
Legal Representative: XIAO Wen
Telephone: (020) 89629099
Fax: (020) 89629011
Contact: HUANG Min Chang
Customer Service Hotline: (020) 89629066
Website: www.yingmi.cn
(94) Shenzhen Fuji Wealth Management Co., Ltd.
Domicile: Rm 201, Block A, 1 Shenzhen Qianwan Road, Qianhai Shenzhen - Hong Kong cooperation Zone, Shenzhen
Office Address: Room 418, Phase II of Huiheng Group, 12 High-tech South 7th Road, Nanshan District, Shenzhen
Legal Representative: QI Xiao He
Telephone: (0755) 83999907-802
Fax: (0755) 83999926
Contact: MA Li Jia
Customer Service Hotline: (0755) 83999907
Website: www.jinqianwo.com
(95) 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
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Fax: (021) 22066653
Contact: NING Bo Yu
Customer Service Hotline: 4008219031
Website: www.lufunds.com
(96) ChinaPnR Co., Ltd.
Domicile: 19/F, 100 Bund Square, 100 Zhong Shan Road South, Shanghai
Office Address: 7 Floor, Innov Tower, No. 1801, Hongmei Road, Shanghai
Legal Representative: FENG Xiu Min
Telephone: (021) 33323999
Fax: (021) 33323837
Contact: CHEN Yun Hui
Customer Service Hotline: 4008213999
Website: https://tty.chinapnr.com
(97) 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
(98) 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
Legal Representative: CHEN Ji Wu
Telephone: (021) 63333319
Fax: (021) 63332523 41
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Contact: LI Xiao Ming
Customer Service Hotline: 4000 178 000
Website: www.lingxianfund.com
(99) 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
(100) 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
(101) Beijing Heng Tian Ming Ze Fund Sales Co., Ltd.
Domicile: Room 5122, 5/F, 10 North Hong Da Road, Economic and Technological 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
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Telephone: (010) 56642600
Fax: (010) 56642623
Contact: ZHANG Ye
Customer Service Hotline: 4007868868
Website: www.chtfund.com
(102) Beijing Guang Yuan Da Xin Investment Management Co., Ltd.
Domicile: Room 605, 6/F, Tower C, 28 Xinjiekou Outer Street, Xicheng District, Beijing
Office Address: 19/F, Tower B, Puxiang Centre, 13 District D Wangjing East Park, Chaoyang District, Beijing
Legal Representative: QI Jian Hui
Telephone: (010) 57298634
Fax: (010) 82055860
Contact: WANG Ying Jun
Customer Service Hotline: 400-623-6060
Website: www.niuniufund.com
(103) iFAST Fund Saled Co., Limited
Domicile: Rm 201, Block A, 1 Shenzhen Qianwan Road, Qianhai Shenzhen - Hong Kong Cooperation Zone, Shenzhen (settled in Shenzhen Qianhai Secretary of Commerce Co., Ltd)
Office Address: Suite 1704, 17th Floor, Tower A, Coastal Building, Haide 3 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
(104) Skykinkage Investment & Management Co., Ltd.
Domicile: Room 215A, Zhongshui Building, 31 Minfeng Hutong, Xicheng District, Beijing
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
(105) 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
(106) Shanghai Yun Wan Investment & Management Co., Ltd.
Domicile: 2/F, Building 13, 27 Xin Jin Qiao Road, China (Shanghai) Pilot Free Trade Zone, 200127
Office Address: 6/F, Building 6, 308 Jin Kang Road, Shanghai
Legal Representative: DAI Xin Zhuang
Telephone: (021) 20538888
Fax: (021) 20538999
Contact: JIANG Hui
Customer Service Hotline: 400-820-1515
Website: www.zhengtongfunds.com
(107) China Securities Jinniu (Beijing) Investment Consulting Co., Ltd.
Domicile: Room 2-45, Building 2, 1 Tongguantou, Fengtai District, Beijing
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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
(108) Unifortune Yingtai Fund Sales (Beijing) Co., Ltd.
Domicile: Room 7117, 7/F, South Building 1, Dongbeiwang Village, Haidian District, Beijing
Office Address: Room 1302, Building 1, No.13, Deshengmenwai Street, Xicheng District, Beijing
Legal Representative: WANG Xing Ji
Telephone: (010) 62062880
Fax: (010) 82057741
Contact: GAO Xue Chao
Customer Service Hotline: 4000-888-080
Website: www.qiandaojr.com
(109) Beijing Kenterui Wealth Management Co., Ltd.
Domicile: 401-15, 4/F, 2 Third East Haidian Street, Haidian District, Beijing
Office Address: Headquarter of JD Group, 18 Eleventh Kechuang Street, Yizhuang Economic Development Zone, Beijing
Legal Representative: CHEN Chao
Telephone: 4000988511, 4000888816
Fax: (010) 89188000
Contact: ZHAO De Sai
Customer Service Hotline: 4000988511, 4000888816
Website: http://fund.jd.com/
(110) Beijing Sina Cangshi Fund Sales Co., Ltd.
Domicile: Room 518, 5/F, Scientific Research Building, Sina Headquarters, Plot N-1 and N-2,
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Zhongguancun Software Park Phase II (Westward Expansion), Northeast Wang Road West, Haidian District, Beijing
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
(111) Hangzhou Codi Ruifu Fund Sales Co., Ltd.
Domicile: Room 1604, Wulin Times, Xiacheng District, Hangzhou
Office Address: 20/F, Wulin Times, 15 Shangtang Road, Xiacheng District, Hangzhou
Legal Representative: CHEN Gang
Telephone: (0571) 85267500
Fax: (0571) 85269200
Contact: HU Xuan
Customer Service Hotline: (0571) 86655920
Website: www.cd121.com
(112) Beijing Danjuan Fund Sales Co., Ltd.
Domicile: 21/F, Block 2, Building 6, No. 1 Court, East Futong Avenue, Chaoyang District, Beijing 222507
Office Address: 2507, Tower 2B, Wangjing SOHO, Chaoyang District, Beijing
Legal Representative: ZHONG Fei Fei
Telephone: (010) 61860688
Fax: (010) 61840699
Contact: QI Xiao Qiang
Customer Service Hotline: 400-0618-518
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Website: https://danjuanapp.com/
(113) 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
Website: www.fengfd.com
(114) Shenzhen Jinfuzi Investment Consulting 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
(115) Shanghai Chaoyang Yongxu Fund Sales Co., Ltd.
Domicile: Room 812, Block B, Building 1, 977 Shangfeng Road, Pudong New Area, Shanghai
Office Address: 2/F, Building 4, 690 Bibo Road, Pudong New Area, Shanghai
Legal Representative: LIAO Bing
Telephone: (021) 80234888
Fax: (021) 80234898 47
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Customer Service Hotline: 400-699-1888
Website: www.998fund.com
(116) 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 Person: ZHANG Lin
Customer Service Hotline: 400-066-8586
Website: www.igesafe.com
(117) Zhong Min Wealth Management (Shanghai) Co., Ltd.
Domicile: Unit 05, 7th Floor, 100 Zhongshan South Road, Huang Pu District, Shanghai
Office Address: 27th Floor, Building No. 1, Street 1199, Zheng Da Wu Dao Kou Plaza, Min Sheng Road, Pu Dong New District, Shanghai
Legal Representative: MI Hong Jun
Telephone: (021) 33355392
Fax: (021) 63353736
Contact Person: MAO Dan Qing
Customer Service Hotline: 400-876-5716
Website: www.cmiwm.com
(118) Shanghai Wind Fund Sales Co.,Ltd
Domicile: Block B, 11th Floor, 33 Fushan Road, China (Shanghai) Pilot Free Trade Zone
Office Address: 9th Floor, 33 Fushan Road, Pudong New District, Shanghai
Legal Representative: WANG Ting Fu
Telephone: (021) 50712782
Fax: (021) 50710161
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Contact Person: XU Ya Dan
Customer Service Hotline: 400-821-0203
Website: www.520fund.com.cn
(119) 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, CPIC Mansion, 28 Feng Sheng Lane, Xicheng District, Beijing
Legal Representative: LI Xiu Ci
Telephone: (010) 59013828
Fax: (010) 59013707
Contact Person: WANG Fang Fang
Customer Service Hotline: (010) 59013842
Website: http://www.wanjiawealth.com/
(120) Shanghai Wa Cai Financial Information Service Co., Ltd.
Domicile: Room 01, 02 & 03, 5th Floor, 799 Yanggao Nan Road, China (Shanghai) Pilot Free Trade Zone
Office Address: Room 01, 02 & 03, 5th Floor, 799 Yanggao Nan Road, China (Shanghai) Pilot Free Trade Zone
Legal representative: Hu Yan Liang
Telephone: (021) 50810687
Fax: (021) 58300279
Contact: LI Juan
Customer Service Hotline: (021) 50810673
Website: www.wacaijijin.com
(121) Harvest Wealth Management Co., Ltd.
Domicile: Unit 5312-15, 53rd Floor, Two IFC, 8 Century Avenue, Pudong New Area, Shanghai
Office address: 6th Floor, Block A, Jindi Center, No. 91 Jianguo Road, Chaoyang District, Beijing
Legal representative: ZHAO Xue Jun
Telephone: (021) 38789658
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Fax: (021) 68880023
Contact: WANG Gong
Customer Service Hotline : 400-021-8850
Website: www.harvestwm.cn
(122) 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
(123) 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
Website: www.baiyingfund.com
(124) Teng An Fund Sales (Shenzhen) Co., Ltd.
Domicile: Room 201, Building A, No.1, Qianwan 1st Road, Qianhai- Shenzhen Hong Kong Cooperation Zone, Shenzhen, China (in Shenzhen Qianhai Business Secretary Co., Ltd.)
Office Address: Tencent Binhai Building, No. 33, Haitian Second Road, Nanshan District, Shenzhen
Legal Representative: LIU Mingjun
Telephone: 95017 (press 1 then 8 after connected)
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Contact: TAN Guangfeng
Customer Service Hotline: 95017 (press 1 then 8 after connected)
Website: http://www.tenganxinxi.com/
(125) Beijing Tang Ding Yao Hua 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
Customer Service Hotline: 400-819-9868
Website: www.tdyhfund.com
3. Class A Fund Units Exchange-traded Sales Agency
Exchange-traded Sales Agency refers to a member of the Shanghai Stock Exchange with the qualification of selling open-ended fund as approved by the CSRC and accredited by the 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 the Shanghai Stock Exchange.
Fund Manager can choose other organizations that satisfy the requirements to sell this Fund, and make announcement in a timely manner in accordance with relevant laws and regulations.
4. Class H Fund units Sales Agency shall be relevant Sales Agencies qualified for sales of the Fund as approved by the SFC and employed by the Hong Kong Representative or directly by the Fund Manager.
(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) 50938617 51
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Contact: ZHAO Yiqing
(3) Law Offices Providing Legal Advisory Paper
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
Certified Public Accountant Agent: XUE Jing, ZHU Hong Yu
IV. Name of the Fund Name of the Fund: BOCOM Schroder Stable Allocation 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 The Fund will stick to and continuously improve the basic concepts of value investment, give full play to professional research and management abilities, make "top-down" and proper asset allocation and "down-top" selection of securities based on the macroeconomic cycle and changes in market environment, to diversify the risks in an effective manner and seek for long-term stable increase of Fund assets.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
VII. Investment Direction of the Fund The Fund is invested in financial instruments of high liquidity, which include domestic stocks, bonds, cash, short-term financial instruments, warrants and asset-backed securities that are lawfully issued as well as other financial instruments for Fund investment as approved by the laws and regulations or the CSRC. Under normal market conditions, the portfolio proportion of the Fund is: stock assets account for 35%—95% of the Net Asset Value of the Fund; bond assets account for 0%—60% of the Net Asset Value of the Fund; cash, short-term financial instruments, warrant, asset-backed securities and other types of securities for Fund investment approved by the CSRC account for 5%-65% of the Net Asset Value of the Fund, where the sum of retained cash of the Fund and short-term government bonds due within one year shall account for 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.
VIII. Investment Strategy of the Fund
The investment strategy for the Fund is: pay attention to the trend of changes in macro-economy and investment market; adjust the portfolio ratio in a dynamic manner based on the economic cycle theory; make "top-down" asset allocation and "down-top" selection of securities; and diversify the risks in an effective manner.
1. Asset Allocation
The Fund will adopt "top-down" multi-factor analysis and decision-making support system to allocate assets of major categories in combination of qualitative analysis and quantitative analysis. To be more specific, projections of macroeconomic cycles are made in the first place in light of the economic cycle theory, based on which, the projections and estimation of performance of different capital markets are made to determine the allocation proportion of Fund assets among different categories of assets. Besides, along with the relative changes of the risk-return characteristics of various kinds of securities, dynamic adjustments are made to the proportion of various assets in the portfolio to avoid or diversify market risks and increase the Fund yield. Different from conventional asset allocation funds and by reference to the successful investment experience of Schroder Group in balanced fund, the Fund has the following two characteristics in respect of asset allocation.
The first characteristic is that in addition to identifying the relationship between the risk-return characteristics of various assets and the market environment, the Fund Manager also pays attention to the changes in the relevance between assets as time goes by, when making the asset allocation. For asset allocation funds, investment in bond assets is made to diversify the risks arising out of investment in stock assets, so as to achieve a perfect balance between risks and returns during the investment. However, as the macroeconomic and market environment changes, the relevance between different assets does not remain unchanged. The history in the recent period is not always a good reflection of the future performance. Accordingly, when making "top-down" asset allocation, the Fund Manager will not only consider the changes in risk-return characteristics of different assets under different economic cycles, but also investigate the variance of relevance between different assets with time, to identify the optimum allocation ratios of assets and make adjustments thereto as time passes by, on the condition of maximizing the risk-adjusted returns.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Flexible asset allocation for asset allocation funds makes it possible for the Fund Manager to act responsively, follow the trend of changes in investment market and obtain long-term stable returns on investment while diversifying the risks in an effective manner. As a result, proper understanding of the trend of changes in investment market is of great significance to the success of asset allocation funds. To have an accurate understanding of the trend of changes in investment market to the greatest extent possible, the Fund Manager, when making projections on yield of various securities, avoids any mistakes that may be caused by making conclusions based on a short-term history but to investigate for a longer period of history to a reasonable extent. In addition, the Fund Manager makes forward-looking projections of mid-and long-term economic changes and incorporates the impact of such changes on future returns on securities into expected yield of securities. This is also another major characteristic of the Fund.
During actual operation, the Fund Manager will adopt the asset allocation model under economic cycle theory to analyze the macroeconomic operation indexes, interest rates, monetary policies and other relevant factors, to judge on and predict the macroeconomic operation conditions in China and then determine the strategy to allocate Fund assets among different classes of assets by using economic cycle theory.
2. Allocation by Industry
The Fund will make analysis and forecast of economic cycles, industrial environment, industrial policies and industry competition landscape, to determine the potential influences of the changes of macro and industry economic variables on different industries and identify the relative investment values of various industries and proper time for investment, based on which, dynamic adjustments will be made to the industries where Fund assets are invested into stocks.
3. Stock Selection
The Fund comprehensively employs Schroder Group's stock research and analytical methods and the economic cycle theory to select stocks to establish constituent stocks. The procedure can be divided into two levels as follows:
(1) Quality Screening
Select listed companies that meet the basic qualification requirements in terms of finance and management quality.
(2) Allocation among different stocks and combination optimization
Classify the potential stocks based on their style and make strategic allocation among different types of stocks by using economic cycle theory, and to maximize the risk-adjusted returns by using the combination optimization models.
4. Bond Investment
For asset allocation funds, the target of bond investment management is to diversify the market risks for stock investment, maintain stable returns and sufficient liquidity of the portfolio and pursue long-term increase of Fund assets. At present, the China bond market is experiencing fast adjustments of systems and rules. For construction 54
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2) of bond portfolio, the Fund Manager will adopt "top-down" active management, utilize all kinds of negative and positive policies, seek for various market opportunities and obtain an average return above the market level. Negative strategies for bond investment are adopted to offer stable returns for Fund assets to the extent that the cash management requirements are satisfied. Positive strategies for bond investment are adopted to obtain additional returns with low risks or even without risks by utilizing the inefficiency of market pricing.
Under framework of global economy, the Fund Manager will make judgments on macro-economy tendency and financial and monetary policy changes incurred, make projections on future interest rate trend and credit environment changes in market with quantification tools, and make proper allocation through combination optimization.
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
For its asset-backed securities investment, the Fund will adopt active strategies including duration control, yield curve, 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:
65%×MSCI China A Index + 35%×CSI Aggregate Bond Index
The benchmark of performance for stock investment by the Fund is MSCI China A Index. MSCI China A Index is the first index prepared by MSCI, the famous world benchmark index supplier, for the China A market based on MSCI's world index preparation standards, which properly reflects the level of changes in the listed company market in domestic capital market and is highly authoritative and representative of the market. It can be easily accessed by the Investors from newspapers, Internet and other financial media. Meanwhile, in accordance with the allocation proportion of target Fund assets, the performance benchmark of the Fund has included the CSI Aggregate Bond Index and made arrangement in accordance with the allocation proportion of target Fund assets.
In case other indexes that are more authoritative and can better reflect the risk-return characteristics of the Fund become available in the market, the benchmarks of performance of the Fund may be adjusted by the Fund Manager as appropriate following proper procedures and timely announcement shall be made.
X. Characteristics of Risks and Returns of the Fund
The Fund is a Mixed fund of medium risk among securities investment funds. The risks and expected 55
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2) returns of this Fund range between that of the stock funds and bond funds. The Fund seeks long-term stable appreciation of the Fund assets while diversifying the risks in an effective manner.
XI. Report on the Fund Portfolio
The board and 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, China Construction Bank, the Fund Custodian, reviewed the financial indexes, net value and portfolio reports of the report on April 19, 2019 and ensured that there were no false records, misleading statements or serious omissions in what had been reviewed.
The reporting period is from January 1, 2019 to March 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
Seria Proportion in the l Project Amount (RMB) Total Fund Asset Num (%) ber
1 Equity Investment 2,599,500,547.44 71.19
Specifically: Stock 2,599,500,547.44 71.19
2 Fund Investment - -
3 Fixed Income Investment 177,712,988.12 4.87
Specifically: Bond 177,712,988.12 4.87
Asset-backed Securities - -
4 Investment in Precious Metals - -
5 Investment in Financial Derivatives - -
Buying back the Sale of Financial 649,756,884.88 17.79 6 Assets
Specifically: Financial assets bought - -
back for sale of buyout resubscribe
The Sum of Bank Deposit and 201,804,227.36 5.53 6 Settlement Provisions
7 Other Assets 22,666,504.60 0.62
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
8 Total 3,651,441,152.40 100.00
2 Stock Portfolios categorized by Industry at the end of the Reporting Period
2.1 Stock Portfolios which invested in domestic stocks categorized by Industry at the end of the Reporting Period
Proportion in the Net Asset Code Industry Type Fair Value (RMB) Value of the Fund (%)
Agriculture, Forest, Husbandry and - - A Fishery
B Mining 4,550,000.00 0.13
C Manufacturing 766,456,737.00 21.37
Electric Power, Heating Power, Gas - - D and Water Production as well as Supply
E Construction 248,674,142.68 6.93
F Wholesale and Retail 234,954,343.76 6.55
Transportation, Storage and Postal 120,910,000.00 3.37 G Service
H Accommodation and Catering - -
Information Transmission, Software 260,786,856.52 7.27 I and Information Technology Service
J Finance 156,618.54 0.00
K Real Estate 514,935,000.00 14.36
L Renting and Commercial Service - -
Scientific Research and Technological 62,512,151.10 1.74 M Service
Water Conservancy, Environment and - - N Public Facility Management
O Residential Service, Repair and Other - -
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Services
P Education - -
Q Health and Social Work - -
R Culture, Sports and Entertainment 385,564,697.84 10.75
S Combination - -
Total 2,599,500,547.44 72.48
2.2 Stock Portfolios which invested via Hong Kong Stock Connect categorized by Industry at the end of the Reporting Period
The Fund does not hold any stocks which invested via Hong Kong Stock Connect as at the end of the reporting period.
3 Particulars of Top 10 Stock Investment concerning the Proportion of Fair Value in the Net Asset Value of the Fund at the end of the Reporting Period
Proportion in Serial Number of the Net Asset Numbe Stock Code Stock Name Fair Value (RMB) Units Value of the r Fund (%)
1 300413 Mango Excellent 6,003,326 265,947,341.80 7.42 Media Co Ltd-A
2 600048 Poly Developments 14,000,000 199,360,000.00 5.56 And Holdings-A
3 601155 Seazen Holding Co 3,000,000 135,450,000.00 3.78 Ltd-A
4 601933 Yonghui Superstores 14,999,938 129,599,464.32 3.61 Co Ltd
5 002410 Glodon Co Ltd -A 4,005,876 117,229,203.56 3.27
6 603359 Dongzhu Ecological 5,709,236 114,184,720.00 3.18 Environment Protection Co Ltd
7 300122 Chongqing Zhifei 2,100,000 107,310,000.00 2.99
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Biological Products Co Ltd
8 000961 Jiangsu Zhongnan 11,000,000 104,500,000.00 2.91 Construction Group Co Ltd
9 600887 Inner Mogolia Yili 3,000,000 87,330,000.00 2.44 Industrial Group Co Ltd
10 000681 Visual China Group 3,309,839 87,247,356.04 2.43 Co Ltd-A
4 Bond Portfolios categorized by Types of Bonds at the end of the Reporting Period
Serial Proportion in the Numb Bond Types Fair Value (RMB) Net Asset Value er of the Fund (%)
1 Treasury Bonds 149,235,000.00 4.16
2 Notes of central bank - -
3 Financial Bonds 25,010,500.00 0.70
Specifically: Policy Bank Bonds 25,010,500.00 0.70
4 Corporate Bonds - -
Corporate Short-term Commercial - - 5 Paper
6 Medium-term Notes - -
7 Convertible Bonds 3,467,488.12 0.10
8 NCD - -
9 Others - -
10 Total 177,712,988.12 4.96
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
Serial Bond Code Bond Name Quantity Fair Value Proportion
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Number (number (RMB) in the Net Asset Value of bonds) of the Fund (%)
1 199908 CGTB 0% 06/03/19 1,500,000 149,235,000.00 4.16
2 180207 SDBC 3.57% 04/17/19 200,000 20,010,000.00 0.56
3 018005 SDBC 3.78% 04/06/19 50,000 5,000,500.00 0.14
128035 HANSLA CB 0.2% 31,514 3,464,964.30 0.10 4 02/06/2024
128023 ZJAPME CB 0.3% 26 2,523.82 0.00 5 12/04/2023
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.
8 Particulars of Top 5 Warrant 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 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. 60
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
(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 Name Amount (RMB) Number
1 Refundable Deposits 1,864,353.58
Receivables regarding 18,149,721.67 2 Securities Clearing
3 Receivable Dividend -
4 Receivable Interest 1,440,824.24
Receivables regarding 1,211,605.11 5 Subscription
6 Other Receivables -
7 Deferred Expenses -
8 Others -
9 Total 22,666,504.60
(4) Particulars of the Convertible Bonds at the Stage of Conversion held at the end of the Reporting Period
Proportion in the Net Serial Number Bond Code Bond Name Fair Value (RMB) Asset Value of the Fund (%)
128035 HANSLA CB 0.2% 3,464,964.30 0.10 1 02/06/2024
128023 ZJAPME CB 0.3% 2,523.82 0.00 2 12/04/2023
.
(5) Analysis of the Restriction on Circulation in the Top 10 Stocks at the end of the Reporting Period
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Stock Code Stock Name Fair Value of the Proportion in the Analysis of Serial Part Restricted on Net Asset Value the Number Circulation (RMB) of the Fund (%) Restriction on Circulation Glodon Co Restricted 1 002410 28,697,200.00 0.80 Ltd shares (6) Other verbal descriptions of the notes to 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 March 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
Standard Standard Rate of Rate of Deviation of Deviation of Return of Return of Period the Rate of Rate of Return ①-③ ②-④ Net Asset Benchmark Return of Net of Benchmark Value① ③ Asset Value ② ④
Past Three 22.06% 1.16% 19.45% 0.99% 2.61% 0.17% Months
2018 -24.69% 1.35% -18.53% 0.88% -6.16% 0.47%
2017 55.25% 0.91% 7.34% 0.44% 47.91% 0.47%
2016 -17.92% 1.31% -8.57% 1.00% -9.35% 0.31%
2015 56.52% 2.48% 11.04% 1.63% 45.48% 0.85%
2014 13.03% 1.29% 32.94% 0.77% -19.91% 0.52%
2013 -2.85% 1.09% -1.76% 0.89% -1.09% 0.20%
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
2012 15.29% 1.11% 6.18% 0.84% 9.11% 0.27%
2011 -22.91% 1.09% -17.00% 0.86% -5.91% 0.23%
2010 -3.73% 1.54% -4.17% 1.02% 0.44% 0.52%
2009 85.46% 1.96% 57.17% 1.31% 28.29% 0.65%
2008 -42.93% 2.16% -46.18% 1.95% 3.25% 0.21%
2007 106.33% 2.01% 86.60% 1.50% 19.73% 0.51%
2006 (June 14, 2006 to 57.11% 0.96% 35.63% 0.89% 21.48% 0.07% December 31, 2006)
Note: As of July 1, 2013, the benchmark of performance of the Fund is changed from "65%×MSCI China A Index＋35%× Xinhua/Barclays Capital China Aggregate Bond Index" to "65%×MSCI China A Index+35%× S&P/CITIC Composite Bond Index". For details, please refer to the “Announcement on Bank of Communications Schroder Fund Management Co., Ltd. about Changing the Benchmark of Performance and Amendment of Fund Contract for the BOCOM Schroder Stable Allocation Mixed Securities Investment Fund” published by the Fund Manager on June 26, 2013.
As of October 1, 2015, the benchmark of performance of the Fund is changed from "65%×MSCI China A Index+35%× S&P/CITIC Composite Bond Index" to "65%×MSCI China A Index + 35%×CSI Aggregate Bond Index ". For details, please refer to the “Announcement of Bank of Communications Schroder Fund Management Co., Ltd. on the change of benchmark and the corresponding Amendments to the Fund Contracts of some of Its Funds” published by the Fund Manager on September 28, 2015.
2. Comparison between the Rate of Return of 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 Stable Allocation Mixed Securities Investment Fund
The Performance Chart of the Historical Trends between Net Asset Value per Unit of the Fund and that of the Benchmark in the Corresponding Period
(June 14, 2006 to March 31, 2019)
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Note: The portfolio build up period of the Fund is 6 months after 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 by the regulations related to the investment proportion as stipulated in the Fund Contract and the Prospectus.
XIII. Fees and Taxes of the Fund
(1) Types of Fund Fees
1. Management fee of the Fund Manager;
2. Custody fee of the Fund Custodian;
3. Bank fee paid for the transfer of Fund assets;
4. Information disclosure fee after the Fund Contract comes into effect;
5. Fee for general meeting of Fund Unitholders;
6. Fund-related accounting fee and counsel fee after the Fund Contract comes into effect;
7. Securities trading fee of the Fund;
8. As allowed by relevant regulations, the Fund can draw sales and service fees from Fund assets, the detailed method and criteria of drawing is specified in relevant announcement.
9. Other fees that can be included as per relevant national requirements.
The expenses incurred upon the termination of the liquidation of 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 64
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
(1) Management Fee of the Fund Manager
Generally, the Fund management fee should be drawn as the annual rate of Net Asset Value of the Fund on the previous day. The calculation:
H ＝ E × annual rate of management fee ÷ days of the year, the annual rate of management fee of the Fund is 1.5%
H for the Fund management fee that should be drawn on a daily basis
E for Net Asset Value of the Fund on the previous day
The Fund management fee is drawn on a daily basis and paid at the end of every month by month. The Fund Manager should send the instruction to the Fund Custodian to transfer the Fund management fee, and the Fund Custodian should pay the Fund Manager a one-time payment from Fund assets within first three Working Days of the next month upon its review, which can be delayed when it is statutory holidays, weekends, etc.
(2) Custody Fee of the Fund Custodian
Generally, the Fund custody fee should be drawn as the annual rate of Net Asset Value of the Fund on the previous day. The calculation:
H ＝ E × annual rate of custody fee ÷ days of the year, the annual rate of custody fee of the Fund is 0.25%
H for the Fund custody fee that should be drawn on a daily basis
E for Net Asset Value of the Fund on the previous day
The Fund custody fee is drawn on a daily basis and paid at the end of every month by month. The Fund Manager should send the instruction to the Fund Custodian to transfer the Fund custody fee, and the Fund Custodian should pay the Fund Manager a one-time payment from Fund assets within three first Working Days of the next month upon its review, which can be delayed when it is statutory holidays, weekends etc.
(3) Items 3 - 7 and 9 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 related laws and regulations as well as corresponding agreements.
2. Fees Related to Fund Sales
(1) Subscription Fee
The Subscription fee of the Fund shall be borne by the subscriber, and shall not be listed as Fund assets. The Subscription fee shall be used for market promotion and sales of the Fund. 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.
Subscription fee rates of Class A Fund units are as follow:
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Subscription Amount Front-end Load (Including Subscription Fee) Rate
Less than RMB 500 Thousand 1.5%
RMB 500 Thousand (inclusive) 1.2% Subscription fee rate and RMB 1 Million (Front-end) RMB 1 Million (inclusive) to 0.8% of Class A Fund units RMB 2 Million
RMB 2 Million (inclusive) to 0.5% RMB 5 Million
Over 5 Million (inclusive) RMB 1,000 per Subscription
The Fund Manager announced on December 11, 2007 that as of December 14, 2007, uniform grading standards will be adopted for the front-end load rates for all non-money market funds under the Fund Manager, and the uniform grading standards for rates are provided in the table above.
Holding Period Back-end Load Rate
Subscription fee rate Within 1 Year (inclusive) 1.8% (Back-end) of Class A Fund 1-3 Years (inclusive) 1.2% units 3-5 Years (inclusive) 0.6%
Over 5 Years 0
Subscription fees shall not be collected for Fund units arising from automatic reinvestment of dividend.
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 Company.
The term "pension clients" refers to clients that subscribe to basic pension funds and funds offered in accordance with a legally devised pension plan 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 plans and collective enterprise annuity plan. 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 Company are listed as follows:
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Subscription Amount Specified Front-end (Including Subscription Fee) Load Rate
Less than RMB 500 Thousand 0.60%
RMB 500 Thousand (inclusive) 0.48% Subscription fee rate and RMB 1 Million
(Front-end) of Class A RMB 1 Million (inclusive) to 0.32% Fund units RMB 2 Million
RMB 2 Million (inclusive) to 0.20% RMB 5 Million
Over 5 Million (inclusive) RMB 1,000 per Subscription
Detailed regulations in relation to specified Subscription fee rate of Class A Fund units for pension clients and the activity time may be changed with further announcement. Investors are kindly requested to find relevant announcement made by the Company.
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 front-end 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 front-end 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 front-end 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.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
The Fund currently does not provide online direct sales trading for Class H Fund units.
Maximum Subscription fee rate for Class H Fund units shall not exceed 5% and specific rate shall be determined by the Sales Agency themselves in Hong Kong.
(2) Calculation of Subscribed 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 fee 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: 68
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
Total Subscription amount = total application amount
units of Subscription = total Subscription amount/Net Asset Value per Unit of the Fund on Day T
When the Investor applies for 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 in the 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 in the Subscription of the Fund. Suppose that the Net Asset Value per Unit of the Class A Fund 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 holding period.
(3) Redemption Fee
The Redemption fee shall be paid by the applicant, 25% of which of Class A Fund units shall become part of the Fund assets, and the rest will be used as the registration fee and other necessary handling fees. In which, Class A Fund Unitholders with continuous holding period 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. 100% of the Redemption fee of Class H Fund units is for the account of the Fund assets.
Redemption fee rates of Class A Fund units are as follow:
Redemption Fee Holding Period Rate of Class A Fund Units
Within 7 Days 1.5% Redemption fee rate of Class A Fund units 7 Days (inclusive) - 1 Year 0.5% (inclusive)
1 to 2 Years (inclusive) 0.2%
Over 2 Years 0%
The Redemption fee rate of Class H Fund units is 0.13%, 100% of the Redemption fee is incorporated into Fund assets.
(4) Calculation of Redemption Amount
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The Redemption amount shall be calculated by multiplying the actually 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 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 the Class A Fund 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 the Class A Fund 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 the Class H Fund 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 the Class H Fund 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 on Day T
Back-end load of (initial) Subscription = Units of Redemption × Net Asset Value per Unit of the Fund 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
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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 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 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.: The 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 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 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
The Fund has opened the daily Switching business of Class A Fund units since December 14, 2007.
1) Every Fund Switching is considered as a Redemption and a Subscription, whose fee include the Redemption fee of the switching-out fund and the make-up fee for the Subscription 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 Updated Prospectus of the Fund and the Redemption fee and its calculation as stipulated in the relevant announcement. A pre-set ratio 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 Front-end Load Model
For units switching from a fund which has does not charge any Subscription fee or charges a lower front-end load to a fund which charge a higher front-end load, the make-up fee for the front-end Subscription will be charged; for units switching from a fund with a higher front-end load to a fund which does not charge any Subscription fee or charges a lower front-end load, no 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
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Model
If the fund never charging the Subscription fee or with a low back-end load is switched to the 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 the fund with a high back-end load is switched to the fund never 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 makeup 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 Switching fees discounts apply to certain Switching services. 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 Fund Switching Units
1) Calculation and Examples of Fund 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 on 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)
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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 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 period. 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
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 BOCOM Schroder Enhanced Yield Bond Securities Investment Fund A with a holding period 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 switch application is RMB 1.0200, and that of the BOCOM Schroder Leading Trend 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
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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 BOCOM 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 Fund Securities Investment 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 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 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 Bond Securities Investment 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 Fund 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 on switch-out fund = confirmed switch-out amount × Redemption fee rate of corresponding switch-out fund
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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 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 BOCOM Schroder Dynamic Allocation Theme Selection Mixed Securities Investment Fund under the back-end load mode with a holding period 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 BOCOM Schroder Pioneer Mixed Securities Investment Fund under the back-end load mode with a holding period 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 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 75
BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
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 period of three 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
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 BOCOM Schroder Enhanced Yield Bond Securities Investment Fund Class B, the confirmed unit of switch-in fund of BOCOM Schroder Enhanced Yield Bond Securities Investment 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 - 0 + 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. In case of any changes in fee rates, the Fund Manager shall make an announcement on the Designated Media at least three Working Days prior to the adoption of the new fee 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.
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BOCOM Schroder Stable Allocation Mixed Securities Investment Fund (Updated) Prospectus Summary (2018 No.2)
The information disclosure fee, accountants' fee, lawyers' 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 Custody Fee
The Fund Manager and the Fund Custodian can adjust the rates of the management fee and the Fund custody fee in accordance with the Fund development. There shall be a general meeting of Fund Unitholders for the increase of Fund management rates or Fund Custodian rates; while a general meeting of Fund Unitholders is not required for the approval of the decrease of Fund management rates or Fund Custodian rates. The Fund Manager must make an announcement on the media designated by the CSRC at least three days prior to the adoption of the new rates.
(V) Taxation of the Fund
The Fund and the Fund Unitholders shall fulfill their tax obligations in accordance with the laws and regulations of Mainland China, Hong Kong, and the countries where the Investors are located.
XIV. Section updated in the Prospectus
Overall update
(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 V. Relevant Service Providers ”
(IV) Updated the relevant content in “Section VIII. Subscription and Redemption of Fund Units”
(V) Updated the relevant content in “Section IX. Switching of the Fund”
(VI) Updated the relevant content in “Section X. Investment of the Fund”, data as at March 31, 2019.
(VII) Updated the relevant content in “Section XI. Performance of the Fund”, data as at March 31, 2019.
(VIII) Updated the relevant content in “Section XXIII. Other Disclosures”
Bank of Communications Schroder Fund Management Co., Ltd.
July 29, 2019
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