Prospectus Summary of BOCOM Schroder Stable Allocation Mixed
Total Page:16
File Type:pdf, Size:1020Kb
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. 1 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. 2 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. 3 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