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工银瑞信研究精选股票(000803)

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投资类型:股票型 成立日期:2014-10-23 管理人:工银瑞信... 基金经理:宋炳珅
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基金公告

工银研究精选:工银瑞信研究精选股票型证券投资基金更新的招募说明书(2019年第2号)

公告日期:2019-11-09

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工银瑞信研究精选股票型证券投资                      金毓
          更 的招募说明书毓
             该口古9   第该          毓
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       金管理人   工银瑞信     金管理 限            毓
       金托管人   招商银      股份        限   毓
工银瑞信研究精选股票型证券投资          金                                                              更    的招募说明书




                                                       要提示毓

             金   中 证券监督管理             员   该口古4       滨 古4    证监许         该口古4    4迫迪    文注 募

      金 金           该口古4 古口    该详      式生效 毓

        金管理人保证 招募说明书的内容真                           准确          整      招募说明书 中 证监 注

      但中 证监               金募 的注             并 表明                      金的 值和收益                     性判断

或保证 也 表明投资                    金没 风险 毓

      投资 风险 投资者认购 或 购                        金份额时 认真阅                   招募说明书和 金 品资

料概要 全面认识            金 品的风险收益特                               考虑投资者自身的风险                  能力 并

     认购 或 购         金的意愿 时机 数 等投资                                     独立 策          金管理人提醒投资

者    金投资的 买者自负 原                    在投资者            投资     策           金 营状况             金净值

导    的投资风险        投资者自 负担 毓

             金投资 证券 场              金净值 因 证券 场波                         等因素 生波             投资者在投资

      金前        全面了解          金的 品特性 理性判断                   场 并 担 金投资中                    的各类风

险 包括 因 治              济 社        等 境因素 证券 格                      生影响而形 的系统性风险 个别

证券特 的非系统性风险                金管理人在 金管理 施过程中 生的 金管理风险                                         金

的特 风险等等 毓

             金是股票型 金           预期收益 风险水 高                               场 金 债券型 金              混 型

     金 属 风险水 较高的              金 毓

             金的投资 围限                   良好流 性的金融工                  包括 内依法发                  的股票 包

括    业 股票       中小     股票                  中 证监                准         的股票         债券 债券回购 资

     支 证券 银         款 股指期                  证等金融 生工                      法律法规或中 证监 允许

金投资的          金融工       毓

      如法律法规或监管机构                   允许 金投资             品种            金管理人在履              程序

     将 纳入投资 围 毓

        金的投资             例      股票投资            金资 的 例                  迫口还-9滨还 任何交易             在扣

除股指期            需缴纳的交易保证金                  金或者到期             在          内的 府债券                  金

资    净值的 滨还     中 金 包括结算备 金                             保证金和 收 购款等 毓

             金初始募 面值 人民                古.口口 元 在 场波 因素影响                              金净值 能

初始面值            金投资者          能           损 毓

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工银瑞信研究精选股票型证券投资         金                                              更    的招募说明书


           金的过 业 并 预示                来表   毓

           金管理人管理的 它 金的业 并 构                         金业 表 的保证            金管理人依照

恪        职    诚 信用 谨慎勤勉的原 管理和 用 金                         但 保证 金          盈利 也

保证最 收益 毓

               金     更 招募说明书仅 据该口古9 9           古 生效的 信息披露 法                金

     托管           的修   更         招募说明书 前言 释义               金份额的 购 赎回             金的收

益                  金的                    金的信息披露 法律文 摘要等章节内容 并更                     金管

理人 要人员情况            述内容更 截             该口古9 古口   古滨    除非另 说明        招募说明书

     载        内容截       该口古9   4 22                  数据和净值表 数据截             该口古9    详 详古

               数据              毓
毓                                     毓




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工银瑞信研究精选股票型证券投资          金                                         更   的招募说明书



                                                  目毓 毓 录毓
            言毓...................................................................毓4毓

          释义毓...................................................................毓滨毓

            金管理人毓.............................................................毓迫毓

四          金托管人毓............................................................毓古迫毓

五        相 服 机构毓..........................................................毓古迫毓

            金的募 毓............................................................毓滨迫毓

七          金          的生效毓........................................................毓滨9毓

            金份额的 购 赎回          转换毓.............................................毓滨9毓

九          金的投资毓............................................................毓绩迫毓

十          金的业 毓............................................................毓迪9毓

十               金的       毓..........................................................毓迫口毓

十               金资       值毓........................................................毓迫古毓

十               金的 用 税收毓....................................................毓迫绩毓

十四             金的收益         毓....................................................毓迫迪毓

十五             金的             毓....................................................毓迫迫毓

十               金的信息披露毓......................................................毓迫9毓

十七             金的风险揭示毓......................................................毓94毓

十               金       的 更              金    的清算毓.................................毓9迪毓

十九             金       的内容摘要..................................................毓古口口毓

     十          金托管       的内容摘要毓..............................................毓古口口毓

     十                 金份额    人的服 毓............................................毓古口口毓

     十                   披露    毓...................................................毓古口详毓

     十       招募说明书            查阅方式毓..........................................毓古口详毓

     十四 备查文 毓.........................................................毓古口4毓

            毓...................................................................毓古口滨毓

            毓...................................................................毓古古9毓




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工银瑞信研究精选股票型证券投资                  金                                                        更   的招募说明书



                                                                        言毓

        工银瑞信研究精选股票型证券投资                           金更 的招募说明书                   简              招募说明

书     或 招募说明书               依据         中 人民 和            证券投资        金法          简              金法

     证券投资 金             管理 法                      简               法                开募 证券投资 金                   管

理     法             简                       法              开募    证券投资 金信息披露管理 法                     进        简

        信息披露 法                远毓             开募 开 式证券投资 金流 性风险管理规                                        简

        流 性风险规                                       法律法规             工银瑞信研究精选股票型证券投资

金     金                   简            金               编写 毓

        招募说明书阐述了工银瑞信研究精选股票型证券投资                                     金的投资目标        策略        风险

     率等 投资者投资 策                        的全部必要              投资者在           投资 策前             阅         招募

说明书 毓

        金管理人                  招募说明书               在任何虚假 载 误导性陈述或者 大遗漏 并

真     性 准确性             整性 担法律 任 毓

              金 据 招募说明书 载明的资料 请募                                       招募说明书 工银瑞信 金管理

限      解释               金管理人没                托或授 任何          人提供 在 招募说明书中载明的信息

或      招募说明书 任何解释或者说明 毓

        招募说明书 据                     金的       金        编写 并 中 证监 注                    金         是              金

       人之间 利 义 的法律文                              金投资者自依         金            得 金份额 即                  金份

额      人和 金              的           人                   金份额的              身即表明        金         的 认和接

       并按照          金法          金                           规                 利      担义         金投资者欲了解

     金份额       人的 利和义                              查阅 金              毓

      招募说明书                  金 品资料概要的编制 披露 更                             等内容 将 晚         该口该口     9

古    起执       毓
毓                                              毓




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工银瑞信研究精选股票型证券投资                        金                                                                                   更         的招募说明书



                                                                                 释义毓

      在       招募说明书中 除非文意另                                   指                   词语或简                         如 含义 毓

      古       金或              金 指工银瑞信研究精选股票型证券投资 金毓

      该       金管理人 指工银瑞信                           金管理 限                            毓

      详       金托管人 指招商银 股份 限                                             毓

      4         金               指 工银瑞信研究精选股票型证券投资                                                    金 金                               金          的

任何 效修 和补 毓

      滨      托管               指 金管理人                      金托管人就                             金签         之 工银瑞信研究精选股票型

证券投资 金托管                                       托管               的任何 效修 和补 毓

      绩      招募说明书或 招募说明书                             指 工银瑞信研究精选股票型证券投资                                                   金招募说明

书             更 毓

      迪       金份额发                     告 指 工银瑞信研究精选股票型证券投资 金 金份额发                                                                        告 毓

      迫 法律法规 指中                                    效并                 施的法律                            法规 规 性文                           法解释

       规章                             金                   人                力的                                       通知等毓

      9              金法            指 该口口详      古口        该迫          第十届全 人民 表大 常                                           员 第五

     通过 并         该口古该        古该     该迫    第十 届全 人民 表大 常                                                   员 第 十                        修

自 该口古详     绩       古      起 施的 并                   该口古滨         4毓          该4          第十 届全 人民 表大                              常          员

     第十四                   全 人民 表大 常                             员                      修改积中 人民 和 港 法己等七部法

律的             修改的 中 人民 和 证券投资 金法                                                              颁 机                   时做             的修 毓

      古口                      法          指中 证监               该口古详         详           古滨        颁                 绩   古              施的 证券

投资 金               管理 法                   颁 机                          时做 的修 毓

      古古       信息披露 法                         指中 证监                 2019                7          26          颁               9          1         施的

       开募 证券投资 金信息披露管理 法                                                    颁 机                             时做 的修 毓

      古该                      法           指中 证监               该口古4           迪          迪         颁                 迫   迫              施的            开

募     证券投资 金                      管理         法        颁 机                                   时做 的修 毓

      古详       流 性风险规                          指中 证监                      该口古迪            迫        详古     颁                 古口       古          施

的           开募 开 式证券投资 金流 性风险管理规                                                                  颁 机                   时做 的修 毓

      古4      中 证监                  指中 证券监督管理 员 毓

      古滨     银 业监督管理机构 指中 人民银 和/或中 银 保险监督管理 员 毓


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工银瑞信研究精选股票型证券投资        金                                                            更   的招募说明书


      古绩    金            人 指          金                       据 金              利并 担义 的法律

体     包括 金管理人           金托管人和 金份额                    人毓

      古迪   个人投资者 指依据              法律法规规              投资 证券投资 金的自然人毓

      古迫 机构投资者 指依法               投资证券投资 金的 在中 人民 和 境内 法登 并

     续或            府部门批准      立并 续的企业法人                     业法人 社 团体或                     毓

      古9 投资人 指个人投资者 机构投资者和 格境 机构投资者                                     法律法规或中 证

监     允许购买证券投资 金的                投资人的           毓

      该口    金份额         人 指依        金         和招募说明书 法 得 金份额的投资人毓

      该古    金      业      指 金管理人或               机构                   金 发         金份额         理 金

份额的 购 赎回 转换 非交易过户 转托管                                 期 额投资等业 毓

      该该         机构 指工银瑞信         金管理 限                       符             法 和中 证监 规

的                  得 金          业 资格并            金管理人签 了 金                  服        理

理     金     业 的机构毓

      该详 登 业        指 金登                 管 过户 清算和结算业                   体内容包括投资人 金

     户的建立和管理          金份额登             金      业 的确认 清算和结算                      理发 红利 建

立并保管 金份额              人      和 理非交易过户等毓

      该4 登 机构 指 理登 业 的机构                            金的登 机构 工银瑞信 金管理                      限

或接 工银瑞信 金管理 限                         托            理登 业 的机构毓

      该滨    金 户 指登 机构              投资人开立的              录          的    金管理人 管理的 金

份额余额               情况的 户毓

      该绩    金交易 户 指           机构 投资人开立的                     录投资人通过             机构 理认购

     购 赎回 转换 转托管等业 而引起的 金份额                                    结余情况的 户毓

      该迪    金      生效         指 金募            到法律法规规               金       规 的                 金管理

人向中 证监            理 金备案手续                   并获得中 证监 书面确认的 期毓

      该迫    金                  指 金          规 的 金                                      金        清算

清算结果 中 证监 备案并                         告的 期毓

      该9     金募 期 指自 金份额发 之 起 发 结                                 之    的期间 最长 得超过 详

个 毓

      详口    续期 指 金             生效              之间的         期期限毓

      详古   工        指 海证券交易                 深圳证券交易 的            常交易 毓

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工银瑞信研究精选股票型证券投资                          金                                                    更   的招募说明书


      详该        震             指        机构在规           时间 理投资人 购 赎回或                 业      请的开        毓

      详详        震连渡              指自 震     起第 渡 个工          进 包含 震     远毓

      详4         开                  指 投资人 理 金份额 购 赎回或                           业 的工         毓

      详滨        开 时间 指开                           金接          购 赎回或          交易的时间段毓

      详绩             业 规                  指 工银瑞信 金管理 限                   证券投资 金注 登 业 规

是规              金管理人 管理的开 式证券投资 金登 方面的业 规                                               金管理人和投资

人           遵 毓

      详迪 认购 指在 金募 期内 投资人 据 金                                             和招募说明书的规           请购买 金

份额的                 毓

      详迫             购 指 金                   生效             投资人 据 金         和招募说明书的规           请购买 金

份额的                 毓

      详9 赎回 指 金                              生效              金份额      人按 金        和招募说明书规 的                 要

求将 金份额兑换                            金的          毓

      4口              金转换 指 金份额                        人按照 金         和 金管理人届时 效 告规 的

     请将                        金管理人管理的 某                    金的 金份额转换          金管理人管理的               金

金份额的                    毓

      4古 转托管 指 金份额                                    人在      金的            机构之间 施的 更                金份额

       机构的操 毓

      4该              期 额投资                       指投资人通过                机构提       请            期 购       扣款

金额 扣款方式                                   机构          期      扣款 在投资人指 银             户内自          扣款

金     购 请的 种投资方式毓

      4详         巨额赎回               指       金 个开                     金净赎回 请进赎回 请份额总数                  金转

换中转                 请份额总数 扣除                   购 请份额总数               金转换中转入 请份额总数           的余额远

超过              开                  金总份额的 古口还毓

      44          元 指人民 元毓

      4滨              金收益 指 金投资 得红利 股息 债券利息 买 证券 差 银                                           款利息

             的                  法收入 因             用 金           带来的        和 用的节 毓

      4绩              金资 总值 指 金拥 的各类                                证券 银        款 息        金 收款

资     的 值总和毓

      4迪              金资 净值 指 金资 总值 去 金负债 的 值毓

                                                                          7
工银瑞信研究精选股票型证券投资                                 金                                                                      更     的招募说明书


          4迫           金份额净值 指 算                                 金资 净值除                    算          金份额总数毓

          49            金资          值 指 算评                          金资 和负债的 值                             确           金资 净值和 金份

额净值的过程毓

          滨口 指 媒                 指中 证监 指 的用                                        信息披露的全 性 刊 指                                联网网站

     包括 金管理人网站                             金托管人网站 中 证监                                      金电子披露网站 等媒 毓

          滨古                    力 指 金                               人 能预                  能避免                   能克服的                    毓

          滨该 流 性 限资                          指               法律法规 监管                        或操 障碍等原因无法                                理 格

                      的资         包括但 限 到期 在 古口毓个交易                                             的逆回购 银                   期 款 含

                             提前支 的银                       款         停牌股票 流通                  限的 股 非 开发 股票 资

支        证券 因发 人债                                  无法            转 或交易的债券等毓

          滨详        摆           机制 指                           金遭遇大额 购赎回时                          通过调整          金份额净值的方式

将        金调整投资                  的 场                                    给              购 赎回的投资者                       而 少                       金

份额                  人利益的 利影响                     确保投资者的 法 益                                 损害并得到                      毓

          滨4          金 品资料概要 指 工银瑞信研究精选股票型证券投资 金 金 品资料概要

          更               招募说明书                     金         品资料概要的编制                   披露 更              等内容 将            晚          该口该口

     9           古     起执          毓


                                                                                    金管理人毓

                             金管理人概况毓

                        工银瑞信 金管理 限                                毓

                                   西城 金融大街 滨                                 滨        绩层      滨        绩口古       滨     迪层        滨        迪口古

     滨          迫层        滨     迫口古         滨          9层        滨        9口古毓

                      地址                   西城 金融大街 滨                            盛大厦 致           绩-9 层毓

          邮          编码 古口口口详详毓

          法            表人 王海璐毓

                 立 期 该口口滨               绩        该古        毓

          批准 立机                   中 证监 毓

          批准 立文                   中 证监 证监 金                                    该口口滨 9详        毓

                 营 围             金募                  金               资 管理 中 证监 许 的                                       业 毓

                      形式         限 任                 毓

                                                                                     8
工银瑞信研究精选股票型证券投资                     金                                                                 更       的招募说明书


         注      资           亿元人民 毓

         联系人 朱碧 毓

         联系电话 4口口-迫古古-9999毓

         股      结构 中 工商银 股份 限                                         注 资 的 迫口还 瑞士信 银 股份 限

                     注 资 的 该口还 毓

              续期间          续 营毓

                       要人员情况毓

         古     董          员毓

         郭特 女士 董 长 博士                                任工银瑞信 金管理              限         总 理 历任中                  工商银

     总 商业信 部 资金                           部副处长 中 工商银                    总 资 托管部处长 副总 理 毓

         销i外创且刘速毓替刘天i渡 生 董               瑞士信 董 总 理                          地 资 管理 管 毓替刘天i渡

生负 制 和指导                            资     管理战略 包括                        品和             伴 系                        机构和

人银 密                          提供资          管理投资解 方案 毓在该口古古 迫                       入瑞士信 之前 毓替刘天i渡

     生是致账i且延败刘账货毓 延且责i货且速的首席执              官    致账i且延败刘账货毓 延且责i货且速是 家         香港的                   金

闹财闹          之前               在读i货刘毓 延且责i货且速和英          曼    团担任投资                     理     替刘天i渡      生也是

销刘货败财责财速i货且渡毓有刘渡货质败刘毓范且败货渡刘败账的联        始人 毓 在流 和非流 性另类投资                                 业拥 超

过该口         的 验      替刘天i渡 生 业             美             法        大学沃       商学院        并获得 济学理学士学

         毓

         王海璐女士 董                    硕士          任工银瑞信 金管理 限                       党 书              总 理 古99迪

迪       开始         在中 工商银 总 管理信息部                                        金融 场部工                  该口古口    9         该口古9

     古 任中 工商银 总 金融 场部副总 理 该口古9                                            入工银瑞信 金管理 限                                 毓

         王      心女士 董                高       济师 中 工商银 战略管理 投资者 系部高                                                 家

职董            历任中 工商银                       融资部                业       部 营业部 副总 理 中 工商银

营业部毓历任副处长 处长 中 工商银 总                                           术改     信 部 理 毓

         王莹女士 董                 高            师 中 工商银 战略管理 投资者 系部高                                              家        职

          董          该口口4 古古 获得                 内           注 内部             师 延刘败货i则i刘北毓I渡货刘败渡且速毓致质北i货财败远毓

资格证书 历任中 工商银                                  业 部 汇清算处负 人 中 工商银 清算中心 汇清

算处负 人 副处长 中 工商银 稽 监督局 汇业 稽 处副处长 处长 中 工商银

     内部            局境 机构                 处处长 工 悉                     内部         师 风险 家 毓

                 强 生 独立董                      济学博士               海      大学      济学院院长                海          大学高等

                                                                          9
工银瑞信研究精选股票型证券投资                   金                                                                更    的招募说明书


研究院院长 美 德 致这销大学 济系致速则败刘北毓闹.毓延创且速k讲席教授 首批中 部 千人

入选者                   家特聘 家 首批人文社 科学长 学者讲 教授                                          任 海 人民 府特聘

     策咨询 家 中 留美 济学                               长 古99古-古99该             该口口绩 被        尔街电                  中 大

     十大最 影响力的 济学家之                                  要研究领域包括 济理论 激 机制                                 中           济

等        毓毓

      致速且渡毓读毓霆造i货创 生 独立董                  法学学士 香港                      士 香港律师                 律师 历任

     香港 限                 副董 长 怡富 股 限                            董 长 香港大学法律 业讲师 恒生指数

          员         员 香港 院管理局                     金               托人 香港证监 程序复检 员                         员 香港

     府 济                   员 发展局          员 香港联 交易                         场发展工 小              席       被            洲金

融               志评               银 家        毓

      程凤朝 生 独立董                          管理学博士                  湖 大学博士生导师 中 社 科学院研究

生院硕士生导师 中                                        并购融资 员 副 任 员 获湖 大学管理学博士学

          金融科学研究员 高                           师 中 注                    师   中 注 资 评 师 毓

      毓

      该.监                  员毓

      郑剑锋 生 监                      金融学科学 硕士 该口口滨                   古该 起 郑剑锋 生任职 中                     工商银

     监                              担任综 管理处处长 监督 员和监                                          副 任            要负 风

险        内            董    高管履职的监督检查工                    该口古4 绩 起        郑剑锋         生被任命 中             工商银

     战略管理 投资者 系部                       团 驻子              董监                 高         家      职         董        毓

      黄敏女士 监                     金融学学士 黄敏女士 该口口绩                        入延败刘北i货毓霆质i账账刘毓诺败财质责毓进瑞士信

          团远               担任全球投资银           战略部         理副总裁                  投资银 战略部副总裁 中

     执 首席 营官 资 管理大中                                  首席 营官迟 任资 管理中                         负 人 毓

      洪波女士 监                     硕士 致延延致毓非执业 员 该口口滨                     该口口迫 任 永 明                师

高                 员 该口口迫        该口口9   任民生证券            限 任            监察稽 总部业                 管 该口口9         绩

     入工银瑞信法律 规部                        任内 稽 部总监 毓

                 莹女士 监           硕士 该口口口          该口口9 任职 中 人民大学 历任副科长 科长 校

团        副书           该口口9     该口古古   就职                       教工        任 部处副调研员 该口古古                 入工银

瑞信战略发展部                      任人力资源部总监 毓

      章琼女士 监                     硕士 该口口古             该口口详    任职 富 证券                  部 该口口详          该口口滨

任职 银河 金 担任注 登                                 员 该口口滨          入工银瑞信               部     任中央交易 总监 毓

                                                                       10
工银瑞信研究精选股票型证券投资                                      金                                                                                       更        的招募说明书


          详    高 管理人员毓

          王海璐女士 总 理 简历                                                      毓

          朱碧          女士           硕士                     注        内部              师          任工银瑞信 金管理 限                                               党           员

督察长                  任工银瑞信投资管理                                限              监        古99迪         古999           中            融信托投资                            证券

总部 理 该口口口 该口口滨                              中            融资 管理                      投资银 部 证券业 部高 副 理 该口口滨

           入工银瑞信 金管理 限                                                毓

          杜海涛 生 硕士                                 任工银瑞信 金管理 限                                       副总 理                       任工银瑞信资 管理

                       限              董              古99迪        迪               该口口该      9          任职 长城证券 限 任                                                     历任

职员 债券 金融工程 研究员 该口口该                                                         古口          该口口详        滨             任职                盈 金管理 限

               历任研究员                       金 理 理 该口口详                              绩        该口口绩         详            任职 招商 金管理 限

               历任研究员                         金 理 该口口绩                           入工银瑞信               金管理 限                              毓

          赵紫英女士 博士                                任工银瑞信 金管理 限                                       党             员 副总 理                               任工银瑞

信         金管理 限                         首席信息官 工银瑞信投资管理                                           限          董              古9迫9毓             迫毓               古99详毓

     滨毓            任职 中 工商银                                海淀支                                业             古99详          绩毓              该口口该毓        4毓            任

职         中 工商银                                                      业 部 历任综 科科长                                           业 部副总                      理 该口口该

滨             该口口滨           绩           任职 中 工商银 牡                                        中心        历任 场营 部副总 理 清算部

副总 理 该口口滨                             入工银瑞信 金管理 限                                             毓

           郝炜 生 硕士                                任工银瑞信 金管理 限                                        党          员 副总 理                              任工银瑞信

资         管理                              限          董              工银瑞信投资管理                          限          董              该口口古         4               该口口滨

绩             任职 中 工商银 资 托管部 该口口滨                                                        入工银瑞信 金管理 限                                                 毓

           4               金 金 理毓

               炳珅 生 古滨                       证券 业                  验              任中信建投证券                     限          研究员 该口口迪                              入工

银瑞信                 任 益投资总监 该口古该                                   该         古4                 担任工银瑞信添颐债券型证券投资

金         金 理 该口古详                      古           古迫                          担任工银瑞信 利债券型证券投资 金 金 理

该口古详        古        该迫               该口古4         古该         滨          担任工银瑞信 绩口                   理 债券型 金 金                                   理 该口古4

     古         该口              该口古迫        迫        该迫               担任工银瑞信红利混 型证券投资 金 金                                                          理 该口古4

     古         该口              该口古迪        滨        该迪               担任工银瑞信 心                      值混 型证券投资 金                                      金 理

该口古4         古口        该详                       担任工银瑞信研究精选股票型证券投资 金 金 理 该口古4                                                                                 古古

     古迫              该口古迫        迫         该迫             担任工银 疗保健 业股票型 金 金 理 该口古滨                                                                     该       古绩

            该口古迪       古该         该该             担任工银战略转型 题股票                                    金 金 理 该口古迪                               4           古该


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工银瑞信研究精选股票型证券投资                                    金                                                                            更   的招募说明书


该口古迫         古该      该迫              担任工银瑞信中 制                           该口该滨 股票型证券投资 金 金 理 毓

                   金历任 金 理 毓

         杨柯 生 该口古4                       古口          该详            该口古迪     古该      该该      管理           金 毓

         滨      投资 策 员                           员毓

         王海璐女士 简历                                     毓

         杜海涛 生 投资 策 员                                                任 简历                  毓

               炳珅 生 简历                                  毓

         欧        凯 生 古迪 证券 业                                   验         任中海 金管理                 限             金 理 该口古口               入工

银瑞信                  任固 收益投资总监                               该口古口    迫 古绩                   担任工银瑞信 利债券型证券投资

      金         金 理            该口古古    古该 该迪                 该口古迪    4 该古 担任工银保 混                          金        金 理         该口古详

该      迪         该口古迪       该 绩       担任工银保 该                        混 型发起式                金进自该口古绩 该          古9 起        更 工银

瑞信               精选混 型证券投资                                金远 金 理                该口古详 绩      该绩        该口古迫 该      该迪       担任工银

瑞信保 详 混 型 金 金                                             理迟毓该口古详 迪       4        该口古迫     该 该详        担任工银信用纯债

      期开              金        金 理 该口古4                     9    古9       起            担任工银              富灵活 置混 型                     金 金

      理 该口古滨        滨 该绩 起 该口古迫                        绩 滨          担任工银丰盈回 灵活 置混 型 金                                      金 理 毓

         黄        乐 生 古绩 证券 业                                   验              在 相投资                     限        担任研究员                信证券

      济研究 担任资深 析师                                         信证券资 管理总部担任投资 理 研究员 该口古口                                              入工

银瑞信                  任 益投资总监 该口古古 古古 该详                                            担任工银瑞信 题策略混                            型证券投资

      金 金 理 该口古详 9                        该详               该口古9 该 古详              担任工银瑞信精选 衡 金 金                              理 该口古4

      古口 该该            该口古迪 古口 9                    担任工银高端制                       业股票型 金 金 理 该口古滨                           4 该迫

      该口古迫     详 该             担任工银                       料 能源 业股票型                        金 金          理 该口古绩 古 该9                 该口古迫

      古古 详口           担任工银瑞信                   家战略 题股票型 金                                金 理 该口古迪 4 该古                      该口古9 古

该4              担任工银瑞信                 联网           股票型证券投资                      金 金         理 该口古迫 详            该迫             担任工

银瑞信中小盘 长混 型证券投资 金 金 理 该口古迫                                                                绩 滨               担任工银瑞信高端制

             业股票型证券投资 金                             金 理 毓

         李剑峰 生 古绩 证券 业                                         验         任中央 债登 结算 限 任                                       业      理 高

副           理 该口口迫             入工银瑞信                         任固 收益研究员                       任固 收益投资总监                           金投资

中心总 理 毓

         郝康 生 该古 证券 业 验                                                   在澳大利 首源投资管理                           担任 金 理 在联

和           通投资               管理          担任执 董                          在工银瑞信担任                     业 总监 在工银瑞信资 管

                                                                                         12
工银瑞信研究精选股票型证券投资                                  金                                                                更     的招募说明书


理                        限          担任副总 理 该口古绩                            入工银瑞信 金管理 限                                  任 益投资

总监             任工银瑞信                                副总 理 该口古绩 古该 详口                        担任工银瑞信沪港深股票型

证券投资 金                     金 理 该口古迪                  古古 9                    担任工银瑞信沪港深精选灵活 置混 型证

券投资 金                  金 理                该口古迫   滨     古口               担任工银瑞信           济灵活 置混 型证券投资

     金 弄廷II                 金 理 该口古迫                   古该 该滨                 担任工银瑞信红利                灵活 置混 型证券

投资 金 金 理 毓

       石                  生 硕士                     任工银瑞信 金管理 限                          投资总监 古99口                   古99滨        任职

     荷 银                                     担任        理 古99滨               该口口该   任职           大和投资信托 香港                           限

             担任资深投资 理 该口口详                                    该口口4      任职      湾英 保诚投资信托                             担任投资

总监 该口口4                   该口口绩             任职             湾汇丰中 投资信托                   担任投资管理部副总裁 该口口绩

          该口口迫        任职                 联          金管理 限                   担任副总      理 投资总监 该口口迫                     该口古详

任职                 湾        投资信托                         担任副总 理 投资总监 该口古4                           该口古绩        任职          湾中

     人寿保险              限                   担任全球 益                  场负 人 该口古迪          该口古迫   绩          任职 尤梅投资

          担任             董 总 理 毓

       朱碧 女士 简历                                      毓

       章             生 12 证券 业 验 复 大学理论物理学                                               业博士 英 剑桥大学管理学研

究生                      在 海 狮津泉投资咨询 限                                         担任数       析师 在                资 管理 限

担任                 投资 理 在 泰                         金管理 限                   担任指数投资 长                      执 总监              2014

     入工银瑞信                    任指数投资中心总 理

             述人员之间均                           在 亲属 系 毓

                           金管理人的职 毓

             据            金法                                 法律法规               金管理人的义 包括但 限                          毓

       古      依法募                金               理或者             托 中       证监 认 的              机构                 理        金份额的发

             购 赎回和登                                   毓

       该            理 金备案手续 毓

       详      自          金                    生效之 起                     诚 信用 谨慎勤勉的原 管理和 用 金                                          毓

       4              备足够的                        业资格的人员                        金投资 析          策               业 的 营方式管

理和                  金                  毓

       滨      建立健全内部风险                            制 监察 稽                         管理 人        管理等制                  保证 管理的

     金              和 金管理人的                         相 独立                     管理的          金 别管理                  别                     证

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工银瑞信研究精选股票型证券投资                  金                                                                   更    的招募说明书


券投资 毓

      绩     除依据           金法          金                                 规                     得利用    金              自         任

何第 人                利益         得 托第 人                   金              毓

      迪     依法接           金托管人的监督 毓

      迫     采               理的措施使 算                金份额认购                 购 赎回和注               格的方法符

金           等法律文 的规                 按         规         算并 告              金净值信息 确                  金份额 购 赎

回的 格 毓

      9                金            算并编制         金                  告 毓

      古口    编制季           告 中期 告和                      告 毓

      古古        格按照            金法             金                               规             履 信息披露               告义         毓

      古该 保           金商业秘密          泄露 金投资                        投资意向等 除                   金法             金

                  规 另 规                 在 金信息 开披露前                              保密         向 人泄露 毓

      古详 按           金           的      确            金收益          方案                 时向 金份额               人              金收

益 毓

      古4     按规            理 购 赎回             请         时 足额支 赎回款                        毓

      古滨 依据             金法           金                              规 召                 金份额         人大 或                    金

托管人            金份额            人依法召           金份额             人大             毓

      古绩 按规 保                  金     管理业 活 的                                         表      录和         相 资料古滨

      毓

      古迪 确保需要向 金投资者提供的各 文 或资料在规 时间发                                                     并 保证投资者能

够按照            金           规 的时间和方式                   时查阅到               金            的 开资料 并在支                     理

      的               得到         资料的复               毓

      古迫             并参         金     清算小               参        金          的保管 清理                                和              毓

      古9 面临解散 依法被撤 或者被依法 告破 时                                                  时 告中 证监 并通知 金托

管人 毓

      该口 因                  金          导         金         的损失或损害 金份额                           人 法 益时

     担赔偿 任                赔偿 任      因          任而免除 毓

      该古 监督 金托管人按法律法规和                             金            规 履 自 的义                              金托管人

      金                      金         损失时           金管理人               金份额                人利益向 金托管人追偿 毓

      该该         金管理人将 义                     托第 方处理时                              第 方处理                 金         的

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工银瑞信研究精选股票型证券投资                 金                                                                              更    的招募说明书


     担 任 毓

      该详                 金管理人 义             表     金份额              人利益 使                    讼 利或 施                    法律

毓    该4             金管理人在募          期间        能 到       金的备案                               金                  能生效           金管

理人 担全部募                     用 将 募 资金并                        银              期     款利息在 金募 期结                            详口 内

               金认购人 毓

      该滨          执 生效的 金份额                 人大 的                        毓

      该绩          建立并保         金份额          人             毓

      该迪          法律法规 中 证监 规 的和                             金                          的              义   毓

      四             金管理人         毓

          古           金管理人将 据 金                    的规               按照招募说明书 明的投资目标 策略 限

制等全 处理                    金的投资 毓

          该           金管理人                          证券法 的                            并建立健全内部 制制                        采       效

措施                           证券法           的发生 毓

          详           金管理人                            金法 的                            并建立健全内部 制制                        采       效

措施 保证 金                         用         投资或者活                    毓

               古          证券 毓

               该          规 向 人 款或者提供担保 毓

               详            担无限 任的投资 毓

               4 买                 金份额 但是中 证监 另 规 的除                                               毓

               滨 向         金管理人         金托管人 资 毓

               绩          内幕交易 操纵证券交易 格                                                 的证券交易活                毓

               迪 法律              法规和中 证监 规 禁 的                                     活          毓

      法律                  法规或监管部门                 述限制 如 用                                   金          金管理人在履                程

序                         金投资           相 限制 毓

      4               金管理人将 强人员管理 强 职业操                                         督促和            员工遵              家        法律

法规                业规       诚 信用        勤勉                                                   毓

               古 将 固              或者 人              混              金                        证券投资 毓

               该            地            管理的              金              毓

               详 利用 金            或者职 之便                金份额                    人              的人牟 利益 毓

               4 向 金份额                 人 规          收益或者 担损失 毓

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工银瑞信研究精选股票型证券投资                     金                                                        更    的招募说明书


           滨 侵              挪用 金               毓

           绩    泄露因职         便利获 的                   开信息        利用    信息       或者明示 暗示 人                  相

     的交易活            毓

           迪 玩忽职                  按照规 履 职                    毓

           迫      它法律法规                       院证券监督管理机构禁 的                         毓

      滨         金 理           毓

           古    依照          法律 法规和               金          的规           着谨慎的原             金份额          人

利益 毓

           该      利用职         之便        自         被 理人            被 表人            人或任何           第 人

     利益 毓

           详      泄漏在任职期间知悉的                        证券             金的商业秘密         尚    依法     开的        金投

资内容            金投资              等信息 毓

           4             任何形式 除 金管理人                         的             或个人         证券交易 毓

           五       金管理人的内部 制制 毓

      古        内部 制的原 毓

           古    健全性原              内部 制                包括          的各    业      各个部门或机构和各 人员

并涵盖到 策 执                        监督         馈等各个 节 毓

           该      效性原              通过科学的内 手段和方法                      建立    理的内        程序 维 内            制

的     效执         毓

           详    独立性原                金管理人各机构                部门和岗 职              保        相 独立          金管理

人     金资         自 资                     资 的                         离 毓

           4 相 制 原                        金管理人内部部门和岗 的 置                                    明 相 制衡 毓

           滨            效益原               金管理人 用科学 的                    营管理方法降                     提高 济

效益              理的 制                    到最佳的内部 制效果 毓

      该        内部 制的 要内容毓

           古      制 境毓

      董                        治理         风险        制 员             负            治理结构           期的评          检验

提                治理结构的修改和 善方案                                       营管理和 金投资业                 风险管理和

规性 制                       内部稽               工 结果                  查和监督并向董                告 董             资格

     查 薪酬 员                 负       股东 荐的董 人选资格 高 管理人员资格 独立董 资格

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工银瑞信研究精选股票型证券投资                 金                                                   更    的招募说明书


          查 拟 董              监          高 管理人员薪酬和激            策       股东 或董            批准 毓

                 管理层在总 理领导                  认真执 董           确 的内部 制战略            了 效        彻

董         制 的 营方针 发展战略 总 理                             执      员      负             常 营管理活 中

的        要 策 执            员             投资 策 员 和风险管理 员                    就 金投资和风险 制等

发表 业意               建           投资     策 员 是 金的最高投资 策机构 毓

                     立督察长         董       负          要负            内部 制的 法 规性                效性和

理性                 查 发           大风险         时向     董         和中 证监         告 毓

           该 风险评 毓

      古        董          属的           治理 风险 制 员 和督察长                      内 部风险          评        毓

      该        执      员         属的风险管理        员 负                营管理中的        大突发性           和 大

     机情况            评     制           机处理方案并监督 施 负                  金投资和        中的 大 题和

     大                风险评         毓

      详        各 部门负            职       围内的业        面临的风险           识别和评        毓

           详         制活 毓

           制活 包括自                制 职          离 监察稽             物     制 业 评               格授      资

     离等 策 程序或措施 毓

           制活 体                   自       制    各岗 的目标 任制              础 是内部 制的第 道                 线

在         内部建立科学               格的岗         离制         授 制      资         离制 等 在相 部门和相

     岗 之间建立 要业 处理凭据 递和信息沟通制                                   续部门 岗           前 部门 岗

负        监督 任 使相 监督制衡的机制                        内部 制的第 道 线                    发挥督察长和内

稽        部 各岗            各部门 各机构 各 业 全面监察稽                        用 建立内部 制的第 道

线 毓

           4 信息 沟通毓

                 建立 向的信息交流途                 形 了自 而 的信息             播 道和自 而 的信息呈

     道 通过建立 效的信息交流 道 保证了                              员工 各 管理人员                     了解          职

     相 的信息 并 时                           的人员        处理            据         架构和授 制         建立了清

     的业            告系统 毓

           滨 内部监 毓

      内部监                    治理 风险           制 员         督察长 风险管理 员 和内 稽 部等部门

在各自的职              围内开展                     立了独立 各业         部门的内 稽 部                中监察稽 人

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员履 内部稽 职能 检查 评                                           内部 制制               理性         备性和 效性 监督              内

部     制制 的执 情况 揭示                                   内部管理            金         中的风险          时提 改      意        促

       内部管理制                      效地执           毓

       详          金管理人                     内部 制的声明毓

            古         金管理人确知建立                      施和维 内部 制制 是                         董        管理层的          任 毓

            该         述            内部 制的披露真                   准确 毓

            详                              将 据 场           境的                    的发展      断 善内部 制制               毓


                                                              四            金托管人毓

                        金托管人概况毓

       古              情况毓

                    招商银 股份 限                                     简         招商银           毓

            立 期 古9迫迪 4 迫 毓

       注         地址 深圳 深 大道迪口迫迫 招商银 大厦毓

                  地址 深圳 深 大道迪口迫迫 招商银 大厦毓

       注         资        该滨该.该口亿元毓

       法           表人 李建红毓

            长          惠 毓

       资         托管业 批准文                       证监 金 后该口口该成迫详 毓

       电话 口迪滨滨-迫详古99口迫4毓

            真 口迪滨滨-迫详古9滨该口古毓

       资         托管部信息披露负 人                         张燕毓

       该        发展概况毓毓

       招商银               立             古9迫迪   4 迫       是          第    家 全 企业法人 股的股份制商业银

总          在深圳              自 立 来               招商银                     了         增资扩股     并 该口口该 详             地发

     了古滨亿致股           4       9 在 交                  牌 股票 码            绩口口口详绩     是 内第 家采用                    标

准          的                  该口口绩      9 又           发 了该该亿读股          9 该该      在香港联交       牌交易       股票

码 详9绩迫              古口 滨                使读股超额               发 了该4.该亿读股 截 该口古9 9 详口                           团

总资 迪详迟口滨9.该滨亿元人民                          高 法 资                  足率古滨.44还           法 资       足率古该.迫绩还 毓

       该口口该        迫            招商银            立     金托管部 该口口滨             迫           中 证监           意 更

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资        托管部                      业 管理团队                       品管理团队                 目管理团队 稽 监察团队                             金

包业 团队                          金团队 系统 数据团队 迪 个职能团队                                          员工 迫迪 人 该口口该           古古

     中 人民银 和中 证监                                 批准获得证券投资 金托管业 资格                                         内第       家获得

     业 资格                  银           该口口详         4             式 理 金托管业                       招商银                托管业 资

最全的商业银                       拥      证券投资                  金托管               托投资管理托管              格境      机构投资者托管

     弄闹II                 格境内机构投资者托管 弄廷II                                   全 社 保障 金托管 保险资金托管 企

业        金 金托管                   托凭证试点 托人等业 资格 毓

          招商银 确立 因势而                                         您 想 的托管理念和                       富 托 信                     的托管

心        值 独              绩霆 托管银                 品牌体系                    保 您的业                保 您的 富               历史使命

     断          托管系统 服 和                          品 在业内率                             网 托管银 系统                 托管业 综 系

统和 绩 心 托管服 标准 首家发                                           募 金 效 析 告 开                             内首个托管银 网站

              内首个托管大数据                                         托管 内第 只券商                       资     管理             第 只 闹适闹

第        只信托资金                       第 只股                     募 金 第 家                                 场 金赎回资金 震连古 到

第        只境 银                弄廷II     金 第 只红利 闸震闹                           金 第     只 古连锁         金 户理              第 家大

小非解禁资                    第           震适震 保管                               托管服 商向全面投资者服 机构的转                                       得

到了 业认                     毓

          招商银 资                托管业                续稳健发展                社 影响力 断提升迟四                 蝉联获             资               中

     最佳托管 业银                            该口古绩          绩     招商银 荣膺                  资        中 最佳托管银

     内          获得                 的托管银                        托管通 获得 内 银 家 该口古绩 中 金融                                           十佳

金融 品                              迪      荣膺 该口古绩             中 资 管理 金贝                          最佳资 托管银                         该口古迪

     绩     招商银                    荣膺               资           中 最佳托管银                       毓 全 能网 托管银                      该.口

荣获 银 家 该口古迪 中 金融                                          十佳金融 品                         迫     荣膺                      威媒体

洲银 家                     中             托管银                       该口古迫          古     招商银 荣膺中央 债登 结算 限

任               该口古迪                  资 托管机构                                           招商银 托管大数据                   风险管理系统

荣获 该口古绩-该口古迪                银监 系统 金点子 方案 等                                                中央金融团工             全 金融青

联第五届                    提升 金点子方案 等                            详       荣膺 募 金 该口                   最佳 金托管银

滨        荣膺                       威媒体                 洲银 家                  中            托管银                古该    荣膺 该口古迫 东方

     富风 榜 该口古迫                      最佳托管银                              该口        最值得信赖托管银                  该口古9        详          招

商银 荣获 中                          金                 该口古迫        最佳 金托管银                          绩    荣获           资         中 最

佳托管机构                    中 最佳                    金托管机构                   中 最佳零               金         包               大           毓

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          毓

                           要人员情况毓

         李建红 生                      董 长 非执 董                                 该口古4        迪          起担任               董          董 长 英 东

伦敦大学工商管理硕士                                林大学 济管理 业硕士 高                                              济师 招商局 团 限                                   董

     长         任招商局                       限           董              席 招商局能源 输股份 限                                               董        长 中

     海             装箱         团 股份              限              董 长 招商局                    建 路投资 限                                董        长和招商局

资        投资 限 任                     董 长                   任中           洋 输                      团 总                 总裁 理 总 济师 副

总裁 招商局 团 限                                   董           总裁 毓

               惠          生                  长 执             董        该口古详        滨       起担任                       长               执 董                 美

哥伦                大学         管理硕士学                      高         济师                     该口口详毓          迪毓          该口古详        滨     历任 海

银        副 长 中 建 银                               海                 副 长 深圳                                     长 中 建 银                        零 业 总

监                               长 毓

         汪建中 生                      副 长 古99古                        入                  该口口该          古口           该口古详     古该          历任         长

沙                  长 总               银 部副总 理                           山               筹备               长            山               长          汉

长 该口古详             古该         该口古绩        古口        任        业 总监                               金融总部总裁 期间                                 任

金融综 管理部总 理 战略 户部总 理 该口古绩                                                                古口            该口古迪      4         任          业 总监

                           长 该口古迪          4        起任             党            员                                长 该口古9              4         起任             副

     长 毓

         姜然女士 招商银 资 托管部总 理 大学 科 业                                                                                   金托管人高 管理人员

任职资格                        供职     中              业银 黑龙 省                                      商银                 中          业银 深圳

          信 管理 托管工                            该口口该          9        盟招商银                                  历任招商银 总 资 托管部

     理 高               理 总 理 理等职 是 内首家                                                 的网 托管银 的 要                                          开发者之

                    该口 余 银 信                     托管 业 业 验 在托管 品                                                        服 流程                            场营

               户 系管理等领域                           深入的研究和丰富的                                      验 毓

         毓

                           金托管业                 营情况毓

         截         该口古9      9      详口           招商银 股份 限                               累 托管 滨古口 只证券投资 金 毓

毓毓毓

         进四远毓托管人的内部 制制 毓


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      古        内部 制目标毓

      招商银 确保托管业                     格遵       家      法律法规和           业监管制      自觉形           法 营

规              的 营思想和 营理念 形 科学 理的 策机制 执 机制和监督机制                                              和

     解 营风险 确保托管业                   的稳健       和托管资 的 全 建立 利 查错                         弊 堵塞漏

洞         除 患            保证业 稳健            的风险 制制           确保托管业          信息真         准确      整

     时 确保内 机制 体制的 断改 和各 业 制                                     流程的 断 善 毓

      该        内部 制            结构毓

      招商银 资 托管业 建立                          内 风险         体系 毓

                风险         是在招商银 总 风险管 层面 风险                          预 和 制 毓

                风险         是招商银 资           托管部 立稽 监察团队 负 部门内部风险预 和 制 毓

                风险         是招商银 资           托管部在 置 业岗 时 遵循内 制衡原                          视业 的

风险程 制 相 监督制衡机制 毓

      详        内部 制原 毓

           古 全面性原              内部 制覆盖各 业 过程和操                       节 覆盖           团队和岗        毓

           该      慎性原           托管       体系的构           内部管理制         的建立均              风险      慎

营         发点              效       各种风险         内部 制的 心 体                  内             的要求 毓

           详    独立性原           招商银 资         托管部各团队        各岗       职 保      相 独立              托管

资     之间 托管资 和自 资 之间相                           离 内部       制的检查 评 部门独立 内部 制

的建立和执 部门 毓

           4       效性原           内部 制           高 的       威性    任何人       得拥           内部 制         的

     利 内部 制 在的 题能够得到 时的 馈和纠                                    毓

           滨           性原        内部 制           招商银      托管业 风险管理的需要 并能够 着托管

业         营战略            营方针         营理念等内部 境的             和 家法律 法规                   策制 等 部

     境的改            时      修 和        善 毓

           绩     火墙原           招商银 资          托管部 备独立的托管业                    术系统 包括网          系

统         用系统             全       系统        数据备份系统 毓

           迪      要性原           内部 制在           全面      制的    础           注 要托管业                 和高风

险领域 毓

           迫    制衡性原           内部 制能够             在托管        体系       机构 置                       业 流

程等方面形 相 制                      相    监督       时         营效率 毓

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      4         内部 制措施毓

           古           善的制    建             招商银     资 托管部 资 托管业 内                  管理             品 理

          算 资金清算 岗 管理 档案管理和信息管理等方面制                                       系 规章制              保证资

托管业 科学                 制              规                毓

           该           营风险    制 招商银               资 托管部制 托管 目               批 资金清算                       算

人        岗 大额资金 人跟踪 凭证管理等 系                                  整的操 规程            效地 制业                 过程

中的风险 毓

           详      业 信息风险 制 招商银 资                             托管部在数据      输和保    方面             格的     密和

备份措施 采用 密 直 方式 输数据 数据执                                             地 时备份           的业      信息          过

     格的授 方能                            毓

           4            户资料风险 制 招商银 资                         托管部    业      理过程中形 的              户资料 视

           资料保管              户资料          得泄露            人员如需调用             总 理          员        批 并做好

调用登             毓

           滨      信息 术系统风险 制                     招商银          信息    术系统管理           人 岗                  机

该4 小时值班并 置门禁管理                         电脑密码         置      限管理      业 网和         网 托管业 网

全        业 网           离制                   部业 机构                火墙保          信息 术系统采               地 中心

的        急备份管理措施等 保证信息 术系统的 全 毓

           绩      人力资源       制 招商银               资 托管部通过建立良好的企业文                和员工                 激

机制            强人力资源管理 建立人才梯                      队伍        人才储备机制         效的       人力资源管理 毓

      毓毓毓毓毓

           五           金托管人            金管理人               金       监督的方法和程序毓

           据 中 人民 和 证券投资 金法                                      开募 证券投资 金               管理 法 等

     法律法规的规                     金           托管       的                   金投资 围 投资 例 投资                      等

情况的 法性                 规性            监督和 查 毓

      在           金投资              提供的           金清算和 算服              节中     金托管人            金管理人发

的投资指                   金管理人 各              金 用的提              支 情况         检查监督                   法律法规

     金         的指             执         并立即通知 金管理人 毓

           金托管人如发                金管理人依据交易程序                      生效的投资指          法律                 法规和

                规        或者             金                      时 书面形式通知 金管理人                     整改 整改的

时限 符 法律法规                       金          允许的调整期限                金管理人收到通知               时          确认并

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    书面形式向 金托管人发                            回函并改                   金管理人                         金托管人通知的 规            能在

限期内纠 的                       金托管人                告中 证监                        毓


                                                           五 相 服 机构毓

                            金       机构毓

         古     直 柜 毓

              毓毓          工银瑞信 金管理                     限       毓

                     地址                 西城 金融大街 滨                           盛大厦 致               绩-9 层毓

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                                                                   55
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                                                               56
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     电话 口4古古-详9口该迪迫口迫毓 毓

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                                                                            57
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                                                                               58
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        契        型 开 式 毓

             四       金 续期间毓

                  期 毓

             五       金的面值毓

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                                                 七                 金              的生效毓

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滨口口口 万元        金管理人                   时 告中 证监                              金份额        人数    续 该口 个工

     到 该口口 人 或 续 该口 个工                       金资 净值                     滨口口口 万元     金管理人          时向中

证监              告 说明               述情况的原因并提 解 方案 毓

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                                                 金份额的 购 赎回 转换毓

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                  金的 购 赎回将通过                     机构                       体的         机构     招募说明书第五章内容

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理     金份额的 购 赎回 毓

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       古     开          开 时间毓

       投资人在开                  理 金份额的 购和赎回                               体 理时间             海证券交易         深圳证

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     准 毓

             金      生效        若             的证券交易 场 证券交易 交易时间 更或                                      特殊情况

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工银瑞信研究精选股票型证券投资                         金                                                        更    的招募说明书


披露 法 的                  规 在指                   媒          告 毓

      该         购 赎回的开始时间毓

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                      购 赎回的原 毓

      古            知          原             即 购         赎回 格         请       收           算的     金份额净值          准

           算 毓

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      4     赎回遵循                                  原         即按照投资人认购           购的            序           序赎回 毓

      滨               金发生大额                 购或赎回情形时             金管理人       在履            程序         采用摆

       机制          确保 金 值的                           性     体处理原        操 规 遵循相 法律法规                      监管

部门 自律规 的规                          毓

           金管理人 在法律法规允许的情况                                      述原           调整         金管理人必         在 规

     开始 施前依照 信息披露 法 的                                      规 在指       媒        告 毓

           四         购 赎回的程序毓

      古         购和赎回的 请方式毓

      投资人必              据            机构规            的程序 在开           的 体业          理时间内提            购或赎回

的     请 毓

      该         购和赎回的款 支 毓

      投资人 购 金份额时 必                                 全额交        购款      投资人交             购款           购   立 登

     机构确认 金份额时                          购生效 毓

           金份额           人递交赎回 请 赎回 立 登 机构确认赎回时 赎回生效 投资人赎

回     请                   金管理人将在 震 迪                     进包括        远内支 赎回款            遇证券交易 或交易

     场数据 输                  通 系统故障 银 数据交换系统故障或 它非 金管理人                                              金托管

人     能 制的因素影响业 处理流程时 赎回款                                                   个工                     在发生巨额赎

回或 金               载明的              暂停赎回或 缓支 赎回款                     的情形时 款 的支                  法参照 金

                   款处理 毓

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工银瑞信研究精选股票型证券投资                  金                                                            更    的招募说明书


        详            购和赎回 请的确认毓

                 金管理人            交易时间结       前    理      效    购和赎回          请的               购或赎回          请

     进震        远 在 常情况                   金登 机构在 震连古              内        交易的 效性              确认 震       提

交的             效 请         投资人 在 震连该            进包括        远到         网点柜 或               机构规      的

方式查询 请的确认情况 若 购                                     或无效               购款        金      给投资人 毓

                      机构        购 赎回 请的 理并                  表 请                       而仅 表           机构确 接收

到          请         购 赎回的确认           登 机构的确认结果 准                              请的确认情况 投资人

时查询并妥善 使 法 利                          否                 生的投资人任何损失 投资人自                          担 毓

        在法律法规允许的 围内                          金登 机构                据相      业 规               述业        理时间

            调整              金管理人将       开始 施前按照               规                  告 毓

                 五          购 赎回的数额限制毓

            古         购时 投资者通过              机构 笔 购              金的最          金额       古口 元 含 购             通

过               金管理人电子自 交易系统 购                       个 金 户 笔 购最 金额                        古口 元 含 购

            通过             金管理人直 中心 购 首 最                       购金额          古口口 万元人民        含 购

     在直 中心                 认/    购        旗         金    录的投资者               首       购最 金额的限制               笔

     购最 金额                 古口 元人民      含 购                     操 中             各        机构的 体规              准 毓

        投资人将 期                       的 金收益 投资时                 最          购金额的限制 毓

            该              赎回 金份额 得             古口 份           金份额           人赎回时或赎回 在               机构网

点保留的 金份额余额 足 古口 份的 在赎回时需                                       全部赎回              操 中           各       机

构的 体规                     准 毓

        通过                 金管理人电子自 交易系统赎回                        赎回份额 得               古口 份 毓

        如遇巨额赎回等情况发生而导                          期赎回时 赎回 理和款 支 的 法将参照                                金

                 巨额赎回或 续巨额赎回的 款处理 毓

            详         金管理人 在法律法规允许的情况                       调整 述规               购金额和赎回份额的数

限制                  金管理人必 在调整前依照 信息披露 法                            的        规 在指 媒               告 毓

            4          接         购 请              金份额         人利益构 潜在 大 利影响时                           金管理人

            采                    投资者 购金额 限或 金                    净        购 例 限              大额      购 暂停

金          购等措施                 保          金份额           人的 法            益        体规 请参 相             告 毓

                             购      赎回 毓

            古         购 毓

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                      金         购     置     差       率      投资者在                     之内如          多笔        购          用      率按       笔    别

     算 毓

                  金的 购 率如 表 示 毓

                                                                     金的 购 率结构毓

                                用种类毓                                                        购 率毓

                                                                销    古口口 万毓                                        古.滨还毓

                                                        古口口 万 销 详口口 万毓                                         古.口还毓
                                 购 毓
                                                        详口口 万 销 滨口口 万毓                                         口.迫还毓

                                                           滨口口 万 销毓毓                             按笔收             古迟口口口 元/笔毓

          注      销            购金额毓

                  金的 购 用                          购人      担           要用                 金的           场 广                    注 登 等各

     用                入 金                  毓

          该    赎回 毓

          赎回             用    赎回        金份额的           金份额                  人      担      在       金份额              人赎回           金份额时

收                     续          期少        详口        的投资人收 的赎回 将全额 入 金                                                             续      期

     少        详口        但少       详 个 的投资人收 的赎回 总额的 迪滨还 入 金                                                                     续      期

     少        详 个 但少             绩 个 的投资人收 的赎回 总额的 滨口还 入 金                                                                     续      期

     少        绩 个 的投资人收 的赎回 总额的 该滨还 入                                                金           古         详绩滨                 赎回 率

     赎回 金份额                      期限的增 而递                               体 率如                   毓

                                                                     金的赎回 率结构毓
                    毓                                                                 期限毓                                        赎回 率毓
                    毓                                                       同    迪      毓                                             古.滨还毓
                    毓
                                                                     迪           同     详口     毓                                      口.迪滨还毓
                赎回 率毓
                                                                     详口              同 古      毓                                      口.滨口还毓
                                                                      古           同     该     毓                                       口.详口还毓
                                                                             同    该      毓                                               口还毓

          注      同               期限 古            指 详绩滨             毓

      详       赎回 用                  入 金                的部 用 支 登                              和          必要的手续                  毓

      4               金管理人               在       金                    的     围内调整 率或收 方式                              并最                    的

率或收 方式 施 前依照                                  信息披露 法 的                            规 在指 媒                          告 毓


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工银瑞信研究精选股票型证券投资                   金                                                                 更    的招募说明书


        滨         金管理人        在            背法律法规规                  金              的情况               据        场情况制

       金促               针      金投资者 期和                   期地开展          金促 活             在     金促            活 期间

       金管理人在按中 证监 要求履 必要手续                                                金投资者            调              金 购 率

和赎回 率 毓

              七        购份数 赎回金额的 算方式毓

        古      购份额的 算方式                  购的 效份额 按                     确认的 购金额在扣除 购 用

         请            金份额净值           准 算 各 算结果均按照四舍五入方法 保留小数点

         误差 生的损失              金                担       生的收益             金                  毓

               金的 购金额包括 购                     用和净 购金额                 中 毓

         净     购金额称 购金额/ 古                     购 率 毓

              购 用毓称 购金额-净 购金额毓

             购份数称净 购金额/震                 金份额净值毓

         例 某投资者投资 滨 万元 购                           金的 金份额 假                  购             金份额净值           古.口滨口

元             得到的 购份额                毓

         净        购金额 滨口迟口口口/     古 古.滨还          49迟该绩古.口迫 元毓

              购 用 滨口迟口口口 49迟该绩古.口迫 迪详迫.9该 元毓

              购份额 49迟该绩古.口迫/古.口滨口          4绩迟9古滨.详古 份毓

         即        投资者投资 滨毓 万元 购                   金的 金份额 假                   购             金份额净值           古.口滨口

元                  得到 4绩迟9古滨.详古 份 金份额 毓

        该    赎回金额的        算方式 赎回金额 按                        确认的 效赎回份额乘                            请        金份

额净值的金额 净赎回金额                    赎回金额扣除赎回 用的金额 各 算结果均按照四舍五入方

法 保留小数点                             误差 生的损失                 金               担    生的收益                  金               毓

               金的净赎回金额 赎回金额扣 赎回 用                                    中 毓

        赎回金额 赎回份数贸震毓                       金份额净值毓

        赎回 用 赎回金额贸赎回                        率毓

        净赎回金额称赎回金额 赎回                      用毓

        例 某投资者赎回                   金 古 万份 金份额                    时间                个                    的赎回    率

口还     假 赎回               金份额净值是 古.该滨口 元                       得到的赎回金额                  毓

        赎回金额 古口迟口口口贸古.该滨口称古该迟滨口口.口口 元毓

        赎回 用 古该迟滨口口贸口还称口毓元毓

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工银瑞信研究精选股票型证券投资                 金                                                                    更    的招募说明书


      净赎回金额 古该迟滨口口-口称古该迟滨口口.口口 元毓

      即       投资者赎回            金 古毓 万份 金份额                          期限              个          假 赎回               金

份额净值是 古.该滨口 元                     得到的赎回金额               古该迟滨口口.口口 元 毓

      详       金份额净值 算毓

             金份额净值的           算    式         算       金资       净值除             算       金份额余额              得的

     金份额的 值 毓

      震毓         金份额净值 震毓              金资 净值/震毓                金份额余额 毓

             金份额净值              元         算结果保留在小数点                              小数点 第四 四舍五入

      生的误差在 金                  中     支 毓

      震      的 金份额净值在                   收           算 并在                     告 遇特殊情况                    中 证监

意                              算或 告 毓

                          或暂停 购的情形毓

      发生              情况时       金管理人                或暂停接 投资人的 购 请 毓

      古      因           力导          金无法      常           毓

      该      发生 金              规 的暂停          金资            值情况时            金管理人         暂停接           投资人的

购    请 毓

      详      证券 期           交易 交易时间非 常停                         导      金管理人无法               算           金资 净

值 毓

      4            金管理人认 接           某笔或某              购     请 能 影响或损害                         金份额              人利

益时 毓

      滨           金资 规模过大           使 金管理人无法 到                        的投资品种            或               能       金业

      生负面影响                而损害               金份额            人利益的情形 毓

      绩           金管理人         金托管人               机构或登 机构的                      术保障等        常情况导             金

     系统或 金注 登 系统或 金                             系统无法 常                      毓

      迪           前      值       金资 净值 滨口还                  的资           无         参考的活跃 场              格 采用

值    术 导               允 值 在          大 确 性时                            金托管人 商确认                         金管理人

采    暂停接              金 购 请的措施 毓

      迫      接        某笔或某         购 请            能导               投资者               金份额的 例               到或者超过

滨口还 或者 相规避 滨口还 中                   的情形时 毓

      9       某笔或某             购 请超过          金管理人               的      净         购 例      限               投资者

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工银瑞信研究精选股票型证券投资                 金                                                       更    的招募说明书


或     笔 购金额 限的 毓

       古口     法律法规规 或中 证监 认 的                            情形 毓

       发生 述第 古 该 详 滨 绩                     迪 古口    暂停 购情形之                 金管理人          暂停接 投

资人的 购 请时                      金管理人             据      规 在指 媒                刊登暂停 购         告 如果投

资人的 购 请被全部或部                              的 被        的 购款 将                给投资人 在暂停 购的情

况     除时           金管理人           时恢复 购业 的 理 毓

       九 暂停赎回或 缓支 赎回款 的情形毓

  发生              情形时           金管理人 暂停接 投资人的赎回 请或 缓支 赎回款                                  毓

  古    因             力导           金管理人 能支 赎回款                   毓

  该    发生         金        规     的暂停     金资          值情况时           金管理人    暂停接         投资人的赎回

     请或 缓支 赎回款                    毓

  详 证券 期 交易 交易时间非 常停                                导       金管理人无法 算                    金资 净值 毓

  4            续 个或 个               开       发生巨额赎回 毓

  滨           前         值        金资 净值 滨口还           的资          无        参考的活跃 场     格 采用           值

     术 导            允 值 在 大 确 性时                               金托管人 商确认                金管理人            采

       缓支 赎回款 或暂停接                         金赎回 请的措施 毓

  绩    法律法规规 或中 证监                     认 的          情形 毓

  发生 述情形时                     金管理人 在                中 证监 备案                确认的赎回 请            金管理

人     足额支             如暂时 能足额支                     将 支 部       按 个 户 请                     请总 的 例

       给赎回 请人                  支 部             期支       若           述第 4         述情形 按         金        的相

       款处理              金份额        人在 请赎回时                  选        将       能 获   理部              撤

在暂停赎回的情况 除时                         金管理人          时恢复赎回业 的 理并 告 毓

       十 巨额赎回的情形 处理方式毓

  古    巨额赎回的认 毓

       若            金 个开           内的 金份额净赎回 请进赎回 请份额总数                                 金转换中转

     请份额总数            扣除      购 请份额总数              金转换中转入 请份额总数            的余额远超过前

开            的 金总份额的 古口还            即认 是发生了巨额赎回 毓

       该      巨额赎回的处理方式毓

                金         巨额赎回时          金管理人               据 金 时的资               状况          全额赎回或

部            期赎回 毓

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工银瑞信研究精选股票型证券投资                   金                                                          更    的招募说明书


           古     全额赎回             金管理人认             能力支 投资人的全部赎回                   请时           按 常赎回

程序执            毓

           该     部        期赎回               金管理人认       支 投资人的赎回 请               困难或认 因支 投

资人的赎回 请而                   的                   能          金资 净值            较大波 时                 金管理人在

     接 赎回 例                           开           金总份额的 古口还的前提                     余赎回 请 期 理

                 的赎回 请             按 个 户赎回 请                       赎回 请总 的 例 确                                理的

赎回份额                    能赎回部             投资人在提交赎回 请时                  选        期赎回或               赎回 选

          期赎回的      将自      转入            个开        继续赎回 直到全部赎回                         选            赎回的

               获 理的部 赎回 请将被撤                         期的赎回         请           开        赎回 请            并处理

无               并         开       的        金份额净值          础 算赎回金额                  类         直到全部赎回

          如投资人在提交赎回 请时                        明确选        投资人        能赎回部          自          期赎回处理

部         期赎回             笔赎回最 份额的限制 毓

           详     若        金发生巨额赎回                个 金份额            人的赎回 请超过                    开               金总

份额的 古口还           金管理人                             个 金份额           人超        古口还的赎回 请 施 期

理        而           个 金份额               人 古口还 内    含 古口还 的赎回 请                      金份额                人的赎

回        请      金管理人             据        金 时的资              状况或巨额赎回份额                   情况             全额赎

回或部            期赎回               期的赎回 请                     开      赎回 请 并处理 无                              并

     开          的 类 金份额净值                     础 算赎回金额              类          直到全部赎回                          体

相         告 毓

           4 暂停赎回              续 该 个开                  进含 数远发生巨额赎回 如 金管理人认                                  必

要         暂停接           金的赎回        请            接 的赎回 请                  缓支 赎回款                但 得超过

该口 个工              并        在指 媒                      告 毓

      详        巨额赎回的 告毓

           发生 述 期赎回并 期                        理时     金管理人          通过邮寄          真或者招募说明书规

     的          方式在 详 个交易 内通知 金份额                        人 说明          处理方法 并在 该                 内在指

媒         刊登 告 毓

           十          暂停 购或赎回的                告和     开           购或赎回的 告毓

      古        发生 述暂停 购或赎回情况的                        金管理人 在规          期限内在指 媒                        刊登暂

停        告 毓

      该        如发生暂停的时间            古            金管理人               开           在指 媒                  刊登        金

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工银瑞信研究精选股票型证券投资                金                                                                更    的招募说明书


     开         购或赎回 告 并                最         古 个开         的 金份额净值 毓

      详 如果发生暂停的时间超过                          但少           周 暂停结               金        开         购或赎回时

     金管理人将提前 个工                      在指 媒               刊登 金               开         购或赎回的           告 并在

     开         购或赎回        告最          个开             的 金份额净值 毓

      4     如果发生暂停的时间超过                      周      金管理人最                      开        在 少        家指     媒

     刊登        开        购或赎回的 告 毓

      十           金转换毓

            金管理人              据相       法律法规                   金         的规          开            金          金管理人

管理的                 金之间的转换业                   金转换           收           的转换          相 规                金管理人

届时        据相       法律法规         金         的规        制 并 告             并提前告知 金托管人                   相 机构 毓

      十           金的非交易过户毓

           金的非交易过户是指 金登 机构 理继                                   捐 和       法强制执 等情形而 生的非

交易过户               登 机构认         符 法律法规的 它非交易过户 无论在 述何种情况                                            接

          转的 体必 是依法                                   金 金份额的投资人 毓

      继        是指 金份额             人死亡                  的 金份额                      法的继 人继            捐      指 金

份额            人将       法      的     金份额捐 给福利性 的 金 或社 团体                                          法强制执 是

指        法机构依据生效 法文书将 金份额                            人             的 金份额强制 转给                     自然人 法

人或                      理非交易过户必 提供 金登 机构要求提供的相 资料                                                   符

的非交易过户 请按 金登                    机构的规                 理         金      机构           按照规 的标准收                 毓

      进十四远 金的转托管毓

           金份额          人      理                   金份额在                    机构之间的转托管                 金       机构

     按照规 的标准收 转托管                        毓

           十五         期 额投资             毓

           金管理人             投资人 理 期 额投资                                   体规             金管理人另 规              投

资人在 理 期 额投资                       时 自                     期扣款金额             期扣款金额必                         金管

理人在相               告或更 的招募说明书中 规 的 期                               额投资           最        购金额 毓

           十           金的冻结 解冻                   押毓

           金登 机构只 理 家                       机 依法要求的 金份额的冻结 解冻                                     登 机构认

          符 法律法规的            情况 的冻结 解冻 毓

      如相 法律法规允许 金管理人 理 金份额的 押业 或                                                      金业             金管理人

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工银瑞信研究精选股票型证券投资         金                                                   更     的招募说明书


将制 和 施相 的业 规                    毓


                                               九      金的投资毓

                 投资目标毓

      通过 续 系统 深入 全面的                       面研究 挖掘         长期发展潜力和 值 势的

                    金资 的长期稳 增值 毓

                 投资理念毓

      研究              值 研究       投资的         理念        利用        研究团队的研究 果 自 而

     精选个股                 的资      置                    金资    的长期稳健增长 毓

                 投资 围毓

               金的投资 围            良好流 性的金融工              包括 内依法发                的股票 包括

     业     股票    中小 股票                  中    证监       准      的股票      债券    债券回购 资

支        证券 银        款 股指期            证等金融 生工              法律法规或中 证监           允许 金

投资的           金融工       毓

      如法律法规或监管机构              允许 金投资            品种         金管理人在履            程序

     将 纳入投资 围 毓

            金的投资          例      股票投资         金资 的 例           迫口还-9滨还 任何交易           在扣

除股指期                需缴纳的交易保证金            金或者到期       在         内的 府债券                    金

资        净值的 滨还     中 金 包括结算备 金                   保证金和 收 购款等 毓

      如果法律法规或中 证监                  更投资品种的投资 例限制              金管理人在履              程序

               调整 述投资品种的投资 例 毓

            四 投资策略毓

               金       发挥 金管理人的研究 势 将科学 系统 规 的 业研究 选股方法

     极        的投资风格相结        采用自 而 精选个股策略                  时辅 自 而 资                置和

业        置策略 在 效 制风险的前提                           金资    的长期稳 增值 毓

      古     股票选 策略毓

      采用          面 析和深入调查研究相结 的研究方法                   自 而 的方式精选 竞                     势

          力模型        品力 品牌力          道力     析             的 心竞 力 并辅                 角          析

               历 的盈利能力 盈利              和 金流状况 筛选                续的竞       势 强 的 长

潜               的 营管理能力          时          理 值的                 构建投资         毓

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工银瑞信研究精选股票型证券投资                       金                                                          更    的招募说明书


            古        心竞 力毓

                 金               心竞 力的考察 要 析                              的 品特性 品牌 势                        道和

网     的 复制性 资源 势                                  术          能力和竞          境等因素 毓

     古远        品特性毓

            析            品                 品                   品               品          品 目标 户吸引能力综

析     判断               品特性 毓

     该远品牌 势毓毓

            析         是否在 属的 业                           拥 较高的 场份额 是否 良好的 场知                               和良好

的品牌效               是否处             业龙头地                    毓

     详远          和营 网 的 复制性毓毓

            析         在               道      营        网     等方面是否             竞    手在中长期时间内难                模仿的

显著 势 毓

     4远资源 势毓毓

            析         是否拥 独特 势的资源 是否在某 领域拥 独 性的 势 毓

     滨远        术       能力毓毓

            析         的 品自                    情况            要 品更 周期                      术和 利           引        术的吸

收和改 能力 毓

     绩远竞            境毓毓

            析            在 业的内部竞                        格局                能力        规模 济                品的威胁和潜

在竞             手 入 业的壁垒等因素 毓

            该 盈利能力和盈利                        毓

     古远盈利能力毓毓

     结                   处          业的特点和发展 势                           背               结构   资               业    增长

利润水                金流特 等方面考察                           的盈利能力             注           业领       势 资              良

好     盈利能力较强的                                     毓

     该远盈利             毓毓

                 金 仅           注       的盈利能力                       时也 注        盈利的          包括         盈利的构

盈利的 要来源 盈利的                              续性和 预测性                         的盈利模式和扩张方式等方面毓

            详          治理水 和管理层                        析毓

     古远          治理水              析毓毓

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工银瑞信研究精选股票型证券投资                     金                                                                  更    的招募说明书


      清                    理的         治理是             断良性发展的                础          金 要         股 结构的             理性

     股股东的背 和利益 董                              构        信息披露的              和 时性 激 机制的                       效性     联

交易的 允性                         的管理层和股东的利益是否 调和 衡等方面                                             治理水                 综

     评           毓

      该远             管理层 析毓毓

                   管理层的素 和能力是                                能否良性发展             断          领         势的 键因素

          管理团队                 评           要考察 过 业                 诚信        录     营战略规 和商业                     执 能

力等 毓

             4                     状况评 毓

      在               业          深入 析的 础                                    的               状况         评         结           面

析                指标 析和                  模型 析             据                的        情况      筛选 剔除                    常和

营        够稳健的股票 构建                       投资股票             毓

             滨         值评 毓

                                   来业 发展的预测 采用 金流                             模型等方法评                  股票的 理内在

     值           时结 股票的 场                  格 挖掘                   续增长能力或者 值被                     的            选 最

     投资吸引力的股票构建投资                               毓

      该               业 析            置毓

                   金将 据各 业 处生命周期                             业竞 结构 发展 势等数方面因素 各                                  业的

相        盈利能力 投资吸引力                          评        并 据 业综 评 结果确 股票资 中各 业的

      毓

             个 业的 入壁垒 原 料供 方的谈判能力 制                                            品买方的谈判能力                   品的

     性            业内            竞 程 等因素                         了 业的竞 结构 并                          业的长期盈利能力

     投资吸引力 另 方面 任何 个 业演 大 要                                               过发育期           长期            熟期 衰 期

等阶段                       业在          的     业生命周期阶段                         的 济 气                                   的盈利

能力               场表                 金        那             较强盈利能力            投资吸引力 在 业生命周期中处

     长期或 熟期                    预期 期 济 气                      利          业发展的 业 给 较高的                            而

那        盈利能力 投资吸引力                     般 在 业生命周期中处 发育期或衰 期 或者 前 济

气        利           业发展的 业                给 较 的                    毓

      详          类别资           置策略毓

      在资                  置中               金 要考虑宏              济指标 包括 范销I 水                    诺廷范毓 增长率 销该 增长

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率        势 范范I 延范I 利率水                  势 宏         济 策等 来判断 济周期目前的 置

          来将发展的方向 毓

     在     济周期各阶段 综              跟踪的宏        济指标和       场指标的 析              金     大类资

            置的策略     在 济的复 和繁荣期超 股票资                    在 济的衰 和 策                激阶段

超     债券等固 收益类资           力 通过资            置获得部 超额收益 毓

     4       证投资策略毓

            金将因                   股        置改革 或增发            等原因被 获得 证 或者

金在          利交易 避险交易等情形 将                  投资 证             金          证投资时 将在

证标的证券              面研究       值的 础            结        含波 率 剩余期限 标的证券 格走

势等参数        用数     期         模型 确              理内在 值           而构建 利交易或避险交易

          力求 得最 的风险调整收益 毓

     滨    股指期 投资策略毓

            金 提高投资效率更好地 到                金的投资目标 在风险                 的前提          着谨慎

原        参 股指期 投资            金将 据              和期        场的 析 发挥股指期                杆效

和流 性好的特点 采用股指期 在短期内                       部           获        场敞      投资策略包括多

头     期保值和空头 期保值 多头 期保值指                     金需要买入          时      避免    场           提

前建立股指期 多头头             然 逐 买入              并解除股指期 多头                        建      将股

指期            空头 期保值指            金需要              时      建立股指期 空头头                然 逐

            并解除股指期 空头                  全部清        将股指期                    金在股指期           期

保值过程中 将 期测算投资                      股指期 的相 性 投资                 夕刘货且 的稳 性 精

确     投资方案 毓

     绩    债券投资策略毓

            金通过全面研究 诺廷范 物      水      就业               收支等 要 济                     析宏

济        的 能情      并预测            策          策等宏          济 策 向            析金融 场资金供

求状况             势 结构 在      格 制风险的前提             综     析 场利率和信用利差的

势 采 利率策略 信用策略 久期调整 收益率曲线 置和券种 置等 极投资策略 把

握债券 场投资机               获   稳健的投资收益 毓

          五 投资管理程序毓

          管理人        投资 策 员 领导 的团队制 管理模式 建立了 谨 科学的投资

管理流程        体包括投资研究 投资 策                   构建 交易执 和风险管理                  效评 等全

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     过程 如        古     示 毓

                古 投资管理流程毓




                                                                                                                 风
                                                                                                                 险                 投
                     投资研究                                                                                                       资
股                                                       投                组                 交                 分
票                                                       资                合                 易                 析                 组
池                                                                                                               绩                 合
                    内部投资指引                         决                构                 执                                    再
债                                                       策                建                 行                 效
                    法律合规约束                                                                                                    平
     \




券                                                                                                               评
                         基金合同                                                                                估                 衡

                    风险指标约束
                    风险优化模型




                                                                                                                                         毓
           古    投资研究毓

           研究员独立开展研究工                    在借鉴 部研究 果的 础                           开展宏    济          策        析

     债券 场 析              业                     析           点 析 业的 气 和各类资 的相                             值        投

     资    策 员           各 金 理提供独立 统 的投资 策支                                          毓

           该    投资 策毓

           投资     策 员         是 金投资的最高 策机构                               金总体投资策略 资                 置方案

                金 理提交的投资                提供指导性意               并                         金投资管理的 大 题 毓

                金 理在           总体投资策略的指导                      据 金               投资目标 投资 围 投资

     限制等规            制 相 的投资                          投资 策 员             批 毓

           详    投资       构建毓

                金 理 据投资 策 员                  的              利用投资管理系统 选 证券构建 金投资

     并    据 场           调整 金投资                           投资           的   常管理 毓

           4     交易执 毓

           交易员负 在 法 规的前提                             执     金 理的投资指                 并 施 线风险监                  毓

           滨    风险 析            效评 毓

           风险管理部 投资               的风险水                   金的投资 效            评            风险管理 员               抄

          投资 策 员              投资总监          金 理 并就 金的投资                            提 风险管理建              毓

                金管理人          金的投资                       规性监          并 投资过程中 在的风险 患向 金

          理 投资总监 投资 策                 员              风险管理 员             风险提示 毓

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工银瑞信研究精选股票型证券投资                金                                                     更      的招募说明书


    绩        投资                衡毓

         金 理 据风险管理                      效评 结果 结 宏              济 债券 场               业 析结果 最

  的           研究 在风险                目标         投资            调整                      衡 毓

                业          较 准毓

               金的业         较 准            迫滨还贸中证 迫口口 指数收益率连古滨还贸中债综 指数收益率 毓

    中证 迫口口毓          份股是 中证 滨口口 和沪深 详口口          份股 起构            中证 迫口口 指数综                  沪

深证券 场内大中小 值                        的整体状况 较好地            了 致 股 场的总体 势 毓

               金是 全 场 围内精选股票投资的股票型证券投资 金 股票投资                                              金资 的

  例      迫口还-9滨还            金 中证 迫口口 指数和中债综 指数收益率赋                    迫滨还和 古滨还的          符

       金的投资特性 毓

    如果             法律法规发生                  或者 更 威的 更能              场 遍接 的业                      较   准

                金托管人 商                         金 在 中 证监 备案                    更业       较        准并 时

告 毓

         七 风险收益特 毓

               金是股票型 金 属 证券投资 金中的较高预期风险和较高预期收益品种                                                 预

期风险 预期收益水 高 混 型 金 债券型 金                                            场 金 毓

                投资禁                    限制毓

    古        禁 用          金                        毓

         维          金份额              人的 法 益           金       得用              投资或者活            毓

         古           证券 毓

         该           规 向 人 款或者提供担保 毓

         详                担无限 任的投资 毓

         4 买                     金份额 但是中 证监 另 规 的除                          毓

         滨 向 金管理人                    金托管人 资 毓

         绩           内幕交易 操纵证券交易 格                                  的证券交易活            毓

         迪 法律                  法规和中 证监 规 禁 的                   活       毓

    该         金投资               例限制毓

         金管理人 用 金                            证券投资          金的投资遵               限制 毓

         古           金          的股票投资         金资 的 例          迫口还-9滨还 毓

         该          个交易              在扣除股指期              需缴纳的交易保证金                     保

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金资 净值 滨%的 金或者到期 在                                  内的 府债券            中 金 包括结算备 金

     保证金和 收 购款等 毓

           详            金           家               的股票           值 超过        金资 净值的 古口% 毓

           4             金管理人管理的全部              金           家     发 的证券                  超过 证券的 古口% 毓

           滨            金          的全部 证                值 得超过 金资           净值的 详% 毓

           绩            金管理人管理的全部 金                   的          证        得超过             证的 古口% 毓

           迪            金在任何交易             买入       证的总金额       得超过           交易           金资       净值的

口.滨% 毓

           迫            金投资              原始      益人的各类资 支 证券的 例                          得超过 金资 净

值的 古口% 毓

           9             金          的全部资 支 证券                   值 得超过 金资 净值的 该口% 毓

           古口          金          的      进指        信用 别远资 支 证券的 例                         得超过 资          支

证券规模的 古口% 毓

           古古          金管理人管理的全部 金投资                         原始    益人的各类资 支 证券                           得

超过 各类资 支 证券                             规模的 古口% 毓

           古该              金 投资 信用             别评       BBB       进含 BBB远的资 支 证券                      金         资

     支 证券期间 如果 信用等                           降         符 投资标准            在评             告发    之 起详个

     内           全部          毓

           古详         金      参 股票发              购         金         的金额 超过                  金的总资

金                的股票数           超过拟发 股票                     发 股票的总            毓

           古4           金 入全 银 间                 业 场          债券回购的资金余额 得超过 金资                             净值

的 4口还                金 入全 银 间 业 场                       债券回购的最长期限               古       债券回购到期

     得展期 毓

           古滨 在任何交易                            的买入股指期                值        得超过 金资 净值的 古口还

在任何交易                             的买入期                 值         证券 值之和                  得超过        金资 净值

的 9滨还           中          证券指股票 债券                 含到期 在               内的 府债券                    证 资 支

     证券 买入返 金融资                          含 押式回购 等 在任何交易                                       的         期

          值 得超过 金                    的股票总 值的 该口还 在任何交易 内交易                          包括              的股指

期                的 交金额 得超过                    个交易         金资 净值的 该口还            金            的股票 值和

买入               股指期                  值            轧差 算             符        金                 股票投资 例的

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工银瑞信研究精选股票型证券投资                               金                                                           更   的招募说明书


     规          毓

            古绩                  金           投资 流             性 限资 的 值 得超过                           金资 净值的 古滨还 因证

券        场波                                 股票停牌                 金规模          等 金管理人之 的因素 使                 金 符 前

述        规           例限制的                  金管理人 得                        增流 性 限资 的投资 毓毓

            古迪                  金管理人管理的全部开 式                            金进包括开 式          金       处 开      期的        期开

          金远                  家                     发   的 流通股票                   得超过                     流通股票的 古滨还

     金管理人管理的全部投资                                               家                 发   的 流通股票          得超过

     流通股票的 详口还                         全按照              指数的构             例        证券投资的开 式 金              中 证监

     认 的特殊投资                                          前述 例限制 毓

            古迫                金             募类证券资管 品 中 证监 认 的                                       体 交易 手开展逆回

购交易的                     接           押品的资 要求                             金              的投资 围保                 毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓毓

            古9 法律法规 中 证监                                   规 的和               金                的       投资限制 毓

       除第             该         古该         古绩        古迫         规             因证券 期           场波                       并

金规模                       股           置改革中支                     等 金管理人之              的因素 使 金投资 例 符

述规 投资 例的                                 金管理人                 在 古口 个交易 内                调整 法律法规或监管部门另

规        的                 规           毓

            金管理人                      自 金               生效之 起 绩 个 内使 金的投资                              例符         金

的                                金托管人                  金的投资的监督 检查自 金                            生效之 起开始 毓

       如果法律法规或监管部门                                       述投资               例限制            更的         更     的规          准

法律法规或监管部门                                     述限制 如 用                          金            金投资         相    限制 但

提前 告                      需要 过 金份额                             人大                 毓

            九               金管理人 表 金                        使相            利的处理原            方法毓

       古             利           金资 的 全 增值 毓

       该             金管理人按照 家                              规         表    金独立        使相      利 保        金份额             人的

利益 毓

       详                  求                      的 股                 参        投资              的 营管理 毓毓

       4              通过 联交易 自身                                  员 授           理人或任何        在利害     系的第     人牟        任何

          利益 毓

            十               金的融资融券毓

                   金                  据届时 效的                      法律法规和 策的规                       融资融券 毓

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               十            金的投资              告毓

                    告期自 该口古9     古     古    起           详     详古                    数据                         毓

 古.古         告期          金资            情况毓毓


     序 毓                            目毓                                                 金额 元 毓                                金总资 的 例 还 毓

        古毓         益投资毓                                                                  滨古迟迪口该迟9滨口.滨古毓                                9古.滨滨毓
         毓          中 股票毓毓                                                               滨古迟迪口该迟9滨口.滨古毓                                9古.滨滨毓
        该毓         金投资毓                                                                                        -毓                                         -毓
        详毓    固      收益投资毓毓                                                                                 -毓                                         -毓
         毓          中 债券毓毓毓                                                                                   -毓                                         -毓
         毓     资      支 证券毓毓毓                                                                                -毓                                         -毓
        4毓     贵金属投资毓                                                                                         -毓                                         -毓
        滨毓    金融 生品投资毓                                                                                      -毓                                         -毓
        绩毓    买入返 金融资 毓毓                                                                                   -毓                                         -毓
                  中 买断式回购的买入返
         毓                                                                                                          -毓                                         -毓
                金融资 毓毓毓
        迪毓    银         款和结算备 金                  毓毓                                  4迟迪古口迟口绩迪.迪绩毓                                   迫.详4毓
        迫毓            资 毓毓毓                                                                     滨9迟迪4迫.4滨毓                                     口.古古毓
        9毓             毓毓毓毓毓                                                             滨绩迟4迪该迟迪绩绩.迪该毓毓毓                           古口口.口口毓
注              四舍五入的原因金额                  金总资 的 例                             之和               能           差      毓毓


古.该          告期 按 业 类的股票投资                                毓毓

古.该.古        告期 按 业 类的境内股票投资                                       毓毓毓

         码毓                         业类别毓                                                允 值 元 毓                                   金资 净值 例进还远毓

        致毓            林 牧 渔业毓                                                                       4迫迟详该绩.4绩毓                               口.口9毓
        B毓     采矿业毓                                                                                                    -毓                                  -毓
        延毓    制      业毓                                                                        该迫迟该绩该迟9古绩.详滨毓                           滨口.该绩毓
        廷毓    电力 热力 燃气 水生 和供 业毓                                                                               -毓                                  -毓
        闸毓    建筑业毓                                                                                                    -毓                                  -毓
        闹毓    批发和零 业毓                                                                                               -毓                                  -毓
        诺毓    交通 输              储和邮 业毓                                                                            -毓                                  -毓
        读毓            和餐饮业毓                                                                                          -毓                                  -毓
        I毓     信息 输 软 和信息 术服 业毓                                                           9迟绩滨详迟该4绩.该口毓                            古迪.古迪毓
        国毓    金融业毓                                                                            古该迟详详滨迟滨4古.古古毓                           该古.94毓
        曾毓         地 业毓                                                                             绩滨该迟古9该.口口毓                              古.古绩毓
        替毓    租赁和商 服 业毓                                                                                            -毓                                  -毓
        销毓    科学研究和 术服 业毓                                                                     古详详迟滨迫口.详9毓                              口.该4毓


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        锁毓    水利            境和                施管理业毓                                                     -毓                              -毓
        适毓    居民服                 修理和         服 业毓                                                      -毓                              -毓
        范毓    教育毓                                                                                             -毓                              -毓
        弄毓    卫生和社 工 毓                                                                                     -毓                              -毓
        R毓     文            体育和娱乐业毓                                                       绩古迪迟古4迫.口口毓                        古.古口毓
        霆毓    综 毓                                                                                              -毓                              -毓
         毓              毓                                                                  滨古迟迪口该迟9滨口.滨古毓                       9古.94毓

注             四舍五入的原因 允 值                           金资 净值的          例            之和               能          差 毓

古.该.该       告期 按 业 类的港股通投资股票投资                                    毓

         无     毓毓毓


古.详          告期 按 允 值                        金资 净值 例大小排序的前十 股票投资明 毓毓

                                                                                                                                        金资 净值
     序 毓         股票 码毓                    股票          毓    数          股 毓                允 值 元 毓
                                                                                                                                        例 % 毓
        古毓          绩口口口详口毓      中信证券毓                          古该该迟迪口口毓          详迟口4口迟滨口绩.口口毓               滨.4古毓
        该毓          口口口迫9滨毓            汇发展毓                        9绩迟迪口口毓            该迟499迟绩9滨.口口毓                  4.4滨毓
        详毓          口口该古4该毓       宁波银 毓                            迫迪迟滨口口毓           古迟迫滨迫迟滨口口.口口毓              详.详口毓
        4毓           绩口口滨迪口毓      恒生电子毓                           该口迟迪该口毓           古迟迫古4迟该4详.该口毓                详.该详毓
        滨毓          口口该详迪古毓           方        毓                    该详迟9详4毓             古迟绩迫迪迟古口迪.绩绩毓              详.口口毓
        绩毓          口口该该详口毓      科大 飞毓                            44迟4口口毓              古迟绩古古迟该迪绩.口口毓              该.迫迪毓
        迪毓          详口口口滨9毓       东方 富毓                            迪绩迟迫口口毓           古迟4迫迫迟详迫4.口口毓                该.绩滨毓
        迫毓          绩口详9迫绩毓            易        毓                    古4迟口口口毓            古迟4该该迟该绩口.口口毓               该.滨详毓
        9毓           绩口口详迪该毓      中航电子毓                           迫详迟古口口毓           古迟详迫古迟古该该.口口毓              该.4绩毓
      古口毓          绩口口滨迫迫毓      用        网 毓                      4口迟绩口口毓            古迟详迪绩迟详4口.口口毓               该.4滨毓


 古.4          告期 按债券品种 类的债券投资                          毓毓毓

                 金           告期                  债券 毓毓


 古.滨         告期 按 允 值                        金资 净值 例大小排序的前五 债券投资明 毓

                 金           告期                  债券 毓毓毓毓


 古.绩         告期 按 允 值                        金资 净值 例大小排序的前十 资 支 证券投资明 毓毓

                 金           告期                  资     支 证券 毓


 古.迪         告期 按 允 值                        金资 净值 例大小排序的前五 贵金属投资明 毓

                 金           告期                  贵金属 毓毓


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古.迫        告期 按 允 值                   金资 净值 例大小排序的前五                证投资明 毓

                  金       告期                   证 毓毓


古.9         告期            金投资的股指期 交易情况说明毓

古.9.古          告期          金投资的股指期                     和损益明 毓

                  金       告期              股指期 投资 也无期间损益 毓毓毓

古.9.该            金投资股指期 的投资 策毓

                  告期内            金       用股指期               投资 毓


古.古口          告期         金投资的 债期 交易情况说明毓

古.古口.古         期 债期 投资 策毓

                  告期内            金       用       债期          投资 毓

古.古口.该         告期            金投资的 债期                   和损益明 毓

                  金       告期                   债期 投资 也无期间损益 毓

古.古口.详         期 债期 投资评 毓

                  告期内            金       用       债期          投资 毓


古.古古 投资               告 注毓

古.古古.古             金投资的前十 证券的发                      体 期 到调查      处罚的情况的说明毓

        宁波银 毓

                  告期         金          宁波银             发        体因将 业 款          般性 款 个人

款资金 规流入                  或购买理 等 规                       被银保监 宁波监管局处 罚款 毓

             述情形                   的          和 营状况无 大影响 投资 策流程符                    金管理人的

制      要求 毓

古.古古.该         金投资的前十 股票超                  金         规 的备选股票 情况的说明毓

                  金投资的前十 股票 超                       金     规 的备选股票      毓

古.古古.详             资 构 毓

     序 毓                                  毓                                              金额 元 毓

          古毓            保证金毓                                                                                   详9迟滨迫古.绩详毓
          该毓          收证券清算款毓                                                                                             -毓
          详毓          收股利毓                                                                                                   -毓


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       4毓                收利息毓                                                                                                                              古迟口绩9.详详毓
       滨毓               收 购款毓                                                                                                                            古9迟口9迪.49毓
       绩毓                          收款毓                                                                                                                                 -毓
       迪毓               摊 用毓                                                                                                                                           -毓
       迫毓                    毓                                                                                                                                           -毓
       9毓                     毓                                                                                                                              滨9迟迪4迫.4滨毓
古.古古.4           告期                  的处 转股期的 转换债券明 毓

                  金            告期                处        转股期的 转换债券 毓毓

古.古古.滨          告期 前十 股票中 在流通 限情况的说明毓

       无 毓

古.古古.绩 投资                          告 注的            文           述部 毓

       无         毓毓


                                                              十                金的业 毓

               金管理人                       恪 职           诚 信用 勤勉                         的原     管理和 用 金                         但 保

证     金                盈利 也 向投资者保证最 收益                                     金的过 业 并                      表           来表          投资

     风险 投资者在                         投资     策前                   阅             金的招募说明书 毓

          古              金             生效       该口古4         古口       该详          金           生效 来 截                该口古9      详     详古

       的投资业                           期 准的 较如 表 示 毓
                                                                                                            业
                                                                                          业        较
                                                净值增长                 净值增长                           较 准
                     阶段毓                                                                    准收益                                - 毓             - 毓
                                                  率毓                   率标准差毓                         收益率
                                                                                               率毓
                                                                                                            标准差毓
               该口古4.古口.该详-
                                                  古该.9口还毓             古.4绩还毓       该9.迪该还毓     古.详该还毓        -古绩.迫该还毓   口.古4还毓
               该口古4.古该.详古毓
                  该口古滨          毓            详9.详详还毓             详.口古还毓      古滨.口古还毓    该.古该还毓        该4.详该还毓     口.迫9还毓
                  该口古绩          毓          -古9.口古还毓              古.迫4还毓      -古口.迫详还毓    古.该9还毓         -迫.古迫还毓     口.滨滨还毓
                  该口古迪          毓            古该.4口还毓             口.迫4还毓       古该.迫绩还毓    口.滨滨还毓        -口.4绩还毓      口.该9还毓
                  该口古迫          毓          -该滨.该古还毓             古.详9还毓      -该该.绩迫还毓    古.古4还毓         -该.滨详还毓     口.该滨还毓
     该口古9.古.古-该口古9.详.详古毓              该9.4古还毓              古.绩迫还毓      该滨.口迫还毓    古.详古还毓         4.详详还毓      口.详迪还毓
     自        金            生效 起
                                                  详迫.绩口还毓            古.9古还毓       4滨.该详还毓     古.详9还毓         -绩.绩详还毓     口.滨该还毓
                             毓
该              金           生效 来 金累 净值增长率                                     期业         较 准收益率                     的       较 毓
                                                  该口古4         古口      该详         该口古9     详     详古       毓




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                                                                                                        毓
    注     古        金 金        该口古4 古口 该详 生效 毓

    该      据 金       规          金建 期 绩个         截         告期          金的投资符

    金           投资 围 投资限制的规            股票投资           金资 的 例 迫口还-9滨还    任何

    交易         在扣除股指期            需缴纳的交易保证金                金或者到期 在        内

    的     府债券            金资 净值的滨还     中 金 包括结算备 金                    保证金和

    收     购款等 毓


                                    十          金的           毓

                金资 总值毓

         金资 总值是指 金拥 的各类             证券 银        款     息和 金 收款                  资

  的 值总和 毓

                金资 净值毓

           金的 金资 净值是指          金资 总值 去 金负债 的 值 毓

                金     的 户毓



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           金托管人 据相 法律法规 规 性文                                              金开立资金 户 证券 户 期

户         投资 需的                      用        户 开立的 金 用 户                       金管理人            金托管人         金

     机构和 金登 机构自 的                                   户                 金           户相独立 毓

           四         金          的保管和处 毓

                 金        独立           金管理人             金托管人和 金                 机构的              并        金托管人保

管         金管理人              金托管人                  金登 机构和 金               机构         自 的                 担 自身的

法律 任               债 人 得                        金          使请求冻结 扣押或                   利 除依法律法规和

金               的规 处                       金            得被处        毓

           金管理人              金托管人因依法解散 被依法撤 或者被依法 告破 等原因                                               清算

的         金              属        清算                    金管理人管理               金                生的债             得       固

     资          生的债 相 抵                         金管理人管理                      金的 金                       生的债 债

得相 抵               毓


                                                      十              金资              值毓

                        值 毓

                 金的      值                  金相         的证券交易场         的交易               家法律法规规             需要

     披露 金净值的非交易                         毓

                      值 象毓

           金 拥 的股票                        证 债券和银             款 息            收款         股指期                它投资等资

          负债 毓

                      值方法毓

      古        证券交易               的           证券的 值毓

           古     交易               的         证券        包括股票            证等                 值        在证券交易         牌的

           收盘             值            值    无交易的           最 交易                济 境 发生 大                      的        最

     交易 的                    收盘            值 如最 交易                      济 境发生了 大                      的     参考类似

投资品种的                                大          因素 调整最 交易                       确       允 格 毓

           该     交易                      净 交易的债券按                值 收盘             值         值     没 交易的             最

     交易             济 境 发生                    大         按最 交易 的收盘                     值 如最 交易                  济

境发生了 大                     的        参考类似投资品种的                              大         因素 调整最 交易

确         允 格 毓

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           详        交易                       净 交易的债券按 值                         收盘     去债券收盘 中 含的债券

     收利息得到的净                           值          值 没 交易的                     最 交易              济 境 发生 大

          按最 交易 债券收盘                         去债券收盘 中 含的债券 收利息得到的净                                             值

如最 交易                     济 境发生了 大                         的        参考类似投资品种的                                大     因

素        调整最 交易                    确          允 格 毓

           4         交易                     在活跃       场的               证券 采用 值          术确          允 值 交易

     的资 支 证券 采用 值 术确                                       允 值 在              值 术难         靠             允 值的情况

          按              值 毓

      该        处                期间的           证券                  如 情况处理 毓

           古             股 转增股             股和       开增发的            股 按 值           在证券交易              牌的        股票

的        值方法 值                     无交易的               最             的           收盘           值 毓

           该        首      开发                  的股票 债券和 证                        采用   值 术确            允     值 在 值

     术难            靠            允 值的情况                      按             值 毓

           详        首      开发             明确         期的股票                   股票在交易                     按交易             的

          股票的 值方法 值 非 开发                                   明确           期的股票 按监管机构或 业                            规

     确          允 值 毓

      详        全        银 间债券 场交易的债券 资                            支 证券等固          收益品种 采用 值                  术确

          允 值 毓

      4         如        确凿证据表明按 述方法                               值 能                   允     值的           金管理人

     据 体情况                金托管人商                       按最能               允     值的 格 值 毓

      滨              金投资股指期                             般        值         结算             值         值        无结算 的

     最 交易                  济 境 发生 大                          的 采用最             交易 结算            值          结算        结

算规                 中 金融期 交易 结算                                      准 毓

      绩              债券 时在 个或 个                                  场交易的 按债券 处的 场 别 值 毓

      迪                   金发生大额           购或赎回情形时                      金管理人      在履            程序       采用摆

          机制            确保 金 值的                    性         体处理原              操 规 遵循相 法律法规                      监管

部门 自律规 的规                         毓

      迫        如        金管理人或 金托管人发                          金    值           金        明的        值方法 程序 相

     法律法规的规 或者 能                            维             金份额          人利益时         立即通知 方                   查明原

因         方 商解                 毓

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            据         法律法规             金资        净值 算和 金                 算的义             金管理人 担

金的 金                  任方          金管理人担任 因                     就        金      的          题 如 相 各方

在        等 础                 论            无法                   的意       按照 金管理人            金资 净值的 算

结果                            毓

            四         值程序毓

      古          金份额净值是按照 个工                                         金资 净值除                金份额的余额数

          算 精确到 口.口口古 元 小数点 第四 四舍五入                                    家另 规 的             规         毓

            个工            算 金资 净值                      金份额净值 并按规                 告 毓

      该          金管理人            个工                    金资         值 但 金管理人 据法律法规或 金

的规 暂停 值时除                            金管理人 个工                         金资     值      将 金份额净值结果发

          金托管人              金托管人复 无误                             金管理人               毓

            五         值错误的处理毓

            金管理人和          金托管人将采                 必要                 理的措施确保      金资        值的准确性

     时性              金份额净值小数点                         内进含第          远发生 值错误时 视             金份额净值

错误 毓

            金         的       人 按照                       处理 毓

      古         值错误类型毓

                 金      过程中 如果                     金管理人或 金托管人 或登 机构 或                             机构 或

投资人自身的过错                       值错误 导                           人遭     损失的 过错的 任人

     值错误遭          损失          人进      损方 远的直接损失按 述                       值错误处理原             给    赔偿

     担赔偿 任 毓

            述 值错误的 要类型包括但 限                               资料         差错 数据 输差错 数据 算差错

系统故障差错                    指 差错等 毓

      该         值错误处理原 毓

            古        值错误 发生 但尚                  给      人          损失时       值错误 任方            时 调各方

     时          更      因更          值错误发生的 用                     值错误 任方 担                  值错误 任方

     时更              生的 值错误 给                    人          损失的          值错误 任方 直接损失 担赔偿

     任 若 值错误 任方                             极 调 并                     义 的        人 足够的时间                 更 而

     更                         担相 赔偿 任                    值错误 任方              更 的情况向                  人        确

认        确保 值错误 得到更                       毓

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           该      值错误的 任方                        人的直接损失负                         间接损失负                  并       仅

     值错误的         直接         人负                 第 方负            毓

           详    因 值错误而获得               得利的         人负              时返           得利的义                   但 值错误

     任方             值错误负           如果         获得        得利的               人 返 或 全部返                              得利

                    人的利益损失进             损方     远        值错误 任方 赔偿 损方的损失 并在

支     的赔偿金额的 围内 获得                      得利的           人          要求交                  得利的 利 如果获得

       得利的         人         将 部             得利返 给 损方                           损方         将               获得的赔偿

额                获得的         得利返        的总和超过                损失的差额部              支 给 值错误 任方 毓

           4      值错误调整采用               恢复 假            发生 值错误的 确情形的方式 毓

      详        值错误处理程序毓

           值错误被发                    的        人          时          处理        处理的程序如                  毓

           古    查明 值错误发生的原因                  明        的            人 并        据 值错误发生的原因确

     值错误的 任方 毓

           该     据 值错误处理原 或                    人 商的方法 因                  值错误            的损失               评        毓

           详      据 值错误处理原 或                   人    商的方法                 值错误的          任方             更 和赔偿

损失 毓

           4       据 值错误处理的方法                需要修改 金登 机构交易数据的                                        金登      机构

       更        并就 值错误的更 向                          人          确认 毓

      4         金份额净值 值错误处理的方法如                       毓

           古     金份额净值 算                错误时        金管理人                立即          纠      通             金托管人

并采            理的措施         损失             扩大 毓

           该    错误偏差       到 金份额净值的 口.该滨还时                     金管理人            通        金托管人并              中

     证监 备案 错误偏差 到 金份额净值的 口.滨还时                                    金管理人                 告 毓

           详        金份额净值          算差错给 金和            金份额               人      损失需要                   赔偿时

金管理人和 金托管人                     据        情况界       方 担的 任                     确认 按                     款        赔偿 毓

                 金的 金                任方       金管理人担任                        金          的           题 如               方在

     等 础                 论     尚     能              时 按 金管理人的建 执                                       给 金份额

     人和 金                的损失                金管理人负 赔                 毓

           若 金管理人 算的 金份额净值                              金托管人复 确认                      告               给 金份额

       人        损失的           据法律法规的规              投资者或 金支 赔偿金 就                                     向投资者或

                                                             84
工银瑞信研究精选股票型证券投资              金                                                         更    的招募说明书


     金支 的赔偿金额                  金管理人             金托管人按照过错程 各自 担相 的                    任 毓

           如 金管理人和 金托管人                          金份额净值的 算结果 虽然多                         算和      或

          金管理人采用的 值方法 尚 能                                时    避免 能按时                 金份额净值的情

形              金管理人的 算结果                                  给 金份额        人和 金            的损失           金

管理人负 赔                   毓

                          金管理人提供的信息错误 包括但 限                     金      购或赎回金额等                而导

     金份额净值 算错误而引起的 金份额                              人和 金        的损失            金管理人负 赔            毓毓

           4                       力原因 或           证券交易           登 结算          发     的数据错误 或 家

           策 更              场规      更等          金管理人和 金托管人虽然                   采 必要                 理

的措施               检查 但是 能发                 错误而         的 金份额净值 算错误                金管理人         金

托管人免除赔偿 任 但 金管理人                               金托管人       极采 必要的措施 轻或 除

     的影响 毓

           滨             金管理人和 金托管人               各自     术系统 置而        生的净值 算           差        金

管理人 算结果 准 毓

           绩 前述内容如法律法规或监管机 另 规 的                                 规       如果 业另 通 做法

     方          人         着 等和保          金份额         人利益的原                商处理 毓

                     暂停 值的情形毓

      古         金投资              的证券 期 交易 场遇法 节假                     或因          原因暂停营业时 毓

      该        因           力 使 金管理人                金托管人无法准确评              金资        值时 毓

      详             前      值      金资 净值 滨口还              的资      无     参考的活跃 场            格 采用

值        术 导             允 值 在       大 确 性时                     金托管人 商             的        金管理人

暂停 金 值 毓

      4         中 证监 和 金               认       的 它情形 毓

           七             金净值的确认毓

      用             金信息披露的 金资              净值和 金份额净值             金管理人负            算     金托管人

负               复          金管理人               个开      交易结         算         的 金资 净值和 金份额

净值并发 给 金托管人                       金托管人 净值 算结果复 确认 发 给 金管理人

金管理人                  金净值               毓

                     特殊情况的处理毓

      古         金管理人或 金托管人按 值方法的第 4                                 值时               的误差

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工银瑞信研究精选股票型证券投资                  金                                                      更   的招募说明书


金资         值错误处理 毓

      该          证券        期 交易               登    结算         发 的数据错误                    制          或

                 力原因          金管理人和 金托管人虽然                         采 必要                理的措施         检

查 但是 能发                  错误而            的 金份额净值 算错误                       金管理人     金托管人免除赔

偿     任 但 金管理人                   金托管人             极采 必要的措施 除或 轻                          的影响 毓


                                         十                 金的 用 税收毓

                    金 用的种类毓

      古       金管理人的管理                 毓

      该       金托管人的托管                 毓

      详          金            生效                金相 的信息披露 用 毓

      4           金            生效                金相 的            师        律师       仲裁 和 讼         毓

      滨       金份额           人大          用 毓

      绩       金的证券 期 交易 用 毓

      迪       金的银 汇               用 毓

      迫       金的相           户的开户 维                 用 毓

      9     按照 家             规 和               金                           在 金        中 支的          用 毓

                    金 用 提方法                     提标准和支 方式毓

      古       金管理人的管理            毓毓

             金的管理           按前               金资    净值的 古.滨口还           率   提 管理 的        算方法如       毓

      读    闸贸古.滨口毓还杂           数毓

      读                 提的 金管理 毓

      闸    前         的 金资 净值毓

           金管理                算 逐 累                                   按 支             金托管人按照          金管理

人               的结果                前 详 个工           内         金        中        性支 给 金管理人 若遇法

     节假        休息 或                力等 支              期             毓

      该       金托管人的托管 毓

             金的托管 按前                         金资 净值的 口.该滨还的              率 提 托管 的 算方法如                毓

      读    闸贸口.该滨还杂            数毓

      读                 提的 金托管 毓

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工银瑞信研究精选股票型证券投资                     金                                                              更    的招募说明书


      闸        前         的 金资 净值毓

           金托管                     算 逐 累                               按 支                   金托管人按照             金管理

人                   的结果                前 详 个工           内         金         中        性支        若遇法        节假          休

息        或              力等 支            期          毓

           述                   金 用的种类中第 详                9         用             据        法规 相               规           按

     用         支 金额 入 期                     用          金托管人            金        中支       毓

      详       证券 户开户 用                 证券       户开户            管理人 托管人               无误             自 品         立

个        内 托管人             金资 中                  如资 余额 足支                    开户 用               管理人         品 立

     个         的 滨 个工            内          垫     托管人            担垫        开户 用义            毓

                            入 金 用的 目毓

                     用       入 金 用 毓

      古            金管理人和 金托管人因                     履 或         全履 义          导 的          用支 或 金                  的

损失 毓

      该            金管理人和 金托管人处理                      金         无 的            发生的 用 毓

      详              金             生效前的相           用 毓

      4                    据相 法律法规 中 证监 的                              规        得 入 金 用的 目 毓

           四             金税收毓

                金          过程中           的各纳税 体               纳税义 按            家税收法律 法规执                    毓

           五             金管理 和 金托管 的调整毓

           金管理人和 金托管人                          商 情降            金管理 和 金托管                             调整 需要

金份额               人大             通过         金管理人必 最                      的 率 施 前依照 信息披露 法

的         规 在指 媒                  刊登 告 毓


                                             十四               金的收益                        毓

                          金利润的构 毓

           金利润指 金利息收入 投资收益                               允 值             收益和         收入扣除相               用 的

余额            金            收益指 金利润 去 允 值                              收益 的余额 毓

                          金 供        利润毓

               金    供       利润指截            收益          准          金             利润              利润中                   收益

的孰 数 毓

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工银瑞信研究精选股票型证券投资                    金                                                                      更    的招募说明书


                       金收益          原 毓

      古    在符                 金 红              的前提                          金          收益           数最多                        收

益            例 得                         供         利润的 详口还 若                     金          生效 满 详 个                        收

益          毓

      该               金收益         方式          种         金         红 红利 投资                  投资者       选         金红利或将

     金红利自 转                金份额                 投资 若投资者 选                                 金默认的收益              方式是

金     红 毓

      详         金收益                     金份额净值 能                       面值        即 金收益                准 的 金份额净

值     去                金份额收益               金额              能          面值 毓

      4                 金份额               等                毓

      滨    法律法规或监管机 另 规 的                                          规          毓

           四 收益              方案毓

           金收益             方案中        载明截        收益                  准         的 供            利润         金收益         象

       时间              数额          例              方式等内容 毓

           五 收益              方案的确                 告              施毓

              金收益            方案             金管理人拟                并              金托管人复              依照 信息披露        法

的         规 在指 媒                  告 毓

           金红利发             距离收益                 准          即 供                  利润       算截          的时间 得超过 古滨

个工              毓

                       金收益          中发生的 用毓

           金收益             时 发生的银              转 或               手续 用 投资者自                         担         投资者的 金

红利小                 金额      足 支 银 转 或                                 手续        用时        金登 机构 将 金份额

     人的 金红利自 转                       金份额 红利 投资的 算方法 依照 业 规                                                 执     毓


                                             十五               金的                                   毓

                       金            策毓

      古         金管理人                   金的 金                 任方 毓

      该         金的                        历         的古         古             古该        详古         金首 募 的                      按

如     原         如果          金               生效少        该个                        并入        个                 毓

      详         金 算 人民                                               人民 元                             毓

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工银瑞信研究精选股票型证券投资               金                                                               更    的招募说明书


     4              制 执        家                 制         毓

     滨             金独立建          独立 算 毓

     绩         金管理人          金托管人各自保留                  整的            目        凭证并          常的            算

按照           规 编制 金                   表 毓

     迪         金托管人                   金管理人就 金的                     算             表编制等               并 书面方

式确认 毓

                     金的             毓

     古         金管理人聘请               金管理人            金托管人相 独立的                       证券 期       相       业资

格的           师                注           师              金的                     表                毓

     该             师         更换         注            师                  得 金管理人 意 毓

     详         金管理人认                 足理     更换            师                   通      金托管人 更换                师

       需依照 信息披露 法                   的       规 在指 媒                    告 毓

                                            十                 金的信息披露毓
                         金的信息披露 符                      金法                       法            信息披露 法

金                          规        相 法律法规                   信息披露的规 发生                    时         金        最

规        毓
                信息披露义 人毓

               金信息披露义 人包括                 金管理人              金托管人 召              金份额           人大      的 金

份额           人等法律           法规和中 证监 规 的自然人 法人和非法人                                                毓

               金信息披露义 人 保                    金份额               人利益                发点 按照法律法规和中

证监 的规 披露 金信息 并保证 披露信息的真                                         性 准确性              整性           时性 简明

性和易得性 毓

               金信息披露义 人                在中 证监 规 时间内 将                              披露的 金信息通过中

证监 指 的全 性 刊                           简          指          刊           指          联网网站             简        指 网

站        等媒 披露 并保证                 金投资者能够按照                  金                   的时间和方式查阅或者复

制     开披露的信息资料 毓

                         金信息披露义 人                      开披露的 金信息                   得                      毓

     古    虚假 载 误导性陈述或者 大遗漏 毓

     该        证券投资业                  预测 毓


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工银瑞信研究精选股票型证券投资                       金                                                     更    的招募说明书


      详         规          收益或者 担损失 毓

      4         诋毁              金管理人            金托管人或者 金             机构 毓

      滨        登载任何自然人 法人和非法人                           的祝 性 恭维性或 荐性的文                        毓

      绩        中 证监 禁 的                              毓

           四               金 开披露的信息 采用中文文                           时采用 文文 的                  金信息披露义

     人 保证                文 的内容                           文 之间发生      义的           中文文       准 毓

                 金 开披露的信息采用阿拉 数                            除特别说明                          人民 元 毓

           五          开披露的 金信息毓

           开披露的 金信息包括 毓

      古         金招募说明书                    金                   金托管               金 品资料概要毓

           古               金          是界              金                人的各         利 义           系 明确 金份额

          人大 召开的规                        体程序 说明 金 品的特性等                          金投资者 大利益的

的法律文               毓

           该          金招募说明书                  最大限 地披露影响           金投资者 策的全部                     说明 金

认购            购和赎回 排                 金投资             金 品特性 风险揭示 信息披露                       金份额         人

服        等内容                 金         生效               金招募说明书的信息发生 大 更的                         金管理人

     在 个工                内 更           金招募说明书并登载在指               网站             金招募说明书              信息发

生        更的         金管理人 少                   更               金              的        金管理人         更         金招募

说明书 毓

           详          金托管           是界          金托管人和           金管理人在      金      保管          金         监督等

活        中的 利 义                   系的法律文               毓

           4           金 品资料概要是 金招募说明书的摘要文                                用 向投资者提供简明的 金

概要信息                    金           生效             金 品资料概要的信息发生 大 更的                             金管理人

     在 个工                内 更           金 品资料概要 并登载在指 网站                           金      机构网站或营业

网点            金 品资料概要                   信息发生 更的                金管理人 少            更                 金

     的          金管理人              更       金 品资料概要 毓

           金募             请 中 证监 注                            金管理人在 金份额发 的 详               前 将          金招募

说明书             金                 摘要登载在指 媒                      金管理人        金托管人         将        金

     金托管            登载在网站               毓

      该         金份额发               告毓

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工银瑞信研究精选股票型证券投资                 金                                                                               更    的招募说明书


           金管理人          就 金份额发 的 体                                 编制 金份额发                          告 并在披露招募说明

书的            登载 指 媒                毓

      详             金         生效 告毓

           金管理人          在收到中 证监 确认文 的                                       在指 媒                    登载           金              生效

     告 毓

      4          金净值信息毓

                金         生效      在开始 理 金份额 购或者赎回前                                                    金管理人                  少 周

     告           金资 净值和 金份额净值 毓

      在开始          理   金份额     购或者赎回                              金管理人                在        晚         个开            的

通过指           网站      金       机构网站或者营业网点披露开                                        的        金份额净值和               金份额累

     净值 毓

           金管理人          在 晚                       和          最                  的           在指 网站披露                             和

最              的 金份额净值和            金份额累 净值 毓

      滨         金份额 购 赎回 格毓

           金管理人          在      金                   招募说明书等信息披露文                                      载明 金份额               购 赎

回        格的 算方式                 购 赎回 率 并保证投资者能够在 金                                                     机构网站或营业网

点查阅或者复制前述信息资料 毓

      绩         金 期 告 包括 金                              告             金中期 告和 金季                             告毓

               金管理人      在       结        之        起        个        内        编制               金              告        将            告登

载在指           网站      并将            告提示性                 告登载在指                   刊                  金              告中的

          告          过     证券 期 相 业 资格的                                        师                           毓

               金管理人      在            结        之        起        个        内     编制                  金中期          告        将中期      告

登载在指 网站                并将中期 告提示性 告登载在指                                         刊             毓

           金管理人          在季 结 之 起 古滨 个工                                    内 编制                       金季           告 将季

告登载在指 网站                   并将季            告提示性 告登载在指                                刊             毓

                金         生效 足 2 个             的         金管理人                        编制 期季                     告 中期            告或者

           告 毓

                金 续        过程中                 在 金                     告和中期 告中披露 金                                   资 情况

流        性风险 析等 毓

           金         期间 如 告期内                            投资者                    金份额 到或超过 金总份额 该口还的

                                                                         91
工银瑞信研究精选股票型证券投资                        金                                                                更    的招募说明书


情形            保障             投资者的           益         金管理人 少                在 金 期 告 影响投资者 策的

           要信息                  披露 投资者的类别                        告期               份额                   告期内         份额

     情况              金的特 风险                  中 证监 认 的特殊情形除                             毓

      迪        临时 告毓

                  金发生 大                           信息披露义 人                     在该     内编制临时 告书 并登载在指

       刊和指 网站                      毓

      前款                   大              是指 能            金份额                人 益或者 金份额的 格 生 大影响

的                     毓

           古         金份额                 人大 的召开                   的            毓

           该               金                            金清算 毓

           详 转换 金                        方式         金 并 毓

           4 更换 金管理人                           金托管人              金份额登 机构                     金改聘      师                 毓

           滨         金管理人 托                   金服      机构               理 金的份额登                   算          值等

金托管人 托 金服 机构                                         理 金的 算                值 复 等                 毓

           绩         金管理人                 金托管人的法                              发生        更 毓

           迪         金管理人 更                             之五         股 的股东                 金管理人的               制人     更 毓

           迫         金募 期 长或提前结 募                                毓

           9          金管理人的高                  管理人员           金        理和    金托管人 门             金托管部门负             人发

生              毓

           古口        金管理人的董 在最                        古该 个 内 更超过                    之五十           金管理人            金托

管人 门 金托管部门的 要业 人员在最                                              古该 个 内           超过       之 十 毓

           古古                   金                金管理业                    金托管业 的 讼或仲裁 毓

           古该       金管理人或 高 管理人员                                金 理因 金管理业 相                                到    大

处罚                 处罚          金托管人或                  门 金托管部门负                 人因 金托管业 相                           到

大         处罚                   处罚 毓

           古详        金管理人 用 金                          买      金管理人                金托管人               股股东                制

人或者                       大利害 系的                      发 的证券或者                   期内      的证券 或者                         大

     联交易                  但中 证监              另 规 的除                   毓

           古4         金收益                            毓

           古滨      管理              托管              购         赎回        等 用 提标准                  提方式和        率发生       更 毓

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工银瑞信研究精选股票型证券投资                金                                                         更   的招募说明书


             古绩         金份额净值 值错误               金份额净值           之零点五 毓

             古迪          金开始 理 购               赎回 毓

             古迫          金发生巨额赎回并 期 理 毓

             古9           金 续发生巨额赎回并暂停接 赎回 请或 缓支 赎回款                                     毓

             该口          金暂停接         购        赎回 请或          接      购 赎回 请 毓

             该古 发生              金 购 赎回                调整或潜在影响投资者赎回等 大                    时 毓

             该该          金管理人采用摆                 机制           值 毓

             该详     金信息披露义 人认                  能       金份额         人    益或者 金份额的 格                  生

大影响的                     或中 证监 规 的                             毓

      迫       澄清 告毓

      在             金          续期限内 任何                  媒 中          的或者在 场 流 的 息                   能

金份额 格 生误导性影响或者引起较大波                                           能损害 金份额             人    益的 相

信息披露义 人知悉                      立即               息          开澄清 并将               情况立即 告中 证监               毓

      9             金份额      人大             毓

             金份额          人大           的                   依法 中 证监 备案 并                         告 毓

      古口          中 证监 规 的                信息 毓

      在季                告 中期 告                   告等 期 告和招募说明书 更                       等文 中披露股指

期     交易情况 包括投资 策                            情况 损益情况 风险指标等 并                       揭示股指期 交

易           金总体风险的影响               是否符 既 的投资 策和投资目标等 毓

                     信息披露        管理毓

             金管理人          金托管人            建立健全信息披露管理制                  指        门部门 高        管理人

员负 管理信息披露                      毓

             金信息披露义 人 开披露 金信息                               符 中 证监 相                 金信息披露内容

格式准 等法律法规规                    毓

             金托管人          按照相 法律法规 中 证监 的规                           和        金       的                 金

管理人编制的 金资 净值                        金份额净值              金份额 购赎回 格                 金 期 告 更

的招募说明书                 金 品资料概要               金清算 告等           开披露的相            金信息         复

查     并向 金管理人                 书面或电子确认 毓

             金管理人         金托管人            在指          刊中选         家 刊披露             金信息     金管理人

     金托管人              向中 证监             金电子披露网站               拟披露的 金信息 并保证相                      信

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工银瑞信研究精选股票型证券投资               金                                                          更   的招募说明书


息的真            准确         整      时 毓

           金管理人         金托管人除依法在指 媒                   披露信息                        据需要在

媒     披露信息 但是                     媒        得早 指 媒 披露信息 并 在                             媒       披露

信息的内容                      毓

                 金信息披露义 人 开披露的 金信息                                    告 法律意 书的 业机构

     制 工           稿 并将相 档案 少保 到                        金                     古口      毓

           金管理人         金托管人除按法律法规要求披露信息                         也 着眼             投资者     策提供

     用信息的角            在保证                 投资者     误导投资者              影响 金 常投资操 的前提

       自 提升信息披露服 的                             体要求          符    中 证监            自律规 的相 规

前述自 披露如 生信息披露 用                                用 得         金         中 支 毓

           七 信息披露文 的                       查阅毓

      依法必 披露的信息发                          金管理人         金托管人             按照相 法律法规规               将信

息置备 各自                    供社           查阅 复制 毓

                  暂停或        信息披露的情形                    述情况时           金管理人和 金托管人 暂停

或         披露 金相 信息 毓

      古              力 毓

      该         金投资              的证券交易 场遇法 节假 或因                         原因暂停营业时 毓

      详              金管理人认        属         导      金管理人          能      或评         金资 的紧急            故的

任何情况 毓

      4         法律法规        金      或中       证监 规 的情况 毓 毓

           九          金信息披露                 法律法规规                 金                  的内容 准 毓


                                         十七              金的风险揭示毓

                 金投资过程中面临的 要风险                       场风险 利率风险 信用风险                      投资风险

流     性风险 操 风险                    金特 的风险                风险           投资          管理直接相 的 场风

险 利率风险 信用风险 流 性风险等                             使用数               指标                   制 而操 风险

       建立 效的内 体系                  管理 毓

      古        证券 场风险毓

           古       场风险毓

      证券 场 格因 各种因素的影响而引起的波                                  将使         金资 面临潜在的风险

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工银瑞信研究精选股票型证券投资                 金                                                更    的招募说明书


     金的 场风险来源                  金       的资         场 格的波         毓

               该 利率风险毓

          金融 场利率的波                  导 股票 场 债券 场的 格和收益率的                          利率波     也

能导 债券 金跌破面值                         金投资 股票和债券            收益水            到利率      的影响

而        生风险 在利率波 时                        金的净值波       般   高            场 金 毓

               详 信用风险毓

          债券发 人                            支 到期 息 或              债券发 人信用          降 导         债券

格        降的风险 另                      交易 手             的损失也属 信用风险 毓

               4      投资风险毓

          债券偿             息           回购到期      能          场利率的       降面临资金    投资的收益率

     原来利率的风险 毓

               滨 流 性风险毓

          因        场交易         足 导 证券 能迅                     地转          金的风险 流 性风险 包

括                   金       投资者大额赎回           使      金没 足够的 金                金赎回支     的要求

引        的风险 毓

               绩 操 风险毓

               金         过程中 因内部 制           在缺 或者人 因素              操 失误或          操 规程等引

     的风险 例如                      规交易            部门欺       交易错误 I震系统故障等风险 毓

               迪         风险毓

          战         自然灾害等              力因素的          将         影响证券 场的                能导       金

资        的损失 金融 场 机                    理商          托管         等超       金管理人自身直接 制能力

之        的风险           能导       金或者 金份额            人利益     损 毓

     该              金特 风险毓

               古         金属      股票    金 通过自 而           的个股精选        投资        金管理人的个股

选        能力要求较高 如果 金管理人个股选 失误 投资人需要 担相 的风险 毓

               该         金使用股指期               风险     工      股指期       交易采用保证金交易制

     保证金交易                    杆性      在潜在损失 能 倍 大的风险 毓

          详          金 要的流 性风险               风险管理方法说明毓

               古     金 购 赎回 排毓

                    金将 强 开 式 金                购 节的管理        理 制 金份额             人 中            慎确

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工银瑞信研究精选股票型证券投资                金                                                                  更    的招募说明书


认大额 购              请 在       接        购 请                   金份额             人利益构 潜在 大                  利影响时

     金管理人将采                       投资者 购金额 限或 金                             净 购 例 限                         大额 购

暂停 金 购等措施                     金规模                 制          保                金份额          人的 法 益 毓

           该 流 性风险评 毓

                金 投资            内依法发                 的股票 债券 债券回购 银                          款和            短期投资

品种等            般情况                资         场流 性较好                    支            金的投资和                   常 赎的

需要           但 排除在特         阶段      特        场        境 特 投资标的                   流 性较差的情况 因

          金投资        述资 时              能 在           流 性风险                 是 金管理人建 或                             调整

时         能         特 投资标的流 性相                     足而无法按预期的 格买 或                                    是              投

资者的赎回              金被                  的 格               股票 债券或                资         者均 能使 金净值

     到 利影响              据      开募 开 式证券投资 金流 性风险管理规                                          的相 要求

     金         慎评        投资资 的流 性 并针 性制 流 性风险管理措施                                                 效 制             金

流        性风险 保              金投资者的 法 益 毓

           详 巨额赎回情形 的流 性风险管理措施毓

      在          金        巨额赎回情形                金管理人                  据 金 时的资                         状况或巨额赎

回份额            情况           全额赎回或部               期赎回       时 如               金 个 金份额                    人在 个

开              请赎回 金份额超过 金总份额                              例         的        金管理人                    采         期

理赎回 请的措施 毓

           4          施备用的流 性风险管理工 的情形 程序                                    投资者的潜在影响毓

                 金    能   施备用的流            性风险管理工                    更好地           流   性风险               金管理人

           金托管人 商 在确保投资者得到                                  的前提                 依照法律法规                 金          的

           综         用各类流 性风险管理工                        赎回 请等                       调整                特 情形

金管理人流 性风险管理的辅 措施 包括但 限                                          古      期 理巨额赎回 请 该 暂停

接        赎回 请 详             缓支 赎回款                4 收 短期赎回                          金        续          期少       迪

的投资者收                       古.滨还的赎回         滨 暂停 金 值                     前        值        金资 净值 滨口还

     的资              无   参考的活跃            场   格        采用   值    术        导         允   值    在        大     确        性

时                金托管人 商                          金         暂停 金          值 毓

                 金管理人        施流     性风险管理工             时        能        投资者                的潜在影响             包括

但      &n