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工银总回报灵活配置混合(001140)

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最新估值:-- 累计净值:-- 近3月收益:-- 近1年收益:--
投资类型:混合型 成立日期:2015-04-17 管理人:工银瑞信... 基金经理:鄢耀
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基金公告

工银总回报:工银瑞信总回报灵活配置混合型证券投资基金更新的招募说明书(2019年第3号)

公告日期:2019-11-09

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工银瑞信总回 灵活 置混 型证券投资基金毓
            更     的招募说明书毓
              该口古9   第详    毓
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      基金管理人    工银瑞信基金管理 限   毓
      基金托管人    中 建设银   股份 限   毓
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工银瑞信总回      灵活    置混    型证券投资基金                                                             更   的招募说明书




                                                         要提示毓

         基金     中     证券监督管理          员    该口古旨       口详    口旨    证监许        该口古旨   详4绩      文注         募

         基金基金            该口古旨   4    古绪 起     式生效 自                    起       基金管理人 式开始管理

     基金 毓

      基金管理人保证 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              基金募 的注               并 表明                      基金的 值和收益作                      性判断

或保证 也 表明投资                  基金没 风险 中 证监                               基金的投资 值                  场前 等作

         性判断或者保证 毓

      投资 风险 投资者 购基金份额时 认真阅                                         招募说明书和基金 品资料概要 全

面认识 基金 品的风险收益特                          充 考虑投资者自身的风险                          能力 并               购基金

的意愿 时机 数 等投资                       作 独立 策 基金管理人提醒投资者基金投资的 买者自

负 原          在投资者作 投资 策                   基金 营状况                    基金净值      导 的投资风险                       投

资者自 负          毓

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

资     基金前      全面了解 基金的 品特性 理性判断 场 并                                          基金投资中                   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 基金管理人在基金管理 施过程中 生的基金管理风险

     基金的特 风险等等 毓

         基金 灵活 置混 型基金 预期收益和风险水                                             股票型基金 高 债券型基

金             场基金 毓

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

     包括中小           业              中 证监 允许基金投资的股票                              证 股指期                      债期

       债券 包括但 限               债 地方 府债 金融债                            企业债         债              债           转换

债券          交换债券       离交易 转债 央 票据 中期票据 短期融资券 超短期融资券

等     资 支 证券 债券回购 银                       款                金             法律法规或中 证监                 允许基金

投资的         金融工        但 符 中 证监 的相 规                                    毓

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

       将 纳入投资 围 基金的投资                          例               股票资           基金资 的 例               口还–9旨还

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

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工银瑞信总回          灵活   置混   型证券投资基金                                          更   的招募说明书


          基金资 净值的 旨还的 金或到期 在                       内的    府债券       中 金 包括结算备

金              保证金和 收 购款等 毓

          如法律法规或中 证监 允许 基金管理人在履                              程序        调整 述投资品

种的投资 例 毓

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

初始面值              基金投资者         能          损 毓

          基金的过 业 并 预示                 来表      毓

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

恪        职     诚 信用 谨慎勤勉的原 管理和 用基金                             但 保证基金        盈利 也

保证最 收益 毓

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

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

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

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

     载         内容截         该口古9   4 16                    数据和净值表 数据截             该口古9   详 详古

     进        数据           远 毓




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工银瑞信总回              灵活      置混     型证券投资基金                                                                      更     的招募说明书




                                                                     目毓 毓 录毓
     要提示........................................................................................................................................... 1

             言........................................................................................................................................... 1

          释义........................................................................................................................................... 2

          基金管理人............................................................................................................................... 5

四        基金托管人............................................................................................................................. 16

五        相 服 机构......................................................................................................................... 16

          基金的募           ............................................................................................................................. 45

七        基金           的生效..................................................................................................................... 46

          基金份额的 购 赎回                        转换 ............................................................................................. 46

九        基金的投资............................................................................................................................. 55

十        基金的业           ............................................................................................................................. 67

十           基金的              ......................................................................................................................... 68

十           基金资              值..................................................................................................................... 69

十           基金的 用 税收 ............................................................................................................. 73

十四 基金的收益                             ............................................................................................................. 75

十五 基金的                                 ............................................................................................................. 76

十           基金的信息披露 ................................................................................................................. 77

十七 基金的风险揭示 ................................................................................................................. 82

十           基金            的 更                      基金            的清算 ..................................................................... 85

十九 基金                    的内容摘要 ......................................................................................................... 87

     十 基金托管                     的内容摘要 ................................................................................................. 87

     十              基金份额               人的服          ............................................................................................. 87

     十                      披露           ............................................................................................................. 89

     十          招募说明书                     查阅方式 ......................................................................................... 90

     十四 备查文                 ......................................................................................................................... 90

                 基金            内容摘要 ......................................................................................................... 92

                 基金托管               内容摘要 ............................................................................................... 106



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工银瑞信总回         灵活    置混   型证券投资基金                                                    更   的招募说明书




                                                                     言毓

            工银瑞信总回 灵活 置混 型证券投资基金更 招募说明书                                         简              招募

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

     证券投资基金            管理 法                    简                  法             开募 证券投资基金 作

管理 法                简            作 法                     开募 证券投资基金信息披露管理                法 进

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

     简       流 性风险规                                    法律法规             工银瑞信总回 灵活          置混 型

证券投资基金基金                                简      基金           编写 毓

            招募说明书阐述了工银瑞信总回 灵活 置混 型证券投资基金的投资目标 策略

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

          招募说明书 毓

          基金管理人           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              法律 任 毓

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

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

信息 或              招募说明书作任何解释或者说明 毓

            招募说明书 据 基金的基金                         编写 并 中 证监 注                 基金         是         基

金          人之间 利 义 的法律文                        基金投资者自依基金                 得基金份额        即        基

金份额         人和基金             的           人            基金份额的             身即表明         基金            的

认和接         并按照 基金法                    基金                    规            利         义        基金投资者

欲了解基金份额               人的 利和义                            查阅基金          毓

          招募说明书         基金 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




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工银瑞信总回              灵活        置混     型证券投资基金                                                                               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     基金或 基金 指工银瑞信总回 灵活 置混 型证券投资基金毓

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

          详     基金托管人 指中 建设银 股份 限                                                毓

          4 基金                   指 工银瑞信总回 灵活 置混 型证券投资基金基金                                                                              基金

          的任何 效修 和补充毓

          旨 托管                  指基金管理人              基金托管人就 基金签                                 之 工银瑞信总回 灵活 置

混        型证券投资基金托管                                         托管                的任何 效修 和补充毓

          绩 招募说明书 指 工银瑞信总回 灵活 置混 型证券投资基金招募说明书

更 毓

          绪 基金份额发                      告 指 工银瑞信总回 灵活 置混 型证券投资基金基金份额发

          告 毓

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

          规章                        基金                   人               力的                                   通知等毓

          9      基金法            指 该口口详        古口    该8             第十届全 人民 表大 常                                            员 第五

     通过 并            该口古该      古该     该8     第十 届全 人民 表大 常                                             员 第 十                       修

自 该口古详        绩       古        起 施的          并     该口古旨         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 证券投资基金法                                          颁 机                       时做 的修

     毓

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

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

          古该          作 法           指中 证监             该口古4          绪        绪         颁                    8        8            施的      开募

     证券投资基金 作管理 法                                  颁 机                            时做 的修 毓

          古详    流 性风险规                        指中     证监           该口古绪          8         详古        颁                 古口      古      施的


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工银瑞信总回            灵活    置混    型证券投资基金                                                  更    的招募说明书


          开募 开 式证券投资基金流 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

       古旨      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

       古绩      基金                 人 指 基金                       据基金                   利并          义 的法律

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

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

       古8       机构投资者 指依法                   投资证券投资基金的 在中 人民 和 境内 法登

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

       古9        格境 机构投资者 指符 相 法律法规规                                   投资 在中 境内依法募

的证券投资基金的中 境 的机构投资者毓

       该口      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 允许购买证券投资基金的                           投资人的         毓

       该古      基金份额             人 指依基金         和招募说明书 法 得基金份额的投资人毓

       该该      基金          业      指基金管理人或               机构              基金 发 基金份额                 理基

金份额的 购 赎回 转换                         转托管      期 额投资等业 毓

       该详             机构 指工银瑞信基金管理 限                             符               法 和中 证监 规

     的                        得基金         业 资格并 基金管理人签 了基金                      服           理

          理基金         业 的机构毓

       该4       登 业          指基金登              管 过户 清算和结算业                      体内容包括投资人基

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

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

       该旨      登 机构 指 理登 业 的机构 基金的登 机构 工银瑞信基金管理                                              限

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

       该绩      基金 户 指登 机构                   投资人开立的            录        的 基金管理人 管理的基

金份额余额                      情况的        户毓

       该绪      基金交易 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                     期 额投资等业               而引起基金份额              结余情况的

     户毓

       该8       基金          生效         指基金募      到法律法规规                基金      规 的                基金管

理人向中 证监                   理基金备案手续                 并获得中           证监 书面确认的 期毓

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工银瑞信总回           灵活        置混     型证券投资基金                                               更    的招募说明书


     该9      基金                           指基金           规 的基金                                 基金       清算

       清算结果 中 证监 备案并                                 告的 期毓

     详口     基金募 期 指自基金份额发 之 起 发 结                                    之      的期间 最长 得超过

详个 毓

     详古          续期 指基金                 生效            之间的        期期限毓

     详该     工作               指 海证券交易                深圳证券交易          相 期 交易 的 常交易 毓

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

     详4      震飞渡             指自 震     起第 渡 个工作 进 包含 震         远    渡    自然数毓

     详旨     开                 指 投资人 理基金份额 购 赎回或                           业 的工作 毓

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

     详绪      业 规                     指 工银瑞信基金管理 限                证券投资基金注 登 业 规

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

资人          遵 毓

     详8      认购 指在基金募 期内 投资人 据基金                                    和招募说明书的规            请购买基

金份额的               毓

     详9           购 指基金                 生效        投资人 据基金              和招募说明书的规            请购买基

金份额的               毓

     4口      赎回 指基金                    生效        基金份额       人按基金            和招募说明书规 的

要求将基金份额兑换                         金的     毓

     4古      基金转换 指基金份额                        人按照基金          和基金管理人届时 效 告规                的

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

基金基金份额的                      毓

     4该      转托管 指基金份额                       人在 基金的                   机构之间 施的 更               基金份

额          机构的操作毓

     4详           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

       理基金 购 请的 种投资方式毓

     44 巨额赎回 指 基金 个开                                   基金净赎回 请进赎回 请份额总数                     基金转

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

超过          开            基金总份额的 古口还毓

                                                                   4
工银瑞信总回                灵活       置混     型证券投资基金                                                             更   的招募说明书


          4旨       元 指人民 元毓

          4绩       基金收益 指基金投资                       得红利 股息 债券利息 买 证券 差 银                                           款利

息                     的               法收入         因 用基金                  带来的             和 用的节 毓

          4绪       基金资 总值 指基金拥 的各类                                        证券 银            款 息 基金 收款

     资 的 值总和毓

          48        基金资 净值 指基金资 总值 去基金负债 的 值毓

          49        基金份额净值 指 算                        基金资 净值除                    算      基金份额总数毓

          旨口      基金资              值 指 算评 基金资 和负债的 值                                           确 基金资 净值和基金

份额净值的过程毓

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

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

          旨该                   力 指基金                     人 能预                        能避免            能克服的              毓

          旨详      流 性 限资                    指          法律法规 监管                          或操作障碍等原因无法                  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

          旨4 摆                  机制 指               基金遭遇大额 购赎回时 通过调整基金份额净值的方式

将基金调整投资                          的 场                           给              购      赎回的投资者               而 少               基

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

          旨旨      基金 品资料概要 指                        工银瑞信总回 灵活 置混 型证券投资基金基金 品

资料概要                         更           招募说明书           基金 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


                                                                    基金管理人毓

                       基金管理人概况毓

                       工银瑞信基金管理 限                         毓

                                      西城 金融大街 旨                       旨        绩层     旨     绩口古      旨   绪层     旨        绪口古

     旨          8层        旨        8口古       旨    9层        旨        9口古毓

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

          邮        编码 古口口口详详毓

                                                                              5
工银瑞信总回              灵活       置混        型证券投资基金                                                     更     的招募说明书


          法         表人 王海璐毓

               立 期 该口口旨               绩         该古    毓

          批准设立机                    中 证监 毓

          批准设立文                    中 证监 证监基金 后该口口旨成9详                  毓

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

                 形式             限 任                 毓

          注     资               亿元人民 毓

          联系人 朱碧艳毓

          联系电话 4口口-8古古-9999毓

          股     结构 中 工商银 股份 限                                          注 资 的 8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                                      任工银瑞信基金管理          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 作 伴 系                      机构

和        人银 密                 作         提供资 管理投资解 方案 毓在 该口古古                      8         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

     基金 对财对               之前               在 读i货刘毓延且责i货且速 和英 曼       团 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           任工银瑞信基金管理 限                 党 书              总 理    古99绪

     绪        开始             在中 工商银 总 管理信息部                                       金融 场部工作 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         入工银瑞信基金管理

     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

                                                                           6
工银瑞信总回          灵活       置混     型证券投资基金                                                               更     的招募说明书


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

职派 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

等研究院院长 美 德                        致这销 大学 济系 致速则败刘北毓对.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 激励机制设

       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                                      场发展工作小                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 该口口旨                        古该        起 郑剑锋 生任职 中 工

商银 监                                          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作 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 团派驻子                                          董监                    高        家          职派 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                 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 营官食 任资 管理中                                 负 人 毓

                                                                    7
工银瑞信总回            灵活       置混    型证券投资基金                                                                                   更    的招募说明书


          洪波女士 监                 硕士 致延延致毓非执业 员 该口口旨                                 该口口8          任 永 明                           师

     高            员 该口口8               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                      该口口旨

     任职 银河基金                    任注        登       员 该口口旨                  入工银瑞信 作部                               任中央交易 总

监 毓

          详   高 管理人员毓

          王海璐女士 总 理 简历                                 毓

          朱碧艳女士 硕士                        注 内部                师             任工银瑞信基金管理 限                                       党              员

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

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

          入工银瑞信基金管理 限                            毓

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

理                     限          董           古99绪    绪            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      旨               任职             盈基金管理

     限            历任研究员 基金 理 理 该口口详                                      绩           该口口绩        详             任职 招商基金管

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

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

瑞信基金管理 限                         首席信息官 工银瑞信投资管理                                限           董              古989毓          8毓              古99详毓

     旨毓        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

     旨          该口口旨     绩        任职       中 工商银 牡                             中心 历任 场营 部副总                                      理 清算

部副总 理 该口口旨                      入工银瑞信基金管理 限                                     毓

          郝炜 生 硕士                     任工银瑞信基金管理 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                该口口旨

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

          4      基金基金 理毓

                                                                            8
工银瑞信总回                       灵活        置混           型证券投资基金                                                                                    更        的招募说明书


            鄢                 生 古该             证券 业 验                                    在德勤 永                      师                   限                 任高

员          中                     金融 限                            任 析员 该口古口                             入工银瑞信                      任 益投资部副总监

该口古详               8         该绩                             任工银瑞信金融地                                业混 型证券投资基金基金                                    理 该口古4

       古          该口                  该口古8         4        9                   任工银添福债券基金基金 理 该口古4                                              古           该口

该口古旨           古古           古古               任工银                     薪 期支 债券基金基金 理 该口古4                                             9        古9                 该口古8

       该          该绪                    任工银                 富灵活 置混 型基金基金 理 该口古旨                                                   详         古9

任工银瑞信 金融股票型证券投资基金基金 理 该口古旨                                                                                详        该绩        该口古绪           古口           9

       任工银瑞信美 城镇 题股票型基金基金 理 该口古旨                                                                                4      古绪                        任工银瑞信

总回 灵活 置混 型证券投资基金基金 理 该口古8                                                                                  古古       古4                      任工银瑞信精

选金融地                           业混 型证券投资基金基金 理 毓

            王鹏 生 8                          证券 业 验 该口古古                                         入工银瑞信                      任研究部 品饮料                               林牧

渔          业高 研究员 基金 理 该口古9                                                      9         古绩                           任工银瑞信总回 灵活 置混

       型证券投资基金基金 理 毓

                  基金历任基金 理 毓

            杜海涛 生 该口古旨                                4          古绪               该口古8        绩       旨        管理 基金 毓

            旨      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 古旨                         证券 业                   验            任中信建投证券                         限           研究员 该口口绪                       入工

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

基金基金 理 该口古详                                     古       古8                             任工银瑞信                  利债券型证券投资基金基金 理

该口古详           古           该8                该口古4        古该          旨               任工银瑞信 绩口                     理 债券型基金基金                           理 该口古4

       古          该口                 该口古8          8        该8                 任工银瑞信红利混 型证券投资基金基金                                                        理 该口古4

       古          该口                 该口古绪         旨       该绪                 任工银瑞信 心                          值混 型证券投资基金基金 理

该口古4                古口         该详                           任工银瑞信研究精选股票型证券投资基金基金 理                                                                    该口古4

古古             古8               该口古8           8        该8                    任工银 疗保健 业股票型基金基金 理 该口古旨                                                                该

       古绩                   该口古绪        古该        该该                  任工银战略转型 题股票基金基金 理 该口古绪                                                          4         古该

              该口古8             古该        该8                 任工银瑞信中 制                                该口该旨 股票型证券投资基金基金                                   理 毓

            欧          凯 生 古绪                     证券 业                   验            任中海基金管理                         限           基金 理 该口古口                          入

工银瑞信                           任固 收益投资总监 该口古口                                          8         古绩                          任工银瑞信 利债券型证

券投资基金基金 理 该口古古                                               古该        该绪             该口古绪          4      该古            任工银保 混 基金基金

                                                                                                       9
工银瑞信总回              灵活         置混           型证券投资基金                                                                                                   更     的招募说明书


     理 该口古详               该      绪                该口古绪            该       绩                 任工银保                        该         混 型发起式基金进自 该口古绩

     该        古9       起 更 工银瑞信                                       精选混 型证券投资基金远基金 理                                                          该口古详              绩         该绩

          该口古8        该         该绪                  任工银瑞信保                             详          混 型基金基金 理食毓该口古详                                      绪          4

该口古8         该      该详                任工银信用纯债                                           期开 基金基金 理 该口古4                                           9             古9             起

               任工银                富灵活 置混 型基金基金 理 该口古旨                                                                        旨        该绩    起      该口古8                 绩        旨

               任工银丰盈回 灵活                                   置混 型基金基金 理 毓

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

券        济研究                任资深 析师                              信证券资 管理总部 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                                 任工银瑞信 题策略混 型

证券投资基金基金 理 该口古详                                             9         该详                  该口古9             该           古详                  任工银瑞信精选 衡

基金基金 理 该口古4                              古口          该该                该口古绪             古口          9                       任工银高端制                  业股票型基

金基金 理 该口古旨                          4           该8              该口古8              详          该                     任工银                   料 能源 业股票型基

金基金 理 该口古绩                          古          该9              该口古8              古古             详口                 任工银瑞信 家战略                                 题股票型

基金基金 理 该口古绪                             4            该古                该口古9            古           该4                         任工银瑞信 联网 股票型证

券投资基金基金 理 该口古8                                           详        该8                                     任工银瑞信中小盘 长混 型证券投资

基金基金 理 该口古8                              绩           旨                           任工银瑞信高端制                                             业股票型证券投资基金基

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8                          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                                                      任基金 理 在

联和 通投资                          管理                          任执 董                         在工银瑞信 任                                        业 总监 在工银瑞信资

     管理                           限                   任副总 理 该口古绩                                           入工银瑞信基金管理 限                                                       任

益投资总监                      任工银瑞信                                        副总 理 该口古绩                                古该           详口                   任工银瑞信沪

港深股票型证券投资基金基金 理 该口古绪                                                               古古             9                                 任工银瑞信沪港深精选灵

活        置混 型证券投资基金基金 理 该口古8                                                                旨            古口                            任工银瑞信                        济灵活

     置混 型证券投资基金 弄廷II 基金 理 该口古8                                                                             古该          该旨                        任工银瑞信红利

          灵活 置混 型证券投资基金基金 理 毓

          石              生 硕士                         任工银瑞信基金管理 限                                                     投资总监 古99口                               古99旨

任职 荷 银                                                         任 理 古99旨                                   该口口该                    任职               大和投资信托 香

                                                                                                   10
工银瑞信总回              灵活    置混     型证券投资基金                                                               更    的招募说明书


港          限                   任资深投资 理 该口口详                            该口口4         任职        湾英 保诚投资信托

            任投资总监 该口口4                          该口口绩         任职          湾汇丰中 投资信托                       任投资管

理部副总裁 该口口绩                      该口口8             任职             联 基金管理 限                      任副总 理 投资

总监 该口口8                该口古详       任职               湾             投资信托                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                           任全球 益 场负 人 该口古绪

该口古8       绩          任职 尤梅投资                                 任         董 总          理 毓

      朱碧艳女士 简历                              毓

      章              生 古该 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                                        任数           析师 在       资 管理 限

     任            投资     理     在     泰基金管理                    限           任指数投资           长       执        总监        该口古4

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

      毓      述人员之间均                 在 亲属 系 毓

                      基金管理人的职 毓

            据 基金法                          作 法                                规        基金管理人的义 包括但 限                       毓

      古 依法募 资金                      理或者             托 中 证监 认 的                             机构      理基金份额的发

            购 赎回和登                            毓

      该             理基金备案手续 毓

      详      自 基金                    生效之 起                      诚 信用 谨慎勤勉的原 管理和 用基金                                   毓

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

理和 作基金                        毓

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

基金               和基金管理人的                  相 独立                      管理的             基金 别管理           别

证券投资 毓

      绩 除依据 基金法                             基金                                      规            得利用基金               自

任何第 人                  利益           得       托第 人 作基金                             毓

      绪      依法接 基金托管人的监督 毓

      8 采                       理的措施使 算基金份额认购                                   购 赎回和注          格的方法符              基

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

赎回的 格 毓

      9                基金              算并编制基金                                告 毓

                                                                              11
工银瑞信总回          灵活      置混   型证券投资基金                                                         更    的招募说明书


       古口    编制季           告 中期 告和                  告 毓

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

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

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

       古详 按基金              的      确 基金收益                方案        时向基金份额              人             基金收益 毓

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

       古旨    依据 基金法               基金                        规 召 基金份额                    人大 或                 基金

托管人 基金份额                      人依法召 基金份额               人大            毓

       古绩    按规        保   基金         管理业    活     的                          表      录和             相     资料 古旨

               毓

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

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

        的            得到           资料的复          毓

       古8            并参 基金              清算小         参 基金             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 并通知基金

托管人 毓

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

     赔偿 任            赔偿 任 因                任而免除 毓

       该古    监督基金托管人按法律法规和基金                        规 履 自 的义                     基金托管人               基

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

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

               任 毓

       该详         基金管理人 义             表基金份额            人利益 使              讼 利或 施                   法律         毓

       该4     基金管理人在募 期间                能 到基金的备案                          基金                能生效          基金

管理人              全部募           用 将 募 资金并                 银             期活期 款利息在基金募 期结

     详口     内       基金认购人 毓

       该旨    执 生效的基金份额                  人大 的                 毓

       该绩    建立并保 基金份额                  人          毓

       该绪    法律法规 中 证监 规 的和 基金                                              的     义      毓

              四 基金管理人             毓

                                                               12
工银瑞信总回           灵活    置混    型证券投资基金                                                           更        的招募说明书


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

制等全 处理 基金的投资 毓

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

措施 保证基金                    用            投资或者活          毓

           古          证券 毓

           该          规 向 人 款或者提供 保 毓

           详          使基金          无限 任的投资 毓

           4 买               基金份额 但是中 证监 另 规 的除                                     毓

           旨 向基金管理人 基金托管人 资 毓

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

           绪 法律              法规和中 证监 规 禁 的                            活         毓

      基金管理人 用基金                   买         基金管理人 基金托管人                             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

联交易的                符       基金的投资目标和投资策略 遵循基金份额                                    人利益                原

       利益 突 建立健全内部 批机制和评 机制 按照 场                                                      理 格执                相 交

易必             得到基金托管人           意 符 中 证监 的规                            并履 披露义                        大 联交

易     提交基金管理人董                              并 过       之               的独立董 通过 基金管理人董

           少                  联交易                   查 毓

      法律法规或监管部门                  或         更 述限制 如 用                    基金              基金投资                    相

     限制 或            更 的规           准          需要 基金份额                人大                   毓

      4         基金管理人将 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       基金                   证券投资 毓

           该             地           管理的          基金           毓

           详 利用基金                或职 之便 基金份额                   人          的第 人牟 利益 毓

           4 向基金份额                人 规           收益或者            损失 毓

           旨 侵          挪用基金              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

                                                              13
工银瑞信总回         灵活     置混     型证券投资基金                                             更   的招募说明书


     的交易活            毓

           绪 玩忽职                 按照规 履 职           毓

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

      旨        基金 理         毓

           古 依照            法律 法规和基金            的规        着谨慎的原            基金份额        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 基金的商业秘密             尚 依法 开的基金投

资内容 基金投资                      等信息 毓

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

           五 基金管理人的内部 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               基金管理人各机构 部门和岗 职                  保 相 独立 基金管理

人基金资            自 资                    资 的 作             离 毓

           4 相 制 原                  基金管理人内部部门和岗 的设置                         明 相 制衡 毓

           旨        效益原            基金管理人 用科学 的 营管理方法降                     作         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            设         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                          营管理和基金投资业                  风险管理和

     规性 制                   内部稽            工作结果          查和监督并向董              告 董             设

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              查 拟 董              监       高 管理人员薪酬和激励 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

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

     中的 要 策 执                     员             设投资 策 员 和风险管理 员                          就基金投资和风险

     制等发表 业意                  建           投资 策 员 是基金的最高投资 策机构 毓

                 设立督察长            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

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

      夕 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                           基金投资和 作中的 大 题

和        大           风险评               毓

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           制活 体                自             制    各岗 的目标 任制 基础 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 充 发挥督察长

和内 稽 部 各岗                        各部门 各机构 各 业 全面监察稽 作用 建立内部 制的

第        道 线 毓

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                 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                     充 了解

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立了清 的业                  告系统 毓

           旨 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                       设立了独立 各业 部门的内 稽 部                               中监察稽

     人员履 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 基金 作中的风险                           时提 改 意

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         促              内部管理制                效地执                    毓

       详        基金管理人               内部 制的声明毓

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

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


                                                           四 基金托管人毓

                  基金托管人情况毓

                     基 情况毓

                     中 建设银 股份 限                                进简               中 建设银       远毓

                                西城 金融大街 该旨                      毓

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       基金托管资格批文 文                                中 证监 证监基 后古998成古该                          毓

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毓毓毓毓该口古8 绩                 资 总额该该8食口旨古.8该亿元 较                                 增 绩食8口绪.99亿元 增幅详.口8还

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利润较                   期增 84.旨绩亿元 古食4绪4.绩旨亿元 增幅绩.口8还 毓

毓毓毓毓毓该口古绪                 荣获香港               洲                  该口古绪      中 最佳银                美              球金融         该口古绪

最佳转型银                           坡          洲银 家                 该口古绪        中 最佳数 银                     该口古绪     中     最佳大

型零 银                         银 家            该口古绪 最佳金融                                中 银 业                             最     社

任金融机构 等多                          要               在英               银 家            该口古绪 全球银        古口口口 强 中 第 该

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在美           富      该口古绪   世界 旨口口 强排 榜 中 第 该8           毓

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管     营处 监督稽 处等古口个职能处                 在 徽 肥设      托管 营中心 在 海设 托管

营中心 海           中心          员工详古旨余人    自该口口绪 起 托管部 续聘请 部                     师

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                    要人员情况毓

      纪       资 托管业 部总 理                      在中 建设银              通        总                    部

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       部 营业部并 任副 长 长期                     信 业 和       团 户业 等工作                        丰富的

户服 和业 管理 验 毓

      黄      莲 资 托管业 部资深 理                  业 术               就职 中 建设银 总

部     长期         托管业 管理等工作               丰富的 户服 和业 管理 验 毓

      郑绍       资 托管业 部副总 理                  就职 中 建设银 总 投资部                         托     理部

战略 户部 长期                    户服        信 业 管理等工作                 丰富的 户服 和业 管理

     验 毓

      原玎 资 托管业 部副总                   理    就职 中 建设银 总                    业 部 长期

海     机构 海 业 管理 境内 汇业 管理                            金融机构 户营                  展等工作

丰富的 户服 和业 管理                    验 毓

               基金托管业           营情况毓

      作       内首批开 证券投资基金托管业 的商业银                       中 建设银               直秉

户     中心 的 营理念               断 强风险管理和内部 制                格履 托管人的各                职

     维 资            人的 法 益              资    托人提供高      的托管服               过多        稳 发展

中     建设银 托管资 规模                断扩大 托管业 品种        断增             形 包括证券投资基金

社保基金 保险资金 基                      个人 户 进R远弄对II 进R远弄廷II 企业 金等 品在内的托

管业 体系 是目前 内托管业 品种最齐全的商业银 之                                 截    该口古8         季         中

     建设银         托管 8旨绪 只证券投资基金 中 建设银              业高效的托管服 能力和业 水

        得了业内的高 认               中 建设银             9    获得 全球托管人                中 最佳托管银

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       4      获得       资      中 最佳 托管银                       续旨          获得中债登      资 托管机构

等            并在 该口古绩      被       球金融 评 中                    场           家 最佳托管银            在 该口古绪

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金          的 全 整 确保                 信息的真             准确            整         时 保 基金份额         人的

法     益 毓

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      资      托管业 部 备系统                   善的制         制体系 建立了管理制                     制制        岗

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人          故的发生          术系统      整 独立 毓

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资     作 提供的基金清算和                算服          节中          基金管理人发 的投资指                 基金管理人

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              地址             海淀 信息路               9    奎科大厦毓

   法          表人 张旭 毓

   联系人 霍博 毓

   电话 口古口-绩古9旨该绪口详毓

        真 口古口-绩古9旨古口口绪毓

        户服 电话 9旨口旨旨-4毓

   网址 未未未.夕且i本i渡刚则质渡北.外财造毓

        8绩 玄元保险 理 限                     毓

   注         地址 中               海 自           易试验 张杨路 绪口绪                  古古口旨    毓

              地址 中               海 自           易试验 张杨路 绪口绪                  古古口旨    毓

   法          表人 马永谙毓

   联系人               博毓

   电话 口该古-旨口绪口古口旨详毓

        真 口该古-旨口绪口古口旨详毓

        户服 电话 口该古-旨口绪口古口旨详毓

   网址 创货货责闭//未未未.末本i渡账质败刘.外财造/k则i货划末本夕末毓

    基金管理人                 据 中 人民 和 证券投资基金法                                          开募 证券投资基金 作

管理 法              证券投资基金            管理 法 和 基金基金                               等的规         选            符 要

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工银瑞信总回                灵活       置混     型证券投资基金                                                                更     的招募说明书


求的机构                       基金                基金管理人网站 毓

                       基金登 机构毓

               毓毓          工银瑞信基金管理                     限          毓

         注           地址                    西城 金融大街 旨                           旨        绩层    旨     绩口古     旨      绪层   旨

绪口古           旨        8层         旨      8口古        旨          9层        旨    9口古毓

         注           登 业                   地址                      西城 金融大街 旨                   盛大厦 致       绩 层毓

         法               表人 王海璐毓

         全           统         户服 电话 4口口-8古古-9999毓

               毓毓真 口古口-绩绩旨8详古口口毓

         联系人 朱辉毅毓

                       律师                              律师毓

              毓毓             海源泰律师                        毓毓

              毓毓             海 浦东                   浦东 路 该旨绩                 夏银 大厦 古4 楼毓

                     地址            海 浦东               浦东 路 该旨绩                 夏银 大厦 古4 楼毓

         负          人 廖海毓

         电毓毓话              口该古 旨古古旨口该98毓

              毓毓真           口该古 旨古古旨口详98毓

                     律师 廖海                 佳毓

              四               师                          注              师毓

              毓毓             永 明               师                    特殊 通                    毓

              毓毓                      东城 东长                街古 东方广场东方                        城 东            楼古绩层毓

                     地址                     东城 东长 街古 东方广场东方                                  城 东              楼古绩层毓

         法            表人 葛明毓

                     注              师 李慧明 王珊珊毓

         联系电话                    口古口   旨8古旨该古4旨毓

              真            口古口     旨8古古4绩4旨毓

         联系人 王珊珊毓


                                                                          基金的募 毓

                       基金募 的依据毓

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工银瑞信总回             灵活    置混       型证券投资基金                                                            更    的招募说明书


               基金 基金管理人依照 基金法                                作 法                    法      基金                     法律

法规的             规 募                 基金募          请           中 证监       该口古旨     口详    口旨        证监许       该口古旨

详4绩        文        注        毓

                   基金类型毓

        混        型 毓

                   基金的 作方式毓

        契        型 开 式 毓

               四 基金 续期间毓

                  期 毓

               五 基金的面值毓

               基金 份基金份额的初始发 面值 人民                               古.口口 元 毓


                                                    七 基金                  的生效毓

        进      远基金          生效毓

               基金基金                  该口古旨   4        古绪    起 式生效 自基金                   生效之 起                基金管

理人 式开始管理 基金 毓

        毓进      远基金 续期内的基金份额                           人数 和资金数额毓

               基金          生效               续 该口 个工作              基金份额            人数            满 该口口 人或者基金

资      净值             旨食口口口 万元情形的 基金管理人                    在     期 告中              披露              续 绩口 个工作

               前述情形的 基金管理人                     向中 证监                 告并提 解 方案 如转换 作方式

               基金 并或者                基金          等 并召开基金份额                      人大             表          毓

        法律法规或监管部门另 规                         时             规     毓


                                               基金份额的 购 赎回 转换毓

                         购 赎回 理的场 毓

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

容或              相        告 基金管理人                据情况 更或增                         机构 并在基金管理人网站

示      基金投资者                在          机构 理基金                业 的营业场 或按                       机构提供的             方

式      理基金份额的 购 赎回 毓

                         购 赎回 理的开                         时间毓

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工银瑞信总回           灵活    置混        型证券投资基金                                                      更   的招募说明书


      古     开           开 时间毓

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

证券交易               相 期 交易                   的 常交易 的交易时间 但基金管理人 据法律法规 中

     证监 的要求或基金                         的规         告暂停 购 赎回时除                 开         的 体业         理时

间              机构          的时间 准 毓

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

况     基金管理人将视情况 前述开                                   开 时间            相 的调整 但 在 施 前依照

     信息披露 法 的                   规            在指 媒            告 毓

      该        购 赎回的开始时间毓

           基金           该口古旨        旨        该该   起开始 理 常 购 赎回业                    毓

      基金管理人 得在基金                                   之 的 期或者时间             理基金份额的 购 赎回或者

转换 投资人在基金                                   之 的 期和时间提                  购 赎回或转换 请 登 机构确

认接 的                基金份额 购                  赎回或转换 格                开      基金份额 购 赎回或转换的

     格 毓

                       购 赎回的原 毓

      古          知          原          即 购 赎回 格                   请      收           算的基金份额净值           基准

           算 毓

      该        金额 购 份额赎回 原                               即 购 金额 请           赎回 份额 请 毓

      详           的 购 赎回 请                           在基金管理人规 的时间 内撤                     毓

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

      旨        理 购 赎回业 时                                 遵循基金份额          人利益        原         毓

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

       机制            确保基金 值的                       性      体处理原           操作规 遵循相 法律法规                  监

管部门 自律规 的规                             毓

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

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工银瑞信总回              灵活    置混   型证券投资基金                                                更     的招募说明书


        该         购和赎回的款 支 毓

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

登          机构确认基金份额时              购生效 毓

        基金份额                 人递交赎回 请 赎回 立 登 机构确认赎回时 赎回生效 毓

        投资人赎回 请                      基金管理人将在 震 绪           进包括        远内支 赎回款            遇证券

期          交易 或交易 场数据              输         通 系统故障             银 数据交换系统故障或 它非基

金管理人 基金托管人 能                      制的因素影响业 处理流程时 赎回款                                         个工作

                   在发生巨额赎回或基金             载明的          暂停赎回或 缓支 赎回款 的情形时

款          的支          法参照基金                款处理 毓

        详         购和赎回 请的确认毓

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

     进震     远 在 常情况                 基金登 机构在 震飞古       内            交易的 效性             确认 震     提

交的 效 请 投资人 在 震飞该                          进包括        远 时到           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 毓

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

间           调整          基金管理人将 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               机构网点 笔 购 基金的最 金额                       古口 元 含 购

通过 基金管理人电子自 交易系统 购                             个基金       户 笔 购最 金额                    古口 元 含

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

             在直 中心 认/ 购                       旗 基金 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                  操作中        各          机构的 体规

准 毓

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

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

点保留的基金份额余额 足 古口 份的 在赎回时需                              全部赎回              操作中          各      机

构的 体规                  准 毓

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工银瑞信总回                灵活    置混       型证券投资基金                                                        更     的招募说明书


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

     人赎回时或赎回 在基金管理人电子自 交易系统保留的基金份额余额 足 古口 份的 在

赎回时需                    全部赎回 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 法将参照基金

                  巨额赎回或 续巨额赎回的 款处理 毓

      详 基金管理人 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 基金管理人必 在调整 施前依照 信息披露                                                   法 的     规 在指 媒                    告 毓

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

          采 设                    投资者 购金额 限或基金                               净    购 例 限              大额     购 暂停

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

                            购和赎回的 格                      用        用途毓

      古               购 毓

           基金                购设置 差 率                    投资者在                之内如 多笔 购             用 率按 笔 别

     算 毓

           基金的 购 率如 表 示 毓

                                                               基金的 购 率结构毓

                             用种类毓                         购金额 销 毓                                 率毓

                                                               销   古口口 万毓                       古.旨还毓

                                                          古口口 万 销 详口口 万毓                    古.口还毓
                               购 毓
                                                          详口口 万 销 旨口口 万毓                    口.8还毓

                                                           旨口口 万 销毓毓                  按笔收    古食口口口 元/笔毓

          注      销        购金额毓

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

          用                入基金                   毓

      该        赎回 毓

      赎回 用 赎回基金份额的基金份额                                              人          在基金份额          人赎回基金份额时

收                     续         期少        详口        的投资人收 的赎回 将全额 入基金                                    续        期

     少        详口        但少     详 个 的投资人收 的赎回 总额的 绪旨还 入基金                                             续        期

     少        详 个 但少              绩 个 的投资人收 的赎回 总额的 旨口还 入基金                                             续


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工银瑞信总回          灵活    置混       型证券投资基金                                                                更    的招募说明书


期   少         绩 个 的投资人收                的赎回 总额的 该旨还 入基金                                 赎回 率 赎回基金份

额        期限的增 而递                        体 率如                   毓

                                                       基金的赎回 率结构毓
               毓                                                              期限毓                              赎回 率毓
               毓                                                   同        绪     毓                                 古.旨还毓
               毓
                                                             绪           同       详口    毓                           口.绪旨还毓
           赎回 率毓
                                                             详口              同 古       毓                           口.旨口还毓
                                                              古              同    该    毓                            口.详口还毓
                                                                    同        该     毓                                     口还毓

      注       同        期限   古       指 详绩旨      毓

     详    赎回 用              入基金                的部 用 支 登                             和        必要的手续          毓

     4 基金管理人                    在基金                       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

     旨 基金管理人                  在               法律法规规                    基金                 的情形     据 场情况制

基金促                       期或          期地开展基金促 活                              在基金促 活 期间 按相 监管部

门要求履 必要手续                     基金管理人                               调 基金 购 率和基金赎回 率 毓

          七          购份额 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             基金份额净值 基准 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 基金                                              生的收益 基金                      毓

          基金的 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                       基金份额净值毓

     例 某投资者投资 旨 万元 购                          基金的基金份额 假设 购                              基金份额净值             古.口旨口

元             得到的 购份额                   毓

     净        购金额 旨口食口口口/          古 古.旨还             49食该绩古.口8 元毓

          购 用 旨口食口口口 49食该绩古.口8 绪详8.9该 元毓

          购份额 49食该绩古.口8/古.口旨口               4绩食9古旨.详古 份毓

     即        投资者投资 旨毓万元 购                   基金的基金份额 假设                          购      基金份额净值             古.口旨口

元                  得到 4绩食9古旨.详古 份基金份额 毓

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工银瑞信总回          灵活    置混   型证券投资基金                                                  更        的招募说明书


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

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 基金                                 生的收益        基金

            毓

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

     赎回金额 赎回份数贸震毓 基金份额净值毓

     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 基金 古 万份基金份额                   时间                 个                  的赎回 率

   口还 假设赎回               基金份额净值是 古.该旨口毓元                得到的赎回金额                 毓

     赎回金额 古口食口口口贸古.该旨口称古该食旨口口.口口 元毓

     赎回 用 古该食旨口口贸口还称口毓元毓

     净赎回金额 古该食旨口口-口称古该食旨口口.口口 元毓

     即 投资者赎回 基金 古毓万份基金份额                            期限              个         假设赎回            基金

份额净值是 古.该旨口 元                    得到的赎回金额        古该食旨口口.口口 元 毓

     详          基金份额净值 算毓

     基金份额净值的 算 式                         算 基金资 净值除              算 登 在 基金份额余额

得的              基金份额的 值 毓

     震毓         基金份额净值 震毓 基金资 净值/震毓 登 在 基金份额余额 毓

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

            生的误差在基金                中 支 毓

     震           的基金份额净值在           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 基金管理人                   或暂停接 投资人的 购 请 毓

     古          因         力导 基金无法          常 作 毓

     该          发生基金      规 的暂停基金资              值情况时 毓

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

值 毓

     4           接 某笔或某          购 请        能 影响或损害           基金份额             人利益时 毓

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      旨 基金资 规模过大 使基金管理人无法 到                            的投资品种 或              能 基金业

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

      绩      前       值 基金资 净值 旨口还            的资            无     参考的活跃 场 格 采用

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

     采 暂停接 基金 购 请的措施 毓

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

旨口还 或者 相规避 旨口还 中           的情形时毓

      8 某笔或某           购 请超过基金管理人设 的                     净     购 例 限            投资者

或        笔 购金额 限的 毓

      9     法律法规规 或中 证监                认 的         情形 毓

      发生 述第 古 该 详 旨 绩 9                 暂停 购情形之               基金管理人      暂停接 投资人

的        购 请时 基金管理人                    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              金将   给投资人 在暂停 购

的情况 除时 基金管理人                     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 基金管理人 暂停接 投资人的赎回 请或 缓支 赎回款                                   毓

      古    因         力导 基金管理人 能支 赎回款                      毓

      该    发生基金       规 的暂停基金资              值情况时 毓

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

值 毓

      4       续 个或 个              开        发生巨额赎回 毓

      旨    接 某笔或某 赎回 请                 能 影响或损害           基金份额          人利益时 毓

      绩      前       值 基金资 净值 旨口还            的资            无     参考的活跃 场 格 采用

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

     采      缓支 赎回款 或暂停接 基金赎回 请的措施 毓

      绪    法律法规规 或中 证监                认 的         情形 毓

      发生 述情形之              基金管理人          暂停接 投资人的赎回 请或 缓支 赎回款

时 基金管理人 在                   中 证监 备案               确认的赎回 请 基金管理人             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 按基金            的相      款处理

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工银瑞信总回           灵活    置混    型证券投资基金                                               更    的招募说明书


基金份额               人在 请赎回时                   选 将           能    获 理部           撤         在暂停赎回

的情况 除时 基金管理人                        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        基金     个开          内的基金份额净赎回             请进赎回    请份额总数        基金转换中转

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

前        开      的基金总份额的 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

           基金          巨额赎回时 基金管理人                        据基金 时的资            状况         全额赎回

或部            期赎回 毓

           古 全额赎回               基金管理人认             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            基金管理人认 支 投资人的赎回 请 困难或认 因支 投

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

          接 赎回 例                         开        基金总份额的 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         的基金份额净值 基础 算赎回金额                      类

直到全部赎回                   如投资人在提交赎回 请时 作明确选                           投资人 能赎回部 作自

          期赎回处理 部                期赎回               笔赎回最 份额的限制 毓

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

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

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

回        请 基金管理人                    据基金 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 类基金份额净值 基础 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 如基金管理人认                    必

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工银瑞信总回        灵活      置混    型证券投资基金                                                        更    的招募说明书


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

过 该口 个工作           并          在指        媒                告 毓

      详       巨额赎回的 告毓

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

规        的      方式在 详 个交易           内通知基金份额                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 基金管理人 在规 期限内在指 媒                                                        刊登暂

停        告 毓

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

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

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

基金管理人 提前 该 个工作                    在指 媒 刊登基金                     开      购或赎回的 告             并在

开始 理 购或赎回的开                              告最        古 个工作 的基金份额净值 毓

      4 如果发生暂停的时间超过 该 周 暂停期间 基金管理人                                             该 周 少 复刊登暂停

     告           暂停结 基金                开         购或赎回时 基金管理人 提前 该 个工作                        在指 媒

          续刊登基金          开        购或赎回的 告 并在                        开      购或赎回           告最        古 个工

作        的基金份额净值 毓

           十       基金转换毓

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

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

人届时 据相 法律法规 基金                               的规 制 并 告 并提前告知基金托管人 相 机

构 毓

           十       基金的非交易过户毓

      基金的非交易过户是指基金登 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                                   基金基金份额的投资人 毓

      继        是指基金份额            人死亡                     的基金份额             法的继 人继               捐     指基

金份额            人将        法        的基金份额捐 给福利性                     的基金 或社 团体                  法强制执

     是指 法机构依据生效 法文书将基金份额                                  人          的基金份额强制 转给                 自然

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工银瑞信总回       灵活    置混   型证券投资基金                                                   更    的招募说明书


人     法人或                     理非交易过户必 提供基金登 机构要求提供的相 资料

符           的非交易过户 请按基金登 机构的规                         理 基金              机构     按照 规 的

标准收        毓

      进十四远基金的转托管毓

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

       按照规 的标准收 转托管                       毓

        十五        期 额投资             毓

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

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

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         基金份额的冻结 解冻和 押毓

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

认      符 法律法规的                  情况 的冻结 解冻 毓

      基金份额被冻结的 被冻结部                          生的 益 并冻结         被冻结部 份额 然参               收益

        法律法规或监管部门另 规 的除                          毓

      如相 法律法规允许基金管理人 理基金份额的 押业 或                                       基金业       基金管理

人将制 和 施相 的业 规                         毓


                                                九 基金的投资毓

              投资目标毓

      通过识别宏           济周期 资                场      的      模式 深入研究             周期        场背

各类型资 的 值 回                  通过 自 而                的大类资           置         自 而        的个券选

在风险        的 围内追求               收益的最大            毓

              投资 围毓

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

     包括中小             业            中 证监 允许基金投资的股票                           证 股指期             债

期      债券 包括但 限                  债 地方 府债 金融债 企业债                            债           债      转

换债券        交换债券            离交易 转债 央 票据 中期票据 短期融资券 超短期融资

券等         资 支 证券 债券回购 银                         款        金             法律法规或中 证监 允许

基金投资的          金融工             但 符 中 证监 的相                  规         毓

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工银瑞信总回           灵活      置混     型证券投资基金                                                更    的招募说明书


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

          将 纳入投资 围 基金的投资                             例      股票资         基金资 的 例             口还–9旨还

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

          基金资 净值的 旨还的 金或到期 在                             内的    府债券         中 金 包括结算备

金               保证金和 收 购款等 毓

      如法律法规或中 证监 允许 基金管理人在履                                         程序             调整 述投资品

种的投资 例 毓

                     投资策略毓

      古        资          置策略毓

           基金将 投资研究团队 时跟踪 场 境                                      据                内宏        济

势 宏                济 策              证券     场      状况等因素的深入研究 判断证券 场的发展 势

结         业状况                      值性和 长性 析 综 评 各类资 的风险收益水                                 在充 的

宏        形势判断和策略 析的基础                       通过 自 而             的资          置        调整策略 将基

金资 在各类型证券                              灵活 置 在 场 涨阶段中 增                      益类资          置 例 在

     场          周期中 增 固 收益类资                      置 例 最           力求          基金资           收益的最大

           而 效提高                     场状况 基金资 的整体收益水                    毓

      该        股票投资策略毓

           基金采              自 而                   自 而         相结 的 析方法               股票投资 基金管理

人在 业 析的基础                         选     治理结构 善            营稳健 业             良               续增长前

或        值被         的                股票           理 格买入并            中长期投资          基金股票投资 体

包括 业 析                     置                 状况评             值评      股票选                    等过程 毓

           古         业 析             置毓

           基金将 据各 业 处生命周期                            业竞 结构             期发展 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             基金       那          较强盈利能力 投资吸引力 在 业生命

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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

           该                  状况评 毓

      在           业          深入 析的基础                           的基         状况          评          结 基 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 构建基 投资股票                         毓

           详       值评 毓

      基                       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

           4 股票选                         毓

      综           性 析                 值评     的结果 选               理或者 值被                  的股票构建投资

           并 据股票的预期收益 风险水                                              在 理风险水                追求基金收

益最大                  时监           中证券的 值水          在 场           格明显高           内在 理        值时 时

          证券 毓

      详        债券投资策略毓

           基金在固 收益证券投资                  研究方面             投资策略研究 业                 工制         业研

究人员 别 利率 债券信用风险等角                              提 独立的投资策略建                       固 收益投资团

队        论 并 投资 策 员                 批准 形 固 收益证券指导性投资策略 毓

           古 利率策略毓

      研究 诺廷范 物              就业            收支等 民 济            状况            析宏         济      的   能情

          预测           策              策等 府宏           济 策 向              析金融 场资金供求状况

     势 结构 在 基础 预测金融 场利率水                                        势          金融 场收益率曲线斜

           势 毓

                 久期是         利率风险最        要的指标        据      场利率水 的                    势的预期 综

     宏          济状况和              策等因素的 析判断                 制               的目标久期 预期 场利

率水 将 升时 降                          的久期       规避债券 格             降的风险和资 损失 获得较高的

     投资收益 预期 场利率将 降时 提高                             的久期 在 场利率                       降时获得债券

     格 升的收益 并获得较高利息收入 毓

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           该 信用策略毓

           据 民 济           周期阶段            析债券发 人 处 业发展前                    发 人业 发展状

况 企业 场地                       状况 管理水         债 水 等因素 评 债券发 人的信用风险

并     据特 债券的发 契               评 债券的信用 别 确                   债券的信用风险利差 投资 值 毓

           详 债券选                      毓

           基金将 据债券 场情况                 基 利率期限结构 债券的信用 别 在综 考虑流

性         场 割 息票率 税赋特点 提前偿 和赎回等因素的基础                                  评 债券投资 值

选               理或者 值被              的债券构建投资          并        据 场         情况                       毓

           4      转换债券投资毓

           转换债券           益类证券          固 收益类证券的特性                  抵御        风险         股票

     格 涨收益的特点 是 基金的 要投资 象之                                  基金将选             基 素        良

           的基础证券 着较高              涨潜力的 转换债券               投资 并采用期                 模型等数

       值工 评             投资 值              理 格买入并            毓

      4        资 支 证券投资策略毓

           基金将投资包括资 抵押                款支 证券 致B霆                抵押 款支 证券 销B霆              等

在内的资 支 证券                   基金通过考 宏            济走势        支 资       在 业 气情况 资

     结构 提前偿 率                  率         场利率等因素 预判资                  来 金流              研究标的

证券发           款 预测提前偿            率        标的证券 均久期 收益率曲线的影响                        时密

     注流 性               标的证券收益率的影响 在 格 制信用风险暴露程 的前提                                 通过

信用研究和流 性管理 选                    风险调整 收益较高的品种               投资 毓

      旨        生品投资策略毓

           古 股指期 投资策略毓

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

慎原           参 股指期 投资                  基金将 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                                基金需要买入           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 基金需要                       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                 基金

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

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的稳 性 精                 确 投资方案 例 毓

           该      债期 投资策略毓

           基金 提高 利率风险管理能力 在风险                            的前提            着谨慎原 参          债期

     投资         债期 作 利率          生品的 种                 管理债券              的久期 流 性和风险水

           基金将按照相 法律法规的规                   结        宏       济形势和 策 势的判断                 债券

     场           性和         析 构建             析体系               债期 和           的基差         债期 的流

     性 波 水                期保值的 效性等指标                 跟踪监          在最大限 保证基金资             全

的基础            力求       基金资     的长期稳 增值 毓

           详      证投资策略毓

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

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

          证标的证券         基 面研究           值的基础         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

           四 业           较基准毓

           基金的业          较基准        旨旨还贸沪深 详口口 指数收益率            4旨还贸中债综 指数收益率 毓

      沪深 详口口 指数选 了 致 股 场 规模最大 流 性最好的 详口口 只股票作                                 份股 较

好地            了 致 股 场的总体       势 是目前 场 较 影响力的股票投资业                               较基准 中

债综 指数 中央 债登 结算 限 任                               编制         指数 在综                 债券全 场整体

     格和投资回 情况               指数涵盖了银 间 场和交易                      场       份券种包括除资 支

债和部 在交易 发                      的债券       的             债券                广泛的 场 表性 能够

     债券 场总体走势 毓

           基金是混 型证券投资基金 股票投资 围                          口还-9旨还      基金 沪深 详口口 指数和中

债综 指数 别赋               旨旨还和 4旨还的     符        基金的投资特性 毓

      如果          法律法规发生                或者 更 威的 更能                     场 遍接 的业           较基准

                  基金托管人 商                  基金 在 中 证监 备案                        更业        较基准并

时        告 毓

           五 风险收益特 毓

           基金 灵活 置混 型基金 预期收益和风险水                                     股票型基金 高 债券型基

金                场基金 毓

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                  投资禁                 限制毓

      古        禁 用 基金                            毓

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

           古        证券 毓

           该        规 向 人 款或者提供 保 毓

           详               无限 任的投资 毓

           4 买             基金份额 但是中 证监 另 规 的除                                  毓

           旨 向 基金管理人 基金托管人 资 毓

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

           绪 法律               法规和中 证监 规 禁 的                        活       毓

      基金管理人 用基金                    买     基金管理人 基金托管人                           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

联交易的              符         基金的投资目标和投资策略 遵循                         人利益              原                 利益

     突 建立健全内部 批机制和评 机制 按照 场                                         理 格执               相 交易必

     得到基金托管人 意 并按法律法规                          披露         大 联交易 提交基金管理人董

           并 过            之           的独立董 通过 基金管理人董                                 少                      联交易

                  查 毓

      法律            法规或监管部门               或 更 述禁 性规                     如 用               基金               基金

投资              相 限制 或               更 的规           准         需要 基金份额                人大                     毓

      该        基金投资            例限制毓

      基金管理人 用基金                           证券投资          基金的投资遵                    限制 毓

           古       基金股票资            基金资 的 例            口还–9旨还 毓

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

                 基金资 净值 旨%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       基金            家      发    的证券               值 超过基金资 净值的 古口% 毓

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

           旨       基金         的全部 证            值 得超过基金资                 净值的 详% 毓

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

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

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口.旨% 毓

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

值的 古口% 毓

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

            古口       基金        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       基金管理人管理的全部基金投资                              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       基金 投资 信用                别评          BBB           进含 BBB远的资 支 证券 基金

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 基金         参 股票发               购           基金           的金额 超过 基金的总资

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

            古4        基金总资            得超过基金净资 的 古4口还 毓

            古旨       基金 入全 银 间 业 场                              债券回购的资金余额 得超过基金资 净

值的 4口还            基金 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

            古绩 在任何交易                           的买入股指期                        值       得超过基金资 净值的

古口还 在任何交易                             的买入股指期                 和      债期               值              证券 值之

和          得超过基金资 净值的 9旨还                       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           股指期                  值 得超过基金                 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 基金

资        净值的 该口还       基金               的股票 值和买入                        股指期                  值             轧差

     算            基金资 的 例             口还-9旨还 毓

            古绪       基金在任何交易                        的买入 债期                         值        得超过基金资 净

值的 古旨还            基金在任何交易                                     债期             值 得超过基金                  的债券

总        值的 详口还 在任何交易              内交易         包括                的 债期              的 交金额 得超过

          个交易 基金资 净值的 详口还                       基金           的债券          含到期 在                    内的 府

债券               值和买入                债期              值                  轧差 算              符 基金             中

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债券投资 例的                                   毓毓

            古8         基金           投资 流            性 限资 的 值 得超过 基金资 净值的 古旨还 因

证券 场波                                  股票停牌 基金规模                    等基金管理人之 的因素 使基金 符

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

            古9     基金管理人管理的全部开 式基金进包括开 式基金                                         处 开 期的 期开

     基金远             家                  发         的 流通股票             得超过                     流通股票的 古旨还

基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 式基金                    中

证监 认 的特殊投资                                        前述 例限制 毓

            该口        基金           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                         基金              的投资 围保                 毓

            该古 法律法规 中 证监                         规 的和 基金                           的       投资限制 毓

            基金投资流通 限证券 基金管理人                                     据中 证监 相 规                     基金托管人在

基金托管                中明确基金投资流通 限证券的 例                                  据 例           投资 基金管理人 制

          格的投资 策流程和风险 制制                                         流 性风险 法律风险和操作风险等各种风

险 毓

       除第 该                  古该             古8          该口      规           因证券 期            场波         证券发 人

     并 基金规模                       股              置改革中支              等基金管理人之 的因素 使基金投资

例        符       述规 投资 例的 基金管理人                                  在 古口 个交易 内           调整 但中         证监

规        的特殊情形或                     另             的除          毓

       基金管理人                   自基金              生效之 起 绩 个 内使基金的投资                           例符 基金

的                      期间           基金的投资 围 投资策略                           符       基金      的             基金托管

人        基金的投资的监督 检查自 基金                                  生效之 起开始 法律法规或监管部门另 规

     的            规          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                         或调整 述限制 如 用                          基金            基金投资           相 限

制或按调整 的规 执                              但 提前 告                   需要 过基金份额              人大             毓

            七 基金管理人 表基金                          使相          利的处理原             方法毓

       古          利 基金资 的 全 增值 毓

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

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 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

                       基金的融资融券毓

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

            进九远基金的投资                       告毓

                   告期         该口古9      古      古   起         详      详古                       数据                             毓

 古.古           告期 基金资                       情况毓毓


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

     古毓             益投资毓                                                                    绩8古食48绩食8旨旨.详绪毓                                   绩绪.8绩毓
      毓              中 股票毓毓                                                                 绩8古食48绩食8旨旨.详绪毓                                   绩绪.8绩毓
     该毓        基金投资毓                                                                                                -毓                                        -毓
     详毓        固     收益投资毓毓                                                                绪4食口绩旨食绩详详.9口毓                                   绪.详8毓
      毓              中 债券毓毓毓                                                                 绪4食口绩旨食绩详详.9口毓                                   绪.详8毓
      毓         资     支 证券毓毓毓                                                                                      -毓                                        -毓
     4毓              金属投资毓                                                                                           -毓                                        -毓
     旨毓        金融 生品投资毓                                                                                           -毓                                        -毓
     绩毓        买入返 金融资 毓毓                                                               古旨口食口口口食口口口.口口毓                               古4.94毓
                   中 买断式回购的买入返 金
      毓                                                                                                                   -毓                                        -毓
                 融资 毓毓毓
     绪毓        银        款和结算备 金                      毓毓                                  旨口食详绪详食绪89.详绪毓                                   旨.口该毓
     8毓                资 毓毓毓                                                                   48食详该旨食详绪绩.口绪毓                                   4.8古毓
     9毓                毓毓毓毓毓                                                             古食口口4食该旨古食绩旨4.绪古毓毓毓                           古口口.口口毓

注               四舍五入的原因金额 基金总资 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                                  基金资 净值 例进还远毓

     致毓               林 牧 渔业毓                                                                     详古食该绩该食口口口.口口毓                            详.该旨毓
     B毓         采矿业毓                                                                                                         -毓                                 -毓
     延毓        制     业毓                                                                           该旨绩食8旨9食详古4.9详毓                              该绩.绩绪毓
     廷毓        电力 热力 燃气 水生 和供 业毓                                                                                    -毓                                 -毓
     寸毓        建筑业毓                                                                                古口食该4绩食49古.详8毓                                古.口绩毓

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      对毓        批发和零 业毓                                                              古口食口44食旨该绩.详9毓                          古.口4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                   和信息 术服 业毓                                 古4食9详绪食9口该.94毓                            古.旨旨毓
      国毓        金融业毓                                                                 该4口食9口详食该绪旨.口9毓                         该旨.口古毓
      曾毓             地 业毓                                                             古古绪食该详详食详44.绩4毓                         古该.古绪毓
      替毓        租赁和商 服 业毓                                                                                 -毓                               -毓
      销毓        科学研究和 术服 业毓                                                                             -毓                               -毓
      锁毓        水利           境和            设施管理业毓                                                      -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 工作毓                                                                                  -毓                               -毓
      R毓         文          体育和娱乐业毓                                                                       -毓                               -毓
      霆毓        综 毓                                                                                            -毓                               -毓
       毓                毓                                                                绩8古食48绩食8旨旨.详绪毓                          绪口.绪绩毓

注                四舍五入的原因 允 值 基金资 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 基金资 净值 例大小排序的前十 股票投资明 毓毓

                                                                                                                                      基金资 净值
 序 毓              股票 码毓                    股票        毓   数          股 毓                  允 值 元 毓
                                                                                                                                        例 % 毓
      古毓             口口该古4该毓       宁波银 毓                   详食绪口口食口口口毓           绪8食旨88食口口口.口口毓                 8.古绩毓
      该毓             绩口古详古8毓       中           毓                  绩绩8食8口口毓            旨古食旨绩4食48口.口口毓                 旨.详旨毓
      详毓             口口口口口该毓      万科 致毓                   古食旨口口食口口口毓           4绩食口8口食口口口.口口毓                4.绪8毓
      4毓              绩口口口48毓        保利地 毓                   详食古8绩食古口口毓            4旨食详绪口食口绩4.口口毓                4.绪古毓
      旨毓             口口该4古旨毓       海康威视毓                  古食口口口食口口口毓           详旨食口绪口食口口口.口口毓              详.绩4毓
      绩毓             详口口498毓         温氏股份毓                       绪绪口食口口口毓          详古食该绩该食口口口.口口毓              详.该旨毓
      绪毓             口口古9绪9毓        招商蛇 毓                   古食古古9食口绩绩毓            该旨食绪8详食该8口.绩4毓                 该.绩8毓
      8毓              口口口8旨8毓        五粮液毓                         该旨旨食旨口口毓          该4食该绪该食旨口口.口口毓               该.旨该毓
      9毓              绩口口绩口口毓      青岛啤酒毓                       4绪绪食该口口毓           该口食绩口口食绪该4.口口毓               该.古4毓
     古口毓            绩口口口详口毓      中信证券毓                       8口口食口口口毓           古9食8该4食口口口.口口毓                 该.口绩毓
 古.4         告期 按债券品种 类的债券投资                         毓毓毓

 序 毓                                  债券品种毓                             允 值 元 毓                                基金资 净值 例 % 毓

     古毓              家债券毓                                                                                 -毓                                  -毓
     该毓         央     票据毓                                                                                 -毓                                  -毓
     详毓         金融债券毓                                                              绪详食该详9食口口旨.口口毓                           绪.绩口毓


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       毓       中          策性金融债毓                                                   绪详食该详9食口口旨.口口毓                         绪.绩口毓
      4毓     企业债券毓                                                                                         -毓                               -毓
      旨毓    企业短期融资券毓                                                                                   -毓                               -毓
      绩毓    中期票据毓                                                                                         -毓                               -毓
      绪毓      转债             交换债 毓                                                      8该绩食绩该8.9口毓                            口.口9毓
      8毓       业          毓                                                                                   -毓                               -毓
      9毓            毓                                                                                          -毓                               -毓
     古口毓          毓                                                                    绪4食口绩旨食绩详详.9口毓                          绪.绩9毓

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

 古.旨        告期 按 允 值 基金资 净值 例大小排序的前五 债券投资明 毓
                                                                                                                                     基金资 净值
 序 毓           债券 码毓                  债券         毓       数         张 毓                   允 值 元 毓
                                                                                                                                       例 % 毓
      古毓                 古8口该口旨毓 古8       开 口旨毓                4口口食口口口毓           4详食古8口食口口口.口口毓               4.48毓
      该毓                 古绩口4古旨毓 古绩      发 古旨毓                详口口食口口口毓          详口食口口9食口口口.口口毓              详.古该毓
      详毓                 古详该口古4毓 古8 中        寸B毓                   绩食详旨口毓                绩绪口食该4该.旨口毓               口.口绪毓
      4毓                  古该绪口口旨毓    长证转债毓                        古食详绩口毓                古旨绩食详8绩.4口毓                口.口该毓
      旨毓                 口古8口口旨毓        开 古绪口古毓                       旨口口毓                 旨口食口口旨.口口毓              口.口古毓
 古.绩        告期 按 允 值 基金资 净值 例大小排序的前十 资 支 证券投资明 毓毓

              基金         告期                  资     支 证券 毓

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

              基金         告期                       金属 毓毓

 古.8         告期 按 允 值 基金资 净值 例大小排序的前五                                                   证投资明 毓

              基金         告期                       证 毓毓

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

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

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

 古.9.该       基金投资股指期 的投资 策毓

                告期内             基金          用股指期               投资 毓

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

 古.古口.古     期 债期 投资 策毓

                告期内             基金          用     债期            投资 毓

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

              基金         告期                       债期 投资 也无期间损益 毓

 古.古口.详     期 债期 投资评 毓

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                告期内                基金               用    债期             投资 毓

古.古古 投资                    告 注毓

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

         宁波银 毓

                告期              基金              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 基金管理人的

制       要求 毓

古.古古.该 基金投资的前十 股票超 基金                                          规 的备选股票 情况的说明毓

              基金投资的前十 股票 超 基金                                       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                                                                                                      旨4旨食古48.48毓
       该毓            收证券清算款毓                                                                                             4绩食古9旨食绪9绩.该4毓
       详毓            收股利毓                                                                                                                         -毓
       4毓             收利息毓                                                                                                     古食古绩8食绩口古.口详毓
       旨毓            收 购款毓                                                                                                       4古旨食8详口.详该毓
       绩毓                    收款毓                                                                                                                   -毓
       绪毓            摊 用毓                                                                                                                          -毓
       8毓               毓                                                                                                                             -毓
       9毓               毓                                                                                                       48食详该旨食详绪绩.口绪毓

古.古古.4        告期                   的处 转股期的 转换债券明 毓


   序 毓                 债券 码毓                                 债券         毓            允 值进元远毓毓              基金资 净值 例 % 毓

古毓                          古该绪口口旨毓                       长证转债毓                古旨绩食详8绩.4口毓                    口.口该毓

注            表包含期                    的处           转股期的 转换债券和              交换债券明           毓毓

古.古古.旨       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




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                                                           十 基金的业 毓

         基金管理人                      恪 职             诚 信用 勤勉                   的原 管理和 用基金                                 但 保

证基金               盈利 也 向投资者保证最 收益 基金的过 业 并                                                      表          来表             投资

     风险 投资者在作 投资                         策前                阅        基金的招募说明书 毓

         古.     基金             生效        该口古旨     4 古绪          基金           生效    来 截          该口古9 详 详古                  的投

资业                 期基准的 较如                表 示 毓
                                                                            业    较
                                            净值收毓 净值收益毓 业   较基毓
                                                                              基准毓
                  阶段毓                    益率毓 率标准差毓 准收益率毓             进古远                                      进详远毓进该远   进4远毓
                                                                            收益率标
                                              古 毓      该 毓     详 毓
                                                                           准差 4 毓
该口古旨.4.古绪-该口古旨.古该.详古毓         口.绪口还毓         古.44还毓        -旨.8该还毓     古.49还毓               绩.旨该还毓     -口.口旨还毓

                该口古绩    毓              -旨.绩绩还毓         古.4旨还毓       -旨.口详还毓    口.绪绪还毓         -口.绩详还毓         口.绩8还毓

                该口古绪    毓               4.该古还毓          口.绩8还毓       古古.绪口还毓   口.详旨还毓         -绪.49还毓           口.详详还毓

                该口古8     毓              -古绩.旨绪还毓       古.口绩还毓    -古古.该4还毓     口.绪详还毓         -旨.详详还毓         口.详详还毓

     该口古9.古.古-该口古9.详.详古毓        古8.旨该还毓         古.口绪还毓      古旨.绩绩还毓   口.8旨还毓              该.8绩还毓       口.该该还毓

自基金                生效起             毓 -该.古口还毓         古.古绪还毓      该.旨绪还毓     口.8绪还毓          -4.绩绪还毓          口.详口还毓

         该.自基金                生效     来基金累              净值收益率                          期业             较基准收益率

的       较毓
                                               该口古旨      4      古绪        该口古9      详   详古          毓




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                                                                                                            毓
      注    古     基金基金           该口古旨   4      古绪   生效 毓

            该     据基金        规        基金建 期           绩个      截   告期       基金的投资符

     基金           投资 围 投资限制的规                   股票资        基金资 的 例    口还–9旨还

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

     基金资 净值的 旨还的 金或到期 在                        内的 府债券      中 金 包括结算备

金          保证金和 收 购款等 毓


                                       十            基金的           毓

                 基金资 总值毓

      基金资 总值是指基金拥 的各类                      证券 银          款 息 基金 收款               资

     的 值总和 毓

                 基金资 净值毓

      基金资 净值是指基金资 总值 去基金负债 的 值 毓

                 基金     的 户毓



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      基金托管人 据相 法律法规 规 性文                                           基金开立资金 户 证券 户                      投资

     需的               用 户 开立的基金 用 户 基金管理人 基金托管人 基金                                                 机构和

基金份额登 机构自 的                              户              基金             户相独立 毓

           四 基金              的保管和处 毓

           基金           独立 基金管理人 基金托管人和基金                               机构的               并 基金托管人

保管 基金管理人 基金托管人 基金份额登 机构和基金                                                机构          自 的

     自身的法律 任                   债 人 得              基金              使请求冻结 扣押或                        利 除依法

律法规和 基金                        的规      处          基金              得被处        毓

      基金管理人 基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 基金                      属       清算            基金管理人管理             作基金                   生的债            得

     固 资              生的债 相 抵                   基金管理人管理 作                 基金的基金                    生的债

债         得相 抵              毓


                                               十              基金资              值毓

                   值 毓

           基金的 值                    基金相         的证券交易场 的交易                           家法律法规规 需要

     披露基金净值的非交易                    毓

                   值 象毓

      基金 拥 的股票                        证 股指期             债券           债期    和银             款 息        收款

     它投资等资                负债 毓

                   值方法毓

      古       证券交易                的      证券的 值毓

               1    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          或证券发           机构         发生影响证券             格的         大          的      最    交
易        的              收盘               值      如最        交易              济     境发生了               大      或证券
发        机构发生影响证券                   格的         大          的         参考类似投资品种的
     大            因素        调整最        交易               确          允    格
           该 交易                      净 交易的债券按 值 第 方                         值机构提供的相 品种的净

           值 毓

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           详 交易                        净 交易的债券按 值 收盘                         或第 方 值机构提供的相

品种             的 值全               去债券收盘 或 值全 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     或第 方 值机构提供的相 品种                                的 值全           去债券收盘 或 值全 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       场的非固 收益类                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                                                    第 方       值机

构提供的 格数据 值 毓

      4          基金投资股指期                        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

      旨         基金投资 债期                             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 毓

      绩              资 按法律法规或监管机构                     规               值 毓

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

       机制               确保基金 值的               性        体处理原           操作规 遵循相 法律法规                    监

管部门 自律规 的规                        毓

      8 如 确凿证据表明按 述方法                                  值 能                          允 值的 基金管理人

     据 体情况 基金托管人商                            按最能               允     值的方法 值 毓

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      9 相 法律法规                监管部门 强制规 的                     规      如        增             按 家最

规         值 毓

      如基金管理人或基金托管人发 基金 值                           基金          明的 值方法 程序                   相

法律法规的规 或者 能充                    维 基金份额            人利益时        立即通知 方                      查明原

因         方 商解          毓

           据      法律法规 基金资             净值 算和基金               算的义           基金管理人

基金的基金                任方 基金管理人 任 因                    就      基金        的              题        如 相

各方在 等基础 充                   论          无法              的意     的 基金管理人向基金托管人

     盖 章的书面说明               按照基金管理人 基金资 净值的 算结果                                              毓

      四         值程序毓

      古 基金份额净值是按照 个工作                               基金资 净值除               基金份额的余额数

       算 精确到 口.口口古 元 小数点 第 4                  四舍五入        家另 规 的                       规      毓

      基金管理人 个工作                   算基金资 净值 基金份额净值 并按规                            告 毓

      该 基金管理人              个工作        基金资           值 但基金管理人 据法律法规或 基金

     的规 暂停 值时除                   基金管理人 个工作               基金资      值       将基金份额净值结

果发 基金托管人                  基金托管人复 无误                 基金管理人                    毓

      五         值错误的处理毓

      基金管理人和基金托管人将采 必要                               理的措施确保基金资                     值的准确性

     时性        基金份额净值小数点            详     内进含第 详        远发生 值错误时 视 基金份额净

值错误 毓

           基金      的          人 按照              处理 毓

      古        值错误类型毓

           基金 作过程中 如果                  基金管理人或基金托管人 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             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

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     时          更      因更        值错误发生的 用                  值错误 任方                             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

赔偿 任 若 值错误 任方                              极 调 并                            义 的         人 足够的时间

更        而 更                             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

            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 假设 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 需要修改基金登 机构交易数据的                                       基金登      机构

          更       并就 值错误的更 向                           人             确认 毓

       4         基金份额净值 值错误处理的方法如                          毓

            古 基金份额净值 算                错误时 基金管理人                        立即      纠     通 基金托管人

并采             理的措施       损失               扩大 毓

            该 错误偏差 到基金份额净值的 口.该旨还时 基金管理人                                  通 基金托管人并               中

     证监 备案 错误偏差 到基金份额净值的 口.旨还时                                    基金管理人             告 毓

            详 前述内容如法律法规或监管机 另 规 的                                        规 处理 毓

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             暂停 值的情形毓

      古    基金投资                 的证券 期 交易 场遇法 节假                  或因      原因暂停营业时 毓

      该    因           力 使基金管理人 基金托管人无法准确评 基金资                          值时 毓

      详     前         值 基金资 净值 旨口还              的资           无     参考的活跃 场 格 采用

值     术 导           允 值 在           大 确 性时                 基金托管人 商          的 基金管理人

     暂停基金 值 毓

      4      基金相            例的投资品种的 值                  大转         而基金管理人 保障投资人的利

益                           值 如果             基金管理人认 属 紧急 故的任何情况 导                基金管理

人     能        或评 基金资 时 毓

      旨    中 证监 和基金                  认     的 它情形 毓

      七     基金净值的确认毓

      用     基金信息披露的基金资                 净值和基金份额净值 基金管理人负               算 基金托管

人负             复          基金管理人             个开    交易结               算     的基金资 净值和基金

份额净值并发 给基金托管人 基金托管人 净值 算结果复 确认 发 给基金管理人

     基金管理人 基金净值                            毓

             特殊情形的处理毓毓

      古 基金管理人或基金托管人按 值方法的第 8                                   值时         的误差 作 基

金资         值错误处理 毓毓

      该                     力原因 或             证券 期 交易           登     机构发 的数据错误 基金管

理人和基金托管人虽然                   采 必要                    理的措施        检查 但 能发       错误的

             的基金资           值错误 基金管理人和基金托管人免除赔偿 任 但基金管理人

基金托管人                   极采 必要的措施 除或 轻                           的影响 毓


                                       十           基金的 用 税收毓

                 基金 用的种类毓

      古    基金管理人的管理                毓

      该    基金托管人的托管                毓

      详      基金             生效         基金相 的信息披露 用 毓

      4       基金             生效         基金相 的           师       律师         仲裁 和 讼      毓

      旨    基金份额           人大         用 毓

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      绩       基金的证券 期 交易 用 毓

      绪       基金的银 汇               用 毓

      8        基金的相           户的开户 维                    用 毓

      9        按照 家            规 和 基金                                   在基金       中 支的          用 毓

                    基金 用 提方法                         提标准和支 方式毓

      古       基金管理人的管理                毓毓

           基金的管理 按前                      基金资 净值的 古.旨还           率       提 管理 的 算方法如          毓

      读       寸贸古.旨还杂            数毓

      读                      提的基金管理 毓

      寸       前         的基金资 净值毓

      基金管理                     算 逐 累                                按 支            基金托管人 据 基金管

理人                     的      数据 自 在 初 旨 个工作 内 按照指 的 户路                                 资金支

基金管理人无需                     资金               指         若遇法 节假        休息 或         力 使无法按时

支        的              最       支            支         毓

      该       基金托管人的托管 毓

           基金的托管 按前                      基金资 净值的 口.该旨还的            率 提 托管 的 算方法如

      毓

      读       寸贸口.该旨还杂           数毓

      读                      提的基金托管 毓

      寸       前         的基金资 净值毓

      基金托管                     算 逐 累                                按 支            基金托管人 据 基金管

理人                     的      数据 自 在 初 旨 个工作 内 按照指 的 户路                                 资金支

基金管理人无需                     资金               指         若遇法 节假        休息 或         力 使无法按时

支        的              最       支            支         毓

           述                 基金 用的种类中第 详 9                      用        据      法规 相          规      按

     用         支 金额 入 期                    用         基金托管人 基金          中支      毓

                          入基金 用的 目毓

                    用          入基金 用 毓

      古 基金管理人和基金托管人因 履 或                                   全履 义    导 的 用支 或基金               的

损失 毓

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      该    基金管理人和基金托管人处理 基金 作无 的                                   发生的 用 毓

      详     基金          生效前的相             用 毓

      4          据相 法律法规 中 证监 的                               规       得 入基金 用的 目 毓

           四 基金税收毓

           基金 作过程中             的各纳税 体               纳税义 按              家税收法律 法规执               毓

           五 基金管理 和基金托管 的调整毓

      在法律法规允许的                     基金管理人和基金托管人                      商 情降 基金管理               和基

金托管              调整 需要基金份额                    人大             通过 基金管理人必 最                        的

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


                                     十四 基金的收益                                   毓

              基金利润的构 毓

      基金利润指基金利息收入 投资收益                          允 值            收益和         收入扣除相             用

的余额 基金              收益指基金利润 去 允 值                               收益 的余额 毓

              基金 供           利润毓

      基金 供           利润指截 收益              基准 基金                    利润             利润中               收益

的孰 数 毓

              基金收益          原 毓

      古 在符           基金 红            的前提               基金           收益           数最多        4         份基

金份额         收益             例    得        收益            基准           份基金份额              供          利润的

详口还 若 基金             生效 满 详 个                           收益          毓

      该     基金收益       方式           种      金 红 红利 投资 投资者 选                                    金红利或将

     金红利自 转 基金份额                    投资 若投资者 选                          基金默认的收益               方式是

     金 红 毓

      详 基金收益           基金份额净值 能                        面值 即基金收益             基准 的基金份额净

值    去         基金份额收益              金额          能         面值 毓

      4         基金份额             等             毓

      旨    法律法规或监管机 另 规 的                              规     毓

           四 收益       方案毓

      基金收益          方案中 载明截 收益                     基准 的 供                   利润 基金收益                  象

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       时间              数额       例              方式等内容 毓

          五 收益           方案的确                  告             施毓

          基金收益          方案 基金管理人拟                          并 基金托管人复                   依照 信息披露       法

的        规 在指 媒                告 毓

     基金红利发             距离收益                基准             即 供          利润 算截                   的时间 得超过

古旨 个工作         毓

               基金收益             中发生的 用毓

     基金收益              时 发生的银              转 或              手续 用 投资者自                               投资者的

金红利小                 金额       足       支 银 转 或                     手续 用时 基金登 机构                      将基金份

额        人的 金红利自 转                   基金份额 红利 投资的 算方法 依照 业 规                                        执     毓


                                         十五 基金的                                             毓

               基金              策毓

     古     基金管理人             基金的基金                任方 毓

     该 基金的                           历         的古        古          古该    详古         基金首    募 的                 按

如     原      如果 基金                     生效少        该个                    并入          个             披露 毓

     详     基金 算 人民                                              人民 元                         毓

     4             制 执           家                制      毓

     旨       基金独立建                独立 算 毓

     绩     基金管理人 基金托管人各自保留 整的                                          目      凭证并          常的         算

按照          规 编制基金                    表 毓

     绪 基金托管人                    基金管理人就基金的                           算           表编制等              并 书面方

式确认 毓

               基金的                   毓

     古 基金管理人聘请 基金管理人 基金托管人相 独立的                                                 证券 期 相 业 资

格的          师                 注            师          基金的                          表              毓

     该            师           更换          注           师                      得基金管理人 意 毓

     详 基金管理人认                  充足理        更换             师                    通 基金托管人 更换               师

       需依照 信息披露 法                    的       规 在指 媒                     告 毓

     毓

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                                            十           基金的信息披露毓

                       基金的信息披露 符                 基金法             作 法                信息披露 法                    基

金                              规       相 法律法规               信息披露的规 发生                时          基金                最

     规         毓
                     信息披露义 人毓
           基金信息披露义 人包括基金管理人 基金托管人                                 召 基金份额               人大           的基
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
           基金信息披露义 人 保                    基金份额            人利益               发点 按照法律法规和中
     证监 的规 披露基金信息 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

           基金信息披露义 人                   在中 证监 规 时间内                    将      披露的基金信息通过中

     证监 指 的全 性 刊                            简        指        刊       指         联网网站             简             指

网站        等媒 披露 并保证基金投资者能够按照 基金                                           的时间和方式查阅或者

复制 开披露的信息资料 毓

                       基金信息披露义 人                     开披露的基金信息               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

      详         规           收益或者       损失 毓

      4         诋毁          基金管理人 基金托管人或者基金                     机构 毓

      旨        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          基金 开披露的信息 采用中文文                         时采用 文文 的 基金信息披露

义        人 保证              文 的内容                     文 之间发生 义的                 中文文            准 毓

           基金 开披露的信息采用阿拉 数                            除特别说明                            人民 元 毓

           五          开披露的基金信息毓

           开披露的基金信息包括 毓

      古        基金招募说明书              基金              基金托管               基金 品资料概要毓

           古        基金            是界        基金                  人的各         利 义         系 明确基金份额

          人大 召开的规                  体程序 说明基金 品的特性等                         基金投资者 大利益的

     的法律文            毓

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           该 基金招募说明书                 最大限 地披露影响基金投资者 策的全部                说明基金

认购            购和赎回 排 基金投资 基金 品特性 风险揭示 信息披露 基金份额

人服 等内容                 基金            生效         基金招募说明书的信息发生 大 更的         基金管理

人         在 个工作 内 更                  基金招募说明书并登载在指 网站            基金招募说明书

信息发生 更的 基金管理人 少                              更         基金      作的 基金管理人         更

基金招募说明书 毓

           详 基金托管             是界 基金托管人和基金管理人在基金                保管 基金 作监督等

活        中的 利 义               系的法律文         毓

           4 基金 品资料概要是基金招募说明书的摘要文                         用 向投资者提供简明的基金

概要信息             基金            生效          基金 品资料概要的信息发生 大 更的 基金管理人

          在 个工作 内 更 基金 品资料概要 并登载在指 网站 基金                                  机构网站或

营业网点 基金 品资料概要                           信息发生 更的 基金管理人 少            更          基金

           作的 基金管理人                  更 基金 品资料概要 毓

      基金募             请 中 证监 注                     基金管理人在基金份额发 的 详     前 将基金招

募说明书             基金            摘要登载在指 媒                基金管理人 基金托管人         将 基金

                基金托管           登载在网站         毓

      该       基金份额发           告毓

      基金管理人             就基金份额发 的 体                    编制基金份额发    告 并在披露招募说

明书的             登载 指 媒                 毓

      详          基金        生效 告毓

      基金管理人             在收到中 证监 确认文 的                    在指 媒      登载 基金          生

效        告 毓

      4        基金净值信息毓

           基金             生效           在开始 理基金份额 购或者赎回前 基金管理人                  少

周        告       基金资 净值和基金份额净值 毓

      在开始 理基金份额 购或者赎回                            基金管理人     在 晚     个开      的

通过指 网站 基金                     机构网站或者营业网点披露开              的基金份额净值和基金份额累

     净值 毓

      基金管理人             在 晚                  和        最      的      在指 网站披露           和

     最            的基金份额净值和基金份额累 净值 毓

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      旨        基金份额 购 赎回 格毓

      基金管理人                在 基金                招募说明书等信息披露文                        载明基金份额            购

赎回 格的 算方式                               购 赎回 率 并保证投资者能够在基金                                 机构网站或营

业网点查阅或者复制前述信息资料 毓

      绩        基金 期 告 包括基金                        告 基金中期 告和基金季                         告毓

      基金管理人                在          结 之 起 个 内 编制                        基金              告 将               告登

载在指 网站                    并将            告提示性 告登载在指                刊          基金               告的

     告            过          证券 期         相 业 资格的           师                       毓

      基金管理人                在           结    之 起 个 内 编制                     基金中期 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

      基金管理人                在季 结 之 起 古旨 个工作 内 编制                             基金季             告 将季

告登载在指 网站                       并将季       告提示性 告登载在指                  刊          毓

           基金                生效 足 2 个        的 基金管理人                  编制 期季                   告 中期        告或

者               告 毓

           基金 续 作过程中                        在基金           告和中期           告中披露基金                 资 情况

     流 性风险 析等 毓

      基金 作期间 如 告期内                                投资者          基金份额 到或超过基金总份额 该口还

的情形             保障         投资者的 益 基金管理人 少                         在基金 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          基金的特        风险 中 证监 认 的特殊情形除                              毓

      绪        临时 告毓

           基金发生 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 基金份额               人 益或者基金份额的 格 生                              大影

响的                     毓

           古 基金份额                 人大 的召开            的            毓

           该       基金                       基金清算 毓

           详 转换基金 作方式 基金 并 毓

           4 更换基金管理人 基金托管人 基金份额登 机构 基金改聘                                                    师             毓

           旨 基金管理人 托基金服                   机构           理基金的份额登                    算          值等         基

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金托管人 托基金服 机构                               理基金的 算                 值 复 等            毓

           绩 基金管理人 基金托管人的法                                           发生    更 毓

           绪 基金管理人 更                          之五          股 的股东 基金管理人的                       制人     更 毓

           8 基金募 期 长或提前结 募                               毓

           9 基金管理人的高 管理人员 基金 理和基金托管人 门基金托管部门负                                              人发

生            毓

           古口 基金管理人的董 在最                    古该 个 内 更超过                  之五十 基金管理人 基金托

管人 门基金托管部门的 要业 人员在最                                     古该 个 内        超过      之 十 毓

           古古           基金            基金管理业               基金托管业 的 讼或仲裁 毓

           古该 基金管理人或 高 管理人员 基金 理因基金管理业 相                                                  到    大

     处罚                处罚 基金托管人或                  门基金托管部门负 人因基金托管业 相

到     大          处罚            处罚 毓

           古详 基金管理人 用基金                     买 基金管理人 基金托管人                            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 基金收益                         毓

           古旨 基金管理                基金托管             购          赎回 等          用 提标准         提方式和 率

发生 更 毓

           古绩 基金份额净值               错误 基金份额净值                          之零点五 毓

           古绪          基金开始 理 购              赎回 毓

           古8           基金发生巨额赎回并 期 理 毓

           古9           基金 续发生巨额赎回并暂停接 赎回 请或 缓支 赎回款                                       毓

           该口          基金暂停接        购        赎回 请或              接          购 赎回 请 毓

           该古          基金           业 或服         毓

           该该 发生             基金 购 赎回                调整或潜在影响投资者赎回等 大                       时 毓

           该详          基金管理人采用摆                   机制            值 毓

           该4 基金信息披露义 人认                          能 基金份额                 人 益或者基金份额的 格 生

     大影响的                    或中 证监 规 的                                 毓

      8      澄清 告毓

      在          基金             续期限内          任何          媒 中              的或者在 场 流 的 息             能

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基金份额 格 生误导性影响或者引起较大波                                               能损害基金份额             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      基金份额         人大              毓

      基金份额              人大           的                      依法 中 证监 备案 并                         告 毓

      古口    清算 告毓

      基金                  的 基金管理人                   依法        基金         清算小        基金             清算并

作     清算 告 基金                 清算小                  将清算 告登载在指 网站                      并将清算 告提示

性     告登载在指            刊       毓

      古古    中 证监 规 的                     信息 毓

      基金管理人 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 并充

     揭示股指期 交易 基金总体风险的影响                                 是否符 既 的投资 策和投资目标等 毓

      基金管理人 在季                 告 中期 告                         告等 期 告和招募说明书 更                       等

文     中披露 债期 交易情况 包括投资 策                                        情况 损益情况 风险指标等 并充

     揭示 债期 交易 基金总体风险的影响                                  是否符 既 的投资 策和投资目标等 毓

      基金管理人 在基金                         中期 告中披露                   的资 支 证券总额 资 支 证

券     值 基金净资 的 例和 告期内                                  的资 支      证券明         基金管理人         在基金季

       告中披露              的资 支 证券总额 资 支 证券 值 基金净资 的                                           例和 告

期     按 值 基金净资                 例大小排序的前 古口               资 支 证券明               毓

                   信息披露         管理毓

      基金管理人 基金托管人                          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

      基金信息披露义 人 开披露基金信息                                   符 中         证监 相 基金信息披露内容
     格式准 等法律法规规                   毓

      基金托管人             按照相 法律法规 中 证监 的规                              和 基金             的            基

金管理人编制的基金资 净值 基金份额净值 基金份额 购赎回 格 基金                                                    期 告

更     的招募说明书 基金 品资料概要 基金清算 告等 开披露的相 基金信息                                                    复

             查 并向基金管理人                  书面或电子确认 毓

      基金管理人 基金托管人                          在指          刊中选       家     刊披露 基金信息 基金管理

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工银瑞信总回         灵活    置混    型证券投资基金                                                   更    的招募说明书


人     基金托管人              向中 证监 基金电子披露网站                        拟披露的基金信息 并保证相

       信息的真             准确          整         时 毓

      基金管理人 基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      指 媒       披露信息 并 在                 媒     披露

       信息的内容                         毓

           基金信息披露义 人 开披露的基金信息                                     告 法律意 书的 业机构

       制作工作 稿 并将相                      档案 少保 到 基金                           古口      毓

      基金管理人 基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          影响基金 常投资操作的

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 基金           中 支 毓

           七 信息披露文 的                          查阅毓

      依法必 披露的信息发                            基金管理人 基金托管人               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     基金管理人和基金托管人 暂

停或             披露基金相 信息 毓

      古              力 毓

      该        基金投资            的证券 期 交易 场遇法 节假                     或因           原因暂停营业时 毓

      详          基金管理人认 属                    导 基金管理人 能             或评 基金资 的紧急               故的

任何情况 毓

      4         法律法规 基金              或中       证监 规 的情况 毓

           九        基金信息披露                    法律法规规           基金                的内容 准 毓


                                               十七 基金的风险揭示毓

           基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 操作风险                基金特 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 而操作风险

       建立 效的内 体系                        管理 毓

      古        证券 场风险毓

           古       场风险毓

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工银瑞信总回           灵活    置混   型证券投资基金                                                更    的招募说明书


      证券 场 格因 各种因素的影响而引起的波                                将使 基金资 面临潜在的风险

     基金的 场风险来源 基金                      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 债券基金跌破面值 基金投资 股票和债券                              收益水             到利率       的影响

     而 生风险 在利率波 时                       基金的净值波             般 高                场基金 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

           旨 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              基金          投资者大额赎回         使 基金没 足够的 金                   基金赎回支        的要求

引     的风险 毓

           绩 操作风险毓

      基金 作过程中 因内部 制                     在缺 或者人 因素                  操作失误或           操作规程等引

     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

           绪          风险毓

      战         自然灾害等              力因素的              将          影响证券 场的                   能导 基金

资     的损失 金融 场 机                      理商           托管         等超 基金管理人自身直接 制能力

之     的风险           能导 基金或者基金份额                  人利益      损 毓

      该        基金特 风险毓

           古     基金是混 型基金 股票资                      基金资 的 例 口还–9旨还              个交易           在

扣除股指期                       债期           需缴纳的交易保证金                   保             基金资 净值的

旨还的 金或到期 在                      内的 府债券           基金管理人将发挥 业研究 势                    强     场

                基 面和固 收益类 品的深入研究                        续               置          制特     风险 毓

           该      基金        参 股票 购                股票发        策 发        机制等影响 股发 的因素

      将影响 基金的资                   置      而影响 基金的风险收益水                   另      发 股票的

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例 中签率的 确 性 或                          发 方式的 确 性 也 能使 基金面临更多的 确 因

素 毓

           详      基金        投资股指期          股指期     采用保证金交易制                      保证金交易

杆性                    利 情时 股 指数微小的                      就 能 使投资人 益遭 较大损失 股指

期     采用            无负债结算制           如果没 在规 的时间内补足保证金 按规 将被强制

     能给投资带来 大损失 毓

           4       基金        投资 债期             债期     采用保证金交易制                      保证金交易

杆性            相 期限 债收益率                    利      时       能    导 投资人 益遭 较大损失                       债

期     采用            无负债结算制           如果没 在规 的时间内补足保证金 按规 将被强制

     能给投资带来 大损失 毓

      3          基金 要的流 性风险                风险管理方法说明

           1 基金 购 赎回 排毓

           基金将 强 开 式基金                     购 节的管理            理 制基金份额             人 中           慎确

认大额 购 请 在 接                           购 请          基金份额            人利益构 潜在 大            利影响时

基金管理人将采                设          投资者     购金额        限或基金          净   购   例    限           大额

购     暂停基金 购等措施 基金规模                           制            保           基金份额       人的 法 益

           该 流 性风险评 毓

           基金 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        基金的投资和             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              基金投资           述资      时     能 在           流 性风险             是基金管理人建 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 基金被迫                       的 格              股票 债券或          资           者均

能使基金净值 到 利影响                        据         开募 开 式证券投资基金流 性风险管理规

的相 要求               基金          慎评        投资资 的流 性 并针 性制 流 性风险管理措施

     效 制 基金流 性风险                     保 基金投资者的 法                益 毓

           3 巨额赎回情形 的流 性风险管理措施毓

      在        基金          巨额赎回情形          基金管理人             据基金 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 基金 个基金份额                    人在 个

开              请赎回基金份额超过基金总份额                        例         的 基金管理人                采      期

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理赎回 请的措施

           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

           基金 能 施备用的流 性风险管理工                                     更好地       流 性风险 基金管理人

     基金托管人 商 在确保投资者得到                                     的前提            依照法律法规 基金             的

      综         用各类流 性风险管理工                           赎回 请等                  调整 作 特           情形 基金

管理人流 性风险管理的辅                      措施 包括但 限                    1        期 理巨额赎回 请 2 暂停接

     赎回 请 3                缓支 赎回款                4 收 短期赎回                    基金       续        期少 7        的

投资者收                      1.5%的赎回            5        暂停基金    值         前      值   基金资 净值50%

的资             无 参考的活跃               场 格 采用 值 术                      导      允 值 在 大           确 性时

          基金托管人 商                      基金            暂停基金 值

           基金管理人 施流 性风险管理工 时                                能 投资者                  的潜在影响 包括但

     限         能    购       品 赎回            请 能确认或者赎回款                      到    如        期限少       7

     生较高的赎回                收益损失等 提示投资者了解自身的流 性偏好                                 理做好投资 排 毓


                     十         基金               的 更                           基金          的清算毓

                      基金            的 更毓

      古        更基金                 法律法规规 或基金                                  基金份额        人大          通过

的         的         召开基金份额              人大             通过                     基金份额        人大          通过

的               基金管理人和基金托管人 意                         更并 告 并 中 证监 备案 毓

      该               基金                更的基金份额                人大                 中 证监 备案 自表 通

过之 起生效                    生效 依照 信息披露 法 的                             规 在指 媒             告 毓

                      基金            的                毓

                 情形之 的                 基金                           毓

      古       基金份额         人大                     的 毓

      该 基金管理人 基金托管人职                                  在绩个 内没             基金管理人           基金托管人

接的 毓

      详        基金                   的         情形 毓

      4        相 法律法规和中 证监                 规 的              情况 毓

                 基金          的清算毓

      古       基金        清算小          自            基金                           之 起详口个工作 内 立基金



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     清算小             基金管理人               基金             清算小 并在中 证监 的监督                                 基金清算 毓

      该        基金          清算小                基金                 清算小              员 基金管理人 基金托管人

          证券 期 相 业 资格的注                                    师 律师                      中 证监 指 的人员                  基金

     清算小              聘用必要的工作人员 毓

      详        在基金         清算过程中 基金管理人和基金托管人                                       各自履 职           继续忠      勤

勉               地履 基金             和托管            规 的义                       维        基金份额        人的 法      益 毓

      4         基金          清算小 职             基金                 清算小 负 基金                       的保管 清理

     和           基金          清算小                  依法                 必要的民            活     毓

      旨        基金          清算程序 毓

           古          基金                  情形            时              基金            清算小 统 接管基金 毓

           该          基金         和债 债                  清理和确认 毓

           详          基金                  值和                  毓

           4 制作清算 告 毓

           旨 聘请             师                清算 告                          部              聘请律师            清算 告          法

律意 书 毓

           绩 将清算 告 中 证监                         备案并 告 毓

           绪          基金剩余                              毓

      绩        基金          清算的期限 绩个                 毓
           四 清算 用毓

      清算 用是指基金                       清算小 在                        基金清算过程中发生的                    理 用 清算

用        基金          清算小                   基金剩余                    中支           毓

           五 基金              清算剩余资              的              毓

      依据基金                 清算的            方案 将基金                        清算 的全部剩余资 扣除基金                      清算

     用 交纳             税款并清偿基金债                          按基金份额                     人         的基金份额 例                 毓

                  基金          清算的 告毓

      清算过程中的                     大                时 告 基金                              清算 告           证券 期 相 业

     资格的             师                  并 律师                                 法律意 书                中 证监 备案并 告

基金             清算 告 基金                    清算 告 中 证监 备案                                  旨 个工作 内 基金            清算

小                告 基金              清算小                     将清算 告登载在指 网站                           并将清算 告提示

性        告登载在指            刊          毓

           七 基金              清算              文 的保 毓

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工银瑞信总回          灵活    置混    型证券投资基金                                                            更    的招募说明书


      基金            清算                  文       基金托管人保            古旨                毓


                                      十九 基金                        的内容摘要毓

      基金            的内容摘要                     毓


                                      十 基金托管                           的内容摘要毓

      基金托管               的内容摘要                     毓


                                     十              基金份额                   人的服 毓

      基金管理人                     基金的份额             人提供 系 的服                      基金管理人将 据基金份额

       人的需要和                 情况 增 或修改                 体内容如            毓

                            基金 户确认毓

              向首 开立基金            户的       户寄           基金 户确认书                             获得投资人准确的邮寄

地址          基金 户确认书 将在 户开户 古旨个工作                              内寄            毓

      在基金募 期间 开户的 户                               将 基金            生效 的古旨个工作 内寄                           基金

户确认书         毓

                                   服 毓

        古            的网站 热线电话提供                        自      载服             毓

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      古详    按 基金                 的          确 基金收益        方案            时向基金份额             人        基金

收益 毓

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

      古旨    依据 基金法                  基金                      规 召           基金份额          人大 或           基

金托管人 基金份额                     人依法召 基金份额              人大            毓

      古绩    按规 保 基金                  管理业 活 的                             表        录和      相 资料 古旨

              毓

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

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

     理       的             得到          资料的复         毓

      古8            并参 基金              清算小        参 基金              的保管 清理&nbs