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新华优选成长混合(519089)

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投资类型:混合型 成立日期:2008-07-25 管理人:新华基金... 基金经理:栾超
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基金公告

新华成长:2012年年度报告摘要

公告日期:2013-03-30

新华优选成长股票型证券投资基金
        2012 年年度报告
           2012 年 12 月 31 日




     基金管理人:新华基金管理有限公司
     基金托管人:中国农业银行股份有限公司
     报告送出日期:二〇一三年三月三十日
                                                    新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

                                       §1 重要提示及目录


    1.1   重要提示


    基金管理人的董事会、董事保证本报告所载资料不存在虚假记载、误导性陈述或重大遗漏,并对

其内容的真实性、准确性和完整性承担个别及连带的法律责任。本年度报告已经全部独立董事签字同

意,并由董事长签发。

    基金托管人中国农业银行股份有限公司根据本基金合同规定,于 2013 年 3 月 28 日复核了本报告

中的财务指标、净值表现、利润分配情况、财务会计报告、投资组合报告等内容,保证复核内容不存

在虚假记载、误导性陈述或者重大遗漏。

    基金管理人承诺以诚实信用、勤勉尽责的原则管理和运用基金资产,但不保证基金一定盈利。

    基金的过往业绩并不代表其未来表现。投资有风险,投资者在作出投资决策前应仔细阅读本基金

的招募说明书及其更新。

    本年度报告摘要摘自年度报告正文,投资者欲了解详细内容,应阅读年度报告正文。

    本报告中财务资料已经审计。

    本报告期自 2012 年 1 月 1 日起至 12 月 31 日止。




                                                1
                                                    新华优选成长股票型证券投资基金 2012 年年度报告[摘要]



                                          §2 基金简介


   2.1     基金基本情况


基金简称                                                                           新华优选成长股票
基金主代码                                                                                     519089
交易代码                                                                                       519089
基金运作方式                                                                       契约型开放式基金
基金合同生效日                                                                      2008 年 7 月 25 日
基金管理人                                                                    新华基金管理有限公司
基金托管人                                                                中国农业银行股份有限公司
报告期末基金份额总额                                                            2,867,866,675.83 份


   2.2     基金产品说明


                                在适度控制风险并保持良好流动性的前提下,优选具有成长性兼具
投资目标                        品质保障的上市公司为主要投资对象,力争持续地超越业绩比较基
                                准,为投资者实现超额收益。
                                本基金是股票型基金,选择具有成长性兼具品质保障的股票,因此
                                主要采取自下而上的主动投资管理策略。当然仅应用自下而上的策
投资策略                        略可能导致某行业股票集中度过高,行业配置不够分散,造成组合
                                非系统风险高。再考虑到国内系统风险高,因此有必要辅助以适当
                                的资产配置和行业配置策略进行调整。
业绩比较基准                    80%×沪深 300 指数+20%×上证国债指数
                                高风险高收益品种,预期风险和收益均高于混合型基金、债券型基
风险收益特征
                                金


   2.3     基金管理人和基金托管人


           项目                        基金管理人                             基金托管人
名称                      新华基金管理有限公司                   中国农业银行股份有限公司
             姓名         齐岩                                   李芳菲
信息披露
             联系电话     010-88423386                           010-66060069
负责人
             电子邮箱     qiyan@ncfund.com.cn                    lifangfei@abchina.com
客户服务电话              4008198866                             95599
传真                      010-88423310                           010-63201816


   2.4     信息披露方式


登载基金年度报告正文的管理人互联网网址               www.ncfund.com.cn


                                                2
                                                        新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

基金年度报告备置地点                                     基金管理人、基金托管人的办公地


                          §3 主要财务指标、基金净值表现及利润分配情况


    3.1    主要会计数据和财务指标


                                                                                       金额单位:人民币元

  3.1.1 期间数据和指标               2012 年                     2011 年                      2010 年
本期已实现收益                      -446,566,085.09               107,747,558.54              103,833,258.27
本期利润                              54,180,276.56              -569,202,745.68               86,767,636.83
加权平均基金份额本期利
                                               0.0173                      -0.3700                      0.0486

本期基金份额净值增长率                          4.04%                    -17.15%                        3.42%
  3.1.2 期末数据和指标              2012 年末                   2011 年末                 2010 年末
期末可供分配基金份额利
                                               0.1018                      0.4366                       0.4653

期末基金资产净值                    3,446,255,523.18            3,172,710,295.94          2,361,519,744.69
期末基金份额净值                               1.2017                      1.4366                       1.7340
    注:1、本期已实现收益指基金本期利息收入、投资收益、其他收入(不含公允价值变动收益)扣

除相关费用后的余额,本期利润为本期已实现收益加上本期公允价值变动收益;

    2、以上所述基金业绩指标不包括持有人认购或交易基金的各项费用(例如基金申购费赎回费等),

计入费用后实际收益水平要低于所列数字。

    3、对期末可供分配利润,采用期末资产负债表中未分配利润与未分配利润中已实现部分的孰低数

(为期末余额,不是当期发生数)。


    3.2    基金净值表现


    3.2.1 基金份额净值增长率及其与同期业绩比较基准收益率的比较
                             份额净值增                      业绩比较基准
                份额净值                  业绩比较基
    阶段                     长率标准差                      收益率标准差        ①-③           ②-④
                增长率①                  准收益率③
                                 ②                              ④
过去三个月          4.98%        1.16%            8.18%              1.02%           -3.20%             0.14%
过去六个月          0.66%        1.15%            2.46%              0.99%           -1.80%             0.16%
过去一年            4.04%        1.22%            7.04%              1.02%           -3.00%             0.20%
过去三年          -10.86%        1.32%          -21.86%              1.11%           11.00%             0.21%
自基金合同
                   90.56%        1.39%           -6.59%              1.43%           97.15%             -0.04%
生效起至今
    注:1、本基金股票投资部分的业绩比较基准采用沪深 300 指数,债券投资部分的业绩比较基准采用


                                                   3
                                                                                基金
                                                      新华优选成长股票型证券投资基 2012 年年度

        指数,复和业绩比较基准为 80%×沪深 300 指数++20%×上证国债指数。
上证国债指

                    绩比较基准采
          本基金对业绩
       2、本                  采用每日再平衡的计算方法

                      生效以来基金
      3.2.2 自基金合同生                  净值增长率变
                                金份额累计净                     较基准收益率
                                                       同期业绩比较



                                          成长股票型证
                                  新华优选成

                                值增长率与业
                      份额累计净值        业绩比较基准 史走势对比图

                             (20008 年 7 月 2 日至 2012 年 12 月 31 日)




           基金于 2008 年 7 月 25 日基金合同生
     注:本基                               生效。
                      生效以来基金
      3.2.3 自基金合同生                  增长率及其与
                                金每年净值增                     益率的比较
                                                       比较基准收益

                                          成长股票型证
                                  新华优选成

                                来净值增长率
                    合同生效日以来        率与业绩比较           比图
                                                       率的柱形对比




                                                  4
                                                                             基金
                                                   新华优选成长股票型证券投资基 2012 年年度




        基金于 2008 年 7 月 25 日基金合同生效,合同生
  注:本基                                                     计算,不按整个
                                                     实际存续期计
进行折算。


    3.3 过           配情况
           金的利润分配


                                                                               金额单位:人民币元
                 基金
           每10份基
  年度                   现金形
                             形式发放总额     再投资形 额                    润分配合计
                                                                       年度利润                  备注
                 红数
           份额分红
  2012           3.000      6334,973,874.76          472,051,910.12      1,1077,025,784.88   -
  2010           3.500      2993,076,972.93          285,475,778.880      5788,552,751.73    -
  合计           6.500      9228,050,847.69          757,527,688.992     1,6855,578,536.61   -


                                        §4 管理人报


    4.1           人及基金经理
          基金管理人        理情况


                             金的经验
   4.1.1 基金管理人及其管理基金

        基金管理有限
    新华基                  国证券监督管
                  限公司经中国        管理委员会批 20004 年 12 月 9 日注册成立

                  部首家基金管
为重庆市,是我国西部        管理公司。

                              新华基金管理有限公司旗下
    截至 2012 年 12 月 31 日,新                                 金,即新华优
                                                       只开放式基金

        投资基金、新
合型证券投                  长股票型证券
                  新华优选成长        券投资基金、           配置混合型证
                                                   源优势灵活配

        钻石品质企业
金、新华钻                  券投资基金、
                  业股票型证券        、新华行业周           资基金、新华
                                                   票型证券投资

                                               5
                                                  新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

优选股票型证券投资基金、新华灵活主题股票型证券投资基金、新华优选消费股票型证券投资基金和

新华纯债添利债券型发起式证券投资基金。

   4.1.2 基金经理(或基金经理小组)及基金经理助理的简介
                         任本基金的基金经理(助
                                                       证券从业
     姓名         职务           理)期限                                         说明
                                                         年限
                          任职日期       离任日期
                本基金
                                                                    经济学硕士,2007 年加入新华
                经理、
                                                                    基金管理有限公司,历任行业
                新华行
                                                                    分析师;策略分析师及新华优
                业周期
                                                                    选成长股票型证券投资基金的
     何潇       轮换股   2012-07-30   -                    5
                                                                    基金经理助理。现任新华优选
                票型证
                                                                    成长股票型证券投资基金的基
                券投资
                                                                    金经理、新华行业周期轮换股
                基金基
                                                                    票型证券投资基金基金经理。
                金经理
                本基金
                经理、                                              经济学硕士,历任天津中融证
                新华泛                                              券投资咨询公司研究员、申银
                资源优                                              万国天津佟楼营业部投资经纪
                势灵活                                              顾问部经理、海融资讯系统有
                配置混                                              限公司研究员、和讯信息科技
                合型证                                              有限公司证券研究部、理财服
                券投资                                              务部经理、北方国际信托股份
    崔建波      基金基   2012-01-10   -                   17        有限公司投资部信托高级投资
                金 经                                               经理。现任新华基金管理有限
                理、新                                              公司基金管理部副总监,新华
                华优选                                              泛资源优势灵活配置混合型证
                消费股                                              券投资基金基金经理、新华优
                票型证                                              选成长股票型证券投资基金基
                券投资                                              金经理和新华优选消费股票型
                基金基                                              证券投资基金基金经理。
                金经理
                本基金                                              硕士,先后供职于广东发展银
                基金经                                              行海南证券业务部,任经理;
                理;新                                              广发证券公司海口海甸岛营业
                华中小                                              部,负责营业部管理并从事投
                市值优                                              资银行工作;广发证券公司投
    王卫东      选股票   2008-07-25   -                   19        资理财部和自营部,任经理;
                型证券                                              华龙证券有限责任公司投资理
                投资基                                              财总部,任总经理;青岛海东
                金基金                                              清置业有限公司,任总经理。
                经理;                                              现任新华基金管理有限公司副
                投资总                                              总经理、投资总监、新华优选

                                              6
                                                 新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

                 监;副                                            成长股票型证券投资基金基金
                 总经理                                            经理。
                                                                   经济学硕士,2007 年加入新华
                                                                   基金管理有限公司,历任行业
                                                                   分析师;策略分析师及新华优
                 本基金
                                                                   选成长股票型证券投资基金的
     何潇        经理助   2011-03-10   2012-07-30         5
                                                                   基金经理助理。现任新华优选
                 理
                                                                   成长股票型证券投资基金的基
                                                                   金经理、新华行业周期轮换股
                                                                   票型证券投资基金基金经理。
                 本基金
                                                                   经济学硕士,历任北京城市系
                 基金经
                                                                   统工程研究中心研究员。贲兴
                 理 助
                                                                   振先生于 2007 年加入新华基金
                 理、新
                                                                   管理有限公司,先后负责研究
                 华纯债
                                                                   煤炭、电力、金融、通信设备、
    贲兴振       添利债   2012-07-30   -                  5
                                                                   电子和有色金属等行业。现任
                 券型发
                                                                   新华纯债添利债券型发起式证
                 起式证
                                                                   券投资基金基金经理、新华优
                 券投资
                                                                   选成长股票型证券投资基金的
                 基金基
                                                                   基金经理助理。
                 金经理
    注:1、此处的任职日期和离任日期均指公司作出决定之日为准。

    2、证券从业的含义遵从行业协会《证券业从业人员资格管理办法》的相关规定。


    4.2   管理人对报告期内本基金运作遵规守信情况的说明


    本报告期,新华基金管理有限公司作为新华优选成长股票型证券投资基金的管理人按照《中华人

民共和国证券投资基金法》、《新华优选成长股票型证券投资基金基金合同》以及其它有关法律法规的

规定,本着诚实信用、勤勉尽责的原则管理和运用基金资产,在严格控制风险的基础上为持有人谋求

最大利益。运作整体合法合规,无损害基金持有人利益的行为。


    4.3   管理人对报告期内公平交易情况的专项说明


   4.3.1 公平交易制度和控制方法

    根据中国证监会颁布的《证券投资基金管理公司公平交易制度指导意见》(2011 年修订),公司制

定了《新华基金管理有限公司公平交易管理制度》。制度的范围包括境内上市股票、债券的一级市场申

购、二级市场交易等所有投资管理活动,同时包括授权、研究分析、投资决策、交易执行等投资管理

活动相关的各个环节。



                                             7
                                                   新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

    场内交易,投资指令统一由中央交易室下达,并且启动交易系统公平交易模块。根据公司制度,

严格禁止不同投资组合之间互为对手方的交易,严格控制不同投资组合之间的同日反向交易。

    场外交易中,对于部分债券一级市场申购、非公开发行股票申购等交易,中央交易室根据各投资

组合经理申报的满足价格条件的数量进行比例分配。如有异议,由中央交易室报投资总监、督察长、

金融工程部和监察稽核部,再次进行审核并确定最终分配结果。如果督察长认为有必要,可以召开风

险管理委员会,对公平交易的结果进行评估和审议。对于银行间市场交易、固定收益平台、交易所大

宗交易,投资组合经理以该投资组合的名义向中央交易室下达投资指令,中央交易室向银行间市场或

交易对手询价、成交确认,并根据“时间优先、价格优先”的原则保证各投资组合获得公平的交易机

会。

   4.3.2 公平交易制度的执行情况

    报告期内,基金管理人严格执行了《新华基金管理有限公司公平交易制度》的规定。

    基金管理人对旗下所有投资组合间连续 4 个季度的日内、3 日内以及 5 日内股票和债券交易同向交

易价差分析及相应情景分析表明:债券同向交易频率偏低;股票同向交易溢价率较高的因素主要是受

到市场因素影响造成个股当日价格振幅较大或者是组合经理个人对交易时机的判断,即成交价格的日

内变化较大以及投资组合的成交时间不一致而导致个别组合间的交易价差较大,结合通过对平均溢价

率、买入/卖出溢价率以及利益输送金额等不同组合不同时间段的同向交易价差分析表明投资组合间不

存在利益输送的可能性。

   4.3.3 异常交易行为的专项说明

       基金管理人原则上不允许同日反向交易行为的发生,本报告期内,未发生有投资组合参与的交易

所公开竞价同日反向交易成交较少的单边成交量超过该证券当日成交量的 5%的情况。


       4.4   管理人对报告期内基金的投资策略和业绩表现的说明


   4.4.1 报告期内基金投资策略和运作分析

    2012 年宏观经济形势正如我们所料,经济经历了最艰难的时期,开始逐渐步入复苏的通道,但有

些与我们预期不符的是,经济寻底的时间超过了我们的预期,在四季度,经济数据才逐渐好转。基于

以上对经济的判断,我们在仓位的调整上稍有欠缺,没取得理想业绩。新的一年中,我们将不断总结

经验、汲取教训,努力不断完善投研工作,取得更好的投资业绩、更好的为广大基金持有人服务。



   4.4.2 报告期内基金的业绩表现

    截至 2012 年 12 月 31 日,本基金份额净值为 1.2017 元,本报告期份额净值增长率为 4.04%,同期

                                               8
                                                   新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

比较基准的增长率为 7.04%。


    4.5   管理人对宏观经济、证券市场及行业走势的简要展望


    宏观角度看,最近几个月经济复苏势头愈加明朗:房地产投资和基建投资的合力作用使固定资产

投资增速稳步回升,明年是“十二五”的“中期审核年”,各地有加速建设规划项目的投资冲动,这有

助于固定资产投资的持续回升;社会消费品零售总额自 8 月份以来显著回升;11 月份出口数据略有反

复,但考虑到明年欧美和新兴国家整体向好的格局比较确定,今年出口形势好于去年。综合而言,当

前经济处于价稳量升的初步复苏阶段,今年延续复苏态势属大概率事件。

    今年上半年关注的核心是政策,下半年关注的核心是经济基本面。上半年经济延续温和复苏,政

策预期不断强化演变,有利于市场反弹延续。下半年政策实际效果将经历市场检验,基本面将再度成

为核心。全年的投资逻辑方面:以改革预期为纲,以新城镇化为目的,围绕改革预期把握投资节奏,

围绕新城镇化进行投资布局。投资机会上将把握经济结构转型的方向,在投资节奏上,上半年更多配

置政策鼓励发展的行业,下半年更多配置业绩确定性大的行业。




    4.6   管理人对报告期内基金估值程序等事项的说明


    4.6.1 有关参与估值流程各方及人员(或小组)的职责分工

    4.6.1.1 估值工作小组的职责分工

    公司建立估值工作小组对证券估值负责。估值工作小组由运作保障部负责人、基金会计、投资管

理部、中央交易室、监察稽核部人员组成。每个成员都可以指定一个临时或者长期的授权人员。

    估值工作小组职责:

    ① 制定估值制度并在必要时修改;

    ② 确保估值方法符合现行法规;

    ③ 批准证券估值的步骤和方法;

    ④ 对异常情况做出决策。

    运作保障部负责人是估值工作小组的组长,运作保障部负责人在基金会计或者其他两个估值小组

成员的建议下,可以提议召集估值工作小组会议。

    估值决策由估值工作小组 2/3 或以上多数票通过。



    4.6.1.2 基金会计的职责分工

                                               9
                                                 新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

    基金会计负责日常证券资产估值。基金会计和公司投资管理部相互独立。在按照本估值制度和相

关法规估值后,基金会计定期将证券估值表向估值工作小组报告,至少每月一次。

    基金会计职责:

    ① 获得独立、完整的证券价格信息;

    ② 每日证券估值;

    ③ 检查价格波动并进行一般准确性评估;

    ④ 向交易员或基金经理核实价格异常波动,并在必要时向估值工作小组报告;

    ⑤ 对每日证券价格信息和估值结果进行记录;

    ⑥ 对估值调整和人工估值进行记录;

    ⑦ 向估值工作小组报送月度估值报告。

    基金会计认为必要,可以提议召开估值工作小组会议。



    4.6.1.3 投资管理部的职责分工

    ① 接受监察稽核部对所投资证券价格异常波动的问讯;

    ② 对停牌证券、价格异常波动证券、退市证券提出估值建议;

    ③ 评价并确认基金会计提供的估值报告;

    ④ 向估值工作小组报告任何他/她认为可能的估值偏差。



    4.6.1.4 中央交易室的职责分工

    ① 对基金会计的证券价格信息需求做出即时回应;

    ② 通知基金会计关于证券停牌、价格突发性异常波动、退市等特定信息;

    ③ 评价并确认基金会计提供的估值报告。



    4.6.1.5 监察稽核部的职责分工

    ① 监督证券的整个估值过程;

    ② 确保估值工作小组制定的估值政策得到遵守;

    ③ 确保公司的估值制度和方法符合现行法律、法规的要求;

    ④ 评价现行估值方法是否恰当反应证券公允价格的风险;

    ⑤ 对于估值表中价格异常波动的证券向投资部问讯;

    ⑥ 对于认为不合适或者不再合适的估值方法提交估值工作小组讨论。

                                            10
                                                       新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

    4.7   管理人对报告期内基金利润分配情况的说明


    根据《证券投资基金法》、《证券投资基金运作管理办法》以及《新华优选成长股票型证券投资基

金基金合同》的有关约定,依据 2012 年 3 月 13 日本基金已实现的可分配利润,对权益登记在册的本

基金份额持有人分配现金红利,每 10 份基金份额分配 3 元,本次分红的权益登记、除权日为 2012 年 3

月 16 日,现金红利发放日为 2012 年 3 月 20 日。


                                        §5 托管人报告


    5.1   报告期内本基金托管人遵规守信情况声明


    在托管新华优选成长股票型证券投资基金的过程中,本基金托管人——中国农业银行股份有限公

司严格遵守《证券投资基金法》相关法律法规的规定以及《新华优选成长股票型证券投资基金基金合

同》、《新华优选成长股票型证券投资基金托管协议》的约定,对新华优选成长股票型证券投资基金管

理人——新华基金管理有限公司 2012 年 1 月 1 日至 2012 年 12 月 31 日基金的投资运作,进行了认真、

独立的会计核算和必要的投资监督,认真履行了托管人的义务,没有从事任何损害基金份额持有人利

益的行为。


    5.2   托管人对报告期内本基金运作遵规守信、净值计算、利润分配等情况的说明


    本托管人认为,新华基金管理有限公司在新华优选成长股票型证券投资基金的投资运作、基金资

产净值的计算、基金份额申购赎回价格的计算、基金费用开支、利润分配等问题上,不存在损害基金

份额持有人利益的行为;在报告期内,严格遵守了《证券投资基金法》等有关法律法规,在各重要方

面的运作严格按照基金合同的规定进行。


    5.3   托管人对本年度报告中财务信息等内容的真实、准确和完整发表意见


    本托管人认为,新华基金管理有限公司的信息披露事务符合《证券投资基金信息披露管理办法》

及其他相关法律法规的规定,基金管理人所编制和披露的新华优选成长股票型证券投资基金年度报告

中的财务指标、净值表现、收益分配情况、财务会计报告、投资组合报告等信息真实、准确、完整,

未发现有损害基金持有人利益的行为。

                                                                  中国农业银行股份有限公司托管业务部

                                                                                        2013 年 3 月 28 日

                                                  11
                                                 新华优选成长股票型证券投资基金 2012 年年度报告[摘要]




                                      §6 审计报告


    本报告期基金财务报告经国富浩华会计师事务所(特殊普通合伙)审计,注册会计师李荣坤、张吉范

签字出具了标准无保留意见的审计报告。投资者可通过年度报告正文查看审计报告正文。




                                    §7 年度财务报表


    7.1   资产负债表


会计主体:新华优选成长股票型证券投资基金

报告截止日:2012 年 12 月 31 日

                                                                                    单位:人民币元
                                         本期末                           上年度末
                资 产
                                     2012年12月31日                    2011年12月31日
     资 产:
     银行存款                               265,129,212.76                     254,525,777.39
     结算备付金                                  3,405,619.98                     3,500,650.83
     存出保证金                                  1,328,336.87                     1,277,622.69
     交易性金融资产                        3,273,246,810.22                  2,893,195,710.51
     其中:股票投资                        3,273,246,810.22                  2,893,195,710.51
            基金投资                                         -                                -
            债券投资                                         -                                -
            资产支持证券投资                                 -                                -
     衍生金融资产                                            -                                -
     买入返售金融资产                                        -                                -
     应收证券清算款                                          -                    7,539,997.26
     应收利息                                       72,496.91                        55,110.98
     应收股利                                                -                                -
     应收申购款                                    468,830.09                   22,666,462.89
     递延所得税资产                                          -                                -
     其他资产                                                -                                -
     资产总计                              3,543,651,306.83                  3,182,761,332.55
                                         本期末                           上年度末
          负债和所有者权益
                                     2012年12月31日                    2011年12月31日
     负 债:
     短期借款                                                -                                -


                                            12
                                                         新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

     交易性金融负债                                                  -                                    -
     衍生金融负债                                                    -                                    -
     卖出回购金融资产款                                              -                                    -
     应付证券清算款                                  77,533,313.74                                        -
     应付赎回款                                      10,210,751.43                        1,872,686.36
     应付管理人报酬                                       4,280,977.40                    4,151,004.19
     应付托管费                                            713,496.26                      691,834.03
     应付销售服务费                                                  -                                    -
     应付交易费用                                         3,332,228.27                    2,322,999.74
     应交税费                                                        -                                    -
     应付利息                                                        -                                    -
     应付利润                                                        -                                    -
     递延所得税负债                                                  -                                    -
     其他负债                                             1,325,016.55                    1,012,512.29
     负债合计                                        97,395,783.65                      10,051,036.61
     所有者权益:
     实收基金                                   2,867,866,675.83                      2,208,520,248.27
     未分配利润                                     578,388,847.35                     964,190,047.67
     所有者权益合计                             3,446,255,523.18                      3,172,710,295.94
     负债和所有者权益总计                       3,543,651,306.83                      3,182,761,332.55
    注:截至 2012 年 12 月 31 日,基金份额净值 1.2017 元,基金份额总额 2,867,866,675.83 份。


    7.2   利润表


会计主体:新华优选成长股票型证券投资基金

本报告期:2012 年 1 月 1 日至 2012 年 12 月 31 日

                                                                                            单位:人民币元
                                                本期                             上年度可比期间
                   项 目               2012年1月1日至2012年12                2011年1月1日至2011年12
                                              月31日                                 月31日
      一、收入                                           140,595,147.34               -514,190,989.67
      1.利息收入                                           4,992,771.76                  1,434,985.62
      其中:存款利息收入                                   4,560,662.18                  1,434,985.62
             债券利息收入                                                -                            -
             资产支持证券利息收入                                        -                            -
             买入返售金融资产收入                           432,109.58                                -
             其他利息收入                                                -                            -
      2.投资收益(损失以“-”填列)                  -367,908,822.66                   158,774,826.65
      其中:股票投资收益                             -413,338,484.76                   148,819,768.75
             基金投资收益                                                -                            -
             债券投资收益                                                -                            -

                                                    13
                                                         新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

             资产支持证券投资收益                                     -                              -
             衍生工具收益                                             -                              -
             股利收益                                     45,429,662.10                  9,955,057.90
      3.公允价值变动收益(损失以
                                                         500,746,361.65               -676,950,304.22
      “-”号填列)
      4.汇兑收益(损失以“-”号
                                                                      -                              -
      填列)
      5.其他收入(损失以“-”号填
                                                           2,764,836.59                  2,549,502.28
      列)
      减:二、费用                                        86,414,870.78                 55,011,756.01
      1.管理人报酬                                       57,124,131.79                 38,257,086.50
      2.托管费                                            9,520,688.74                  6,376,181.10
      3.销售服务费                                                   -                              -
      4.交易费用                                         19,366,836.26                  9,984,324.31
      5.利息支出                                                     -                              -
      其中:卖出回购金融资产支出                                      -                              -
      6.其他费用                                           403,213.99                     394,164.10
      三、利润总额(亏损总额以“-”
                                                          54,180,276.56               -569,202,745.68
      号填列)
      减:所得税费用                                                  -                              -
      四、净利润(净亏损以“-”号
                                                          54,180,276.56               -569,202,745.68
      填列


    7.3   所有者权益(基金净值)变动表


会计主体:新华优选成长股票型证券投资基金

本报告期:2012 年 1 月 1 日至 2012 年 12 月 31 日

                                                                                            单位:人民币元
                                                                       本期
                  项目                                     2012年1月1日至2012年12月31日
                                            实收基金                未分配利润          所有者权益合计
 一、期初所有者权益(基金净值)          2,208,520,248.27           964,190,047.67        3,172,710,295.94
 二、本期经营活动产生的基金净值变                             -       54,180,276.56           54,180,276.56
 动数(本期利润)
 三、本期基金份额交易产生的基金净          659,346,427.56            667,044,308.00        1,326,390,735.56
 值变动数(净值减少以“-”号填列)
 其中:1.基金申购款                      2,621,949,299.84          1,105,301,987.45        3,727,251,287.29
       2.基金赎回款                     -1,962,602,872.28           -438,257,679.45       -2,400,860,551.73
 四、本期向基金份额持有人分配利润                             -   -1,107,025,784.88       -1,107,025,784.88
 产生的基金净值变动(净值减少以“-”
 号填列)


                                                    14
                                                    新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

五、期末所有者权益(基金净值)        2,867,866,675.83          578,388,847.35        3,446,255,523.18
                                                             上年度可比期间
               项目                                   2011年1月1日至2011年12月31日
                                         实收基金              未分配利润          所有者权益合计
一、期初所有者权益(基金净值)        1,361,922,012.19         999,597,732.50        2,361,519,744.69
二、本期经营活动产生的基金净值变                         -     -569,202,745.68         -569,202,745.68
动数(本期利润)
三、本期基金份额交易产生的基金净          846,598,236.08        533,795,060.85        1,380,393,296.93
值变动数(净值减少以“-”号填列)
其中:1.基金申购款                    2,136,085,555.80        1,461,201,552.64        3,597,287,108.44
      2.基金赎回款                    -1,289,487,319.72        -927,406,491.79       -2,216,893,811.51
四、本期向基金份额持有人分配利润                         -                    -                       -
产生的基金净值变动(净值减少以“-”
号填列)
五、期末所有者权益(基金净值)        2,208,520,248.27          964,190,047.67        3,172,710,295.94
  报告附注为财务报表的组成部分。

  本报告 7.1 至 7.4,财务报表由下列负责人签署:

  基金管理公司负责人:陈重,主管会计工作负责人:孙枝来,会计机构负责人:徐端骞


   7.4   报表附注


   7.4.1报告期所采用的会计政策、会计估计与最近一期年度报告相一致的说明。

   本报告期所采用的会计政策、会计估计与最近一期年度报告相一致。

   7.4.2差错更正的说明

   本基金报告期未发生差错更正。



   7.4.3 关联方关系
                    关联方名称                                        与本基金的关系
新华基金管理有限公司                                  基金管理人、基金发起人
中国农业银行股份有限公司                              基金托管人
新华信托股份有限公司                                  基金管理人股东
陕西蓝潼投资有限公司                                  基金管理人股东
上海大众环境产业有限公司                              基金管理人股东
杭州永原网络科技有限公司                              基金管理人股东
   注:2012 年,陕西蓝潼电子投资有限公司更名为陕西蓝潼投资有限公司。

   7.4.4 本报告期及上年度可比期间的关联方交易

   7.4.4.1 通过关联方交易单元进行的交易


                                               15
                                                  新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

   7.4.4.1.1 股票交易

    本基金本报告期及上年度可比期间未通过关联方交易单元进行股票交易。

   7.4.4.1.2 权证交易

    本基金本报告期及上年度可比期间未通过关联方交易单元进行权证交易。

   7.4.4.1.3 债券交易

    本基金本报告期及上年度可比期间未通过关联方交易单元进行债券交易。

   7.4.4.1.4 债券回购交易

    本基金本报告期及上年度可比期间未通过关联方交易单元进行债券回购交易。

   7.4.4.2 关联方报酬

   7.4.4.2.1 基金管理费

                                                                                     单位:人民币元
                                           本期                           上年度可比期间
             项目                2012年1月1日至2012年12月31         2011年1月1日至2011年12月31
                                             日                                 日
当期发生的基金应支付的管理
                                                   57,124,131.79                       38,257,086.50

其中:支付销售机构的客户维护
                                                   10,612,277.81                       12,745,797.77

    注:1、基金管理人报酬按前一日基金资产净值 1.5%的年费率逐日计提,逐日累计至每月月底,按月

支付。

    其计算公式为:日管理人报酬=前一日基金资产净值×1.5%/当年天数

    2、本报告期列示的支付销售机构的客户维护费为本期计提金额,上年度可比期间列示的支付销售机

构的客户维护费为当期支付金额。

   7.4.4.2.2 基金托管费

                                                                                     单位:人民币元
                                           本期                           上年度可比期间
             项目                2012年1月1日至2012年12月31         2011年1月1日至2011年12月31
                                             日                                 日
当期发生的基金应支付的托管
                                                    9,520,688.74                        6,376,181.10

    注:基金托管费按前一日的基金资产净值 0.25%的年费率逐日计提确认。

   其计算公式为:日托管人报酬=前一日基金资产净值×0.25%/当年天数




                                             16
                                                                新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

           7.4.4.3 与关联方进行银行间同业市场的债券(含回购)交易

              本基金本报告期及上年度可比期间未进行银行间市场交易。

           7.4.4.4 各关联方投资本基金的情况

           7.4.4.4.1 报告期内基金管理人运用固有资金投资本基金的情况

                                                                                                     份额单位:份
                                                          本期                            上年度可比期间
                       项目                  2012 年 1 月 1 日至 2012 年 12       2011 年 1 月 1 日至 2011 年 12 月
                                                       月 31 日                                 31 日
        期初持有的基金份额                                       18,488,228.77                                    -
        期间申购/买入总份额                                       4,436,465.07                       18,488,228.77
        期间因拆分变动份额                                                    -                                   -
        减:期间赎回/卖出总份额                                               -                                   -
        期末持有的基金份额                                       22,924,693.84                       18,488,228.77
        期末持有的基金份额占基金总
                                                                        0.80%                                0.84%
        份额比例
              注:新增 4,436,465.07 份,系 2012 年 3 月 16 日本基金红利转份额。

           7.4.4.4.2 报告期末除基金管理人之外的其他关联方投资本基金的情况

              报告期末除基金管理人之外的其他关联方未投资本基金。

           7.4.4.5 由关联方保管的银行存款余额及当期产生的利息收入

                                                                                                   单位:人民币元
                                               本期                                     上年度可比期间
         关联方名称           2012 年 1 月 1 日至 2012 年 12 月 31 日       2011 年 1 月 1 日至 2011 年 12 月 31 日
                               期末余额            当期利息收入              期末余额            当期利息收入
       中国农业银行           265,129,212.76         4,476,617.86          254,525,777.39           1,381,418.14
       合计                   265,129,212.76         4,476,617.86          254,525,777.39           1,381,418.14
           7.4.4.6 本基金在承销期内参与关联方承销证券的情况

              本基金本报告期及上年度可比期间未参与关联方承销证券。

           7.4.5 期末(2012 年 12 月 31 日)本基金持有的流通受限证券

           7.4.5.1 因认购新发/增发证券而于期末持有的流通受限证券

              本基金本报告期末没有因认购新发/增发证券停牌的股票。
           7.4.5.2 期末持有的暂时停牌等流通受限股票
                                                                                              金额单位:人民币元
                                          期末          复牌                                        期末
                                   停牌                                   期末
股票代码 股票名称      停牌日期         估值单 复牌日期 开盘 数量(股)                           估值总额            备注
                                   原因                                 成本总额
                                          价            单价


                                                           17
                                                              新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

                                  大股
                                  东筹
                                                                                 189,221,381.                复牌日期尚
000602   金马集团      2012-12-24 划重 11.15             -       - 16,389,745                 182,745,656.75
                                                                                          61                     不确定
                                  大事
                                  项
                                  筹划
                                  重大
                                                                                 85,362,244.7
000712   锦龙股份      2012-12-10 资产 11.10 2013-03-18 12.21        4,480,980                49,738,878.00             -
                                                                                            6
                                  重组
                                  事项
                                  筹划
                                  非公
                                                                                 31,620,955.4
000669   领先科技      2012-12-31 开发 29.05 2013-01-14 31.50        1,233,550                35,834,627.50             -
                                                                                            3
                                  行股
                                  票
              7.4.5.3 期末债券正回购交易中作为抵押的债券

              7.4.5.3.1 银行间市场债券正回购

              本基金本报告期末无银行间市场债券正回购。

              7.4.5.3.2 交易所市场债券正回购

              本基金本报告期末无交易所市场债券正回购。


                                                §8 投资组合报告


              8.1    期末基金资产组合情况


                                                                                                金额单位:人民币元
                                                                                                 占基金总资产的比
         序号                        项目                                金额
                                                                                                     例(%)
          1         权益投资                                               3,273,246,810.22                   92.37
                    其中:股票                                             3,273,246,810.22                   92.37
          2         固定收益投资                                                            -                       -
                    其中:债券                                                              -                       -
                           资产支持证券                                                     -                       -
          3         金融衍生品投资                                                          -                       -
          4         买入返售金融资产                                                        -                       -
                    其中:买断式回购的买入返售金融资产                                      -                       -
          5         银行存款和结算备付金合计                                 268,534,832.74                    7.58
          6         其他各项资产                                                 1,869,663.87                  0.05
          7         合计                                                   3,543,651,306.83                 100.00


                                                         18
                                                          新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

     8.2    期末按行业分类的股票投资组合


                                                                                          金额单位:人民币元
                                                                                           占基金资产净值比
代码                         行业类别                               公允价值
                                                                                               例(%)
 A         农、林、牧、渔业                                                7,473,823.95                0.22
 B         采掘业                                                       182,066,755.27                 5.28
 C         制造业                                                     1,113,296,647.41                32.30
C0                  食品、饮料                                          246,732,889.96                 7.16
C1                  纺织、服装、皮毛                                       6,024,832.00                0.17
C2                  木材、家具                                                        -                   -
C3                  造纸、印刷                                                        -                   -
C4                  石油、化学、塑胶、塑料                              396,927,395.00                11.52
C5                  电子                                                 24,950,417.00                 0.72
C6                  金属、非金属                                         24,894,976.60                 0.72
C7                  机械、设备、仪表                                    344,451,958.97                 9.99
C8                  医药、生物制品                                       45,027,996.88                 1.31
C99                 其他制造业                                           24,286,181.00                 0.70
 D         电力、煤气及水的生产和供应业                                 103,515,866.00                 3.00
 E         建筑业                                                       161,419,477.24                 4.68
 F         交通运输、仓储业                                              92,732,459.83                 2.69
 G         信息技术业                                                   580,486,822.22                16.84
 H         批发和零售贸易                                               158,613,825.83                 4.60
 I         金融、保险业                                                 584,424,628.87                16.96
 J         房地产业                                                      68,765,241.67                 2.00
 K         社会服务业                                                   157,249,187.53                 4.56
 L         传播与文化产业                                                25,230,784.18                 0.73
 M         综合类                                                        37,971,290.22                 1.10
           合计                                                       3,273,246,810.22                94.98


     8.3    期末按公允价值占基金资产净值比例大小排序前十名股票投资明细


                                                                                          金额单位:人民币元
                                                                                             占基金资产净值
序号       股票代码        股票名称     数量(股)                    公允价值
                                                                                               比例(%)
 1          300072         三聚环保      18,041,461.00                    215,595,458.95                6.26
 2          601318         中国平安          4,758,026.00                 215,490,997.54                6.25
 3          000602         金马集团      16,389,745.00                    182,745,656.75                5.30
 4          600887         伊利股份          6,384,212.00                 140,324,979.76                4.07
 5          601088         中国神华          3,293,850.00                  83,499,097.50                2.42

                                                     19
                                                   新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

  6         002375     亚厦股份       3,152,674.00                  83,482,807.52                2.42
  7         600030     中信证券       5,938,520.00                  79,338,627.20                2.30
  8         600787     中储股份       9,868,517.00                  76,283,636.41                2.21
  9         300178     腾邦国际       5,249,722.00                  75,018,527.38                2.18
  10        000422     湖北宜化       6,630,424.00                  73,664,010.64                2.14
注:投资者欲了解本报告期末基金投资的所有股票明细,应阅读登载于 http://www.ncfund.com.cn 网

站的年度报告正文。




      8.4   报告期内股票投资组合的重大变动


      8.4.1 累计买入金额超出期初基金资产净值 2%或前 20 名的股票明细

                                                                                 金额单位:人民币元
                                                                                 占期初基金资产净值
 序号       股票代码      股票名称              本期累计买入金额
                                                                                     比例(%)
  1          601318       中国平安                             162,487,433.03                    5.12
  2          000002        万 科A                             142,545,352.58                    4.49
  3          002375       亚厦股份                             137,551,457.05                    4.34
  4          600048       保利地产                             133,348,737.43                    4.20
  5          601336       新华保险                             127,523,096.96                    4.02
  6          600036       招商银行                             118,433,261.99                    3.73
  7          601555       东吴证券                             111,591,762.06                    3.52
  8          600030       中信证券                             101,429,807.10                    3.20
  9          000157       中联重科                             100,564,613.65                    3.17
  10         601628       中国人寿                               93,631,339.79                   2.95
  11         002065       东华软件                               91,680,182.09                   2.89
  12         600016       民生银行                               88,123,995.38                   2.78
  13         002535       林州重机                               87,486,838.49                   2.76
  14         600837       海通证券                               85,374,126.39                   2.69
  15         600519       贵州茅台                               84,674,811.82                   2.67
  16         600031       三一重工                               81,410,955.67                   2.57
  17         002024       苏宁电器                               80,039,462.24                   2.52
  18         600881       亚泰集团                               79,602,395.69                   2.51
  19         300072       三聚环保                               77,157,014.86                   2.43
  20         601088       中国神华                               76,980,588.88                   2.43
  21         600383       金地集团                               75,215,704.49                   2.37
  22         002589       瑞康医药                               69,386,011.27                   2.19
  23         601166       兴业银行                               68,588,727.45                   2.16
  24         002482       广田股份                               64,939,056.90                   2.05


                                              20
                                                   新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

 25         300178       腾邦国际                                64,049,395.53                   2.02
     注:本项“买入金额”均按买卖成交金额(成交单价乘以数量)填列,不考虑相关交易费用。

     8.4.2 累计卖出金额超出期初基金资产净值 2%或前 20 名的股票明细

                                                                                 金额单位:人民币元
                                                                                 占期初基金资产净值
序号       股票代码      股票名称              本期累计卖出金额
                                                                                     比例(%)
 1          000002       万 科A                                166,881,370.00                   5.26
 2          600048       保利地产                               133,818,342.66                   4.22
 3          600187       国中水务                               133,238,433.46                   4.20
 4          601336       新华保险                               130,509,365.26                   4.11
 5          600694       大商股份                               113,710,985.23                   3.58
 6          002485        希努尔                                107,337,575.44                   3.38
 7          601555       东吴证券                               100,065,971.04                   3.15
 8          601628       中国人寿                                95,598,178.29                   3.01
 9          600036       招商银行                                92,216,248.03                   2.91
 10         600016       民生银行                                88,082,657.44                   2.78
 11         600157       永泰能源                                81,310,096.00                   2.56
 12         002589       瑞康医药                                77,326,606.88                   2.44
 13         600383       金地集团                                73,510,637.45                   2.32
 14         600585       海螺水泥                                72,344,535.23                   2.28
 15         600497       驰宏锌锗                                71,548,404.06                   2.26
 16         600000       浦发银行                                71,002,506.00                   2.24
 17         002482       广田股份                                70,978,039.23                   2.24
 18         000157       中联重科                                69,539,292.60                   2.19
 19         600887       伊利股份                                69,327,203.94                   2.19
 20         002375       亚厦股份                                68,133,044.55                   2.15
 21         600816       安信信托                                66,691,052.87                   2.10
     注:本项“卖出金额”均按买卖成交金额(成交单价乘以数量)填列,不考虑相关交易费用。

     8.4.3 买入股票的成本总额及卖出股票的收入总额

                                                                                      单位:人民币元
买入股票的成本(成交)总额                                                           6,668,666,807.28
卖出股票的收入(成交)总额                                                           6,376,023,584.46


     8.5   期末按债券品种分类的债券投资组合


     本报告期末本基金无债券投资。




                                              21
                                                 新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

    8.6   期末按公允价值占基金资产净值比例大小排名的前五名债券投资明细


   本报告期末本基金无债券投资。


    8.7   期末按公允价值占基金资产净值比例大小排名的所有资产支持证券投资明细


   本基金本报告期末未持有资产支持证券。


    8.8   期末按公允价值占基金资产净值比例大小排名的前五名权证投资明细


   本报告期末本基金未持有权证。


    8.9   投资组合报告附注


   8.9.1 本报告期末本基金投资的前十名证券没有被监管部门立案调查,或在报告编制日前一年内受到

公开遣责、处罚的情形。

   8.9.2 本报告期末本基金投资的前十名股票没有超出基金合同规定备选股票库。

   8.9.3 期末其他各项资产构成

                                                                                    单位:人民币元
  序号                       名称                                          金额
   1      存出保证金                                                                   1,328,336.87
   2      应收证券清算款                                                                          -
   3      应收股利                                                                                -
   4      应收利息                                                                        72,496.91
   5      应收申购款                                                                    468,830.09
   6      其他应收款                                                                              -
   7      待摊费用                                                                                -
   8      其他                                                                                    -
   9      合计                                                                         1,869,663.87
   8.9.4 期末持有的处于转股期的可转换债券明细

   本报告期末本基金没有处于可转股期的可转债。

   8.9.5 期末前十名股票中存在流通受限情况的说明

                                                                               金额单位:人民币元
                                          流通受限部分的公 占基金资产净
  序号    股票代码           股票名称                                   流通受限情况说明
                                                允价值     值比例(%)


                                            22
                                                         新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

                                                                                          大股东筹划重大事
   1         000602           金马集团                  182,745,656.75            5.30
                                                                                                        项
    8.9.6 投资组合报告附注的其他文字描述部分

   由于四舍五入的原因,分项之和与合计之间可能存在尾差。


                                       §9 基金份额持有人信息


    9.1    期末基金份额持有人户数及持有人结构


                                                                                              份额单位:份
                                                                    持有人结构
  持有人户数       户均持有的基金                机构投资者                          个人投资者
    (户)               份额                                    占总份额                        占总份额比
                                             持有份额                          持有份额
                                                                 比例                              例
          68,931          41,604.89      1,186,745,888.34         41.38%   1,681,120,787.49         58.62%




    9.2    期末基金管理人的从业人员持有本基金的情况


                   项目                            持有份额总数(份)                占基金总份额比例
基金管理公司所有从业人员持有本基金                                   917,555.88                      0.03%

    注:本公司高级管理人员、基金投资和研究部门负责人持有该只基金份额总量的数量区间为 50-100

万份;该只基金的基金经理持有该只基金份额总量的数量区间为 50-100 万份。


                                      §10    开放式基金份额变动


                                                                                                   单位:份
基金合同生效日(2008 年 7 月 25 日)基金份额总额                                              278,333,456.06
本报告期期初基金份额总额                                                                   2,208,520,248.27
本报告期基金总申购份额                                                                     2,621,949,299.84
减:本报告期基金总赎回份额                                                                 1,962,602,872.28
本报告期基金拆分变动份额                                                                                   -
本报告期期末基金份额总额                                                                   2,867,866,675.83




                                                    23
                                                    新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

                                     §11 重大事件揭示


    11.1 基金份额持有人大会决议


    本报告期内未召开基金份额持有人大会。


    11.2 基金管理人、基金托管人的专门基金托管部门的重大人事变动


    2013 年 1 月 18 日,因工作调动,孙枝来先生辞去新华基金管理有限公司总经理一职。


    11.3 涉及基金管理人、基金财产、基金托管业务的诉讼


    本报告无涉及基金管理人、基金财产、基金托管业务的诉讼。


    11.4 基金投资策略的改变


   本报告期本基金投资策略无改变。


    11.5 为基金进行审计的会计师事务所情况


    本报告期内,本基金未发生改聘会计师事务所情况。报告年度应支付给其报酬 80000 元人民币。

审计年限为 1 年。自 2009 年至 2012 年,国富浩华会计师事务所为本基金连续提供 4 年审计服务。


    11.6 管理人、托管人及其高级管理人员受稽查或处罚等情况


    本报告期内,基金管理人、托管人及其高级管理人员未有受监管部门稽查或处罚的情形发生。


    11.7 基金租用证券公司交易单元的有关情况


    11.7.1 基金租用证券公司交易单元进行股票投资及佣金支付情况
                                                                                  金额单位:人民币元
                                         股票交易                    应支付该券商的佣金          备注
                                                       占当期
                                                                                    占当期佣
   券商名称      交易单元数量                          股票成
                                    成交金额                           佣金         金总量的
                                                       交总额
                                                                                      比例
                                                       的比例


                                               24
                                                    新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

 光大证券                     1   1,469,644,414.19      11.28%      1,244,489.43      11.45%         -
 招商证券                     1   1,231,434,169.16        9.45%     1,051,453.02        9.67%        -
 兴业证券                     1   1,059,810,700.37        8.13%       890,286.89        8.19%        -
 民生证券                     1   1,000,902,721.66        7.68%       875,198.27        8.05%        -
 新时代证券                   2     984,811,638.13        7.56%       841,687.68        7.74%        -
 国金证券                     1     984,469,897.76        7.55%       858,173.94        7.89%        -
 恒泰证券                     1     918,859,594.54        7.05%       807,218.39        7.42%        -
 平安证券                     1     915,951,098.36        7.03%       784,995.86        7.22%        -
 瑞银证券                     1     907,369,150.57        6.96%       759,765.38        6.99%        -
 东方证券                     1     799,334,671.88        6.13%       530,443.96        4.88%        -
 东兴证券                     1     753,608,927.45        5.78%       511,102.32        4.70%        -
 国泰君安                     1     651,151,976.74        5.00%       558,587.49        5.14%        -
 中信证券                     2     508,378,103.40        3.90%       413,586.67        3.80%        -
 中金公司                     1     444,100,719.81        3.41%       382,070.17        3.51%        -
 申银万国                     1     375,360,285.34        2.88%       341,727.85        3.14%        -
 齐鲁证券                     1      25,668,221.28        0.20%        22,408.17        0.21%        -
 南京证券                     1                  -             -                -            -       -
    注:本基金根据中国证券监督管理委员会《关于加强证券投资基金监管有关问题的通知》(证监基

字[1998]29 号)以及《关于完善证券投资基金交易席位制度有关问题的通知》(证监基金字[2007]48 号)

的有关规定,本基金报告期内共租用 19 个交易席位,其中报告期内增加一个交易席位:南京证券上海

交易所交易席位。

    一、交易席位的分配依据

    交易席位的分配以券商实力及其所提供的研究支持为基础,主要考察点包括:

    1、经营行为稳健规范,内控制度健全。

    2、具备基金运作所需的高效、安全的通讯条件,交易设施满足基金进行证券交易的需要。

    3、具有较强的全方位金融服务能力和水平。

    二、交易席位的选择流程

    1、研究部根据上述标准考察后确定选用交易席位的券商。

    2、与被选中的证券经营机构签订席位租用协议。

       三、交易量的分配

       交易量的分配以券商所提供的服务及研究支持为基础,主要考察点包括:

    1、券商提供独立的或第三方研究报告及服务,包括宏观经济、行业分析、公司研发、市场数据、

财经信息、行业期刊、组合分析软件、绩效评估、研讨会、统计信息、交易评估等,用以支持投资决

策。

    2、以季度为单位对经纪商通过评分的方式进行考核,由基金经理、研究员和交易员分别打分,根

                                               25
                                                           新华优选成长股票型证券投资基金 2012 年年度报告[摘要]

   据经纪商给投资带来的增值确定经济商的排名。

       考核的内容包括上一季度经纪交易执行情况、提供研究报告数量、研究报告质量和及时性、受邀

   讲解次数及效果、主动推介次数及效果等。考核结果将作为当期交易量分配的依据,交易量大小和评

   分高低成正比。

       3、中央交易室负责落实交易量的实际分配工作。

       11.7.2 基金租用证券公司交易单元进行其他证券投资的情况
                                                                                         金额单位:人民币元
               债券交易                    回购交易                      权证交易               股指期货交易
                        占当期债                    占当期回                     占当期权                 占当期成
券商名称   成交金
                        券成交总     成交金额       购成交总        成交金额     证成交总    成交金额     交总额的
             额
                        额的比例                    额的比例                     额的比例                   比例
光大证券            -          -                -               -            -           -            -           -
招商证券            -          -                -               -            -           -            -           -
兴业证券            -          -                -               -            -           -            -           -
民生证券            -          -                -               -            -           -            -           -
新时代证
                    -          -                -               -            -           -            -           -

国金证券            -          -                -               -            -           -            -           -
恒泰证券            -          -                -               -            -           -            -           -
平安证券            -          -                -               -            -           -            -           -
瑞银证券            -          -                -               -            -           -            -           -
东方证券            -          -                -               -            -           -            -           -
东兴证券            -          -                -               -            -           -            -           -
国泰君安            -          -                -               -            -           -            -           -
中信证券            -          -                -               -            -           -            -           -
中金公司            -          -                -               -            -           -            -           -
申银万国            -          -   111,900,000.00     100.00%                -           -            -           -
齐鲁证券            -          -                -               -            -           -            -           -
南京证券            -          -                -               -            -           -            -           -




                                                                                   新华基金管理有限公司
                                                                                   二〇一三年三月三十日




                                                      26
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