_blank class=infotextkey>原_blank class=infotextkey>get=_blank class=infotextkey>标题:安_blank class=infotextkey>get=_blank class=infotextkey>信_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>限_blank class=infotextkey>get=_blank class=infotextkey>责任_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公司:_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳_blank class=infotextkey>get=_blank class=infotextkey>科技：_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同摘要
安_blank class=infotextkey>get=_blank class=infotextkey>信_blank class=infotextkey>get=_blank class=infotextkey>中证_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳_blank class=infotextkey>get=_blank class=infotextkey>科技_blank class=infotextkey>get=_blank class=infotextkey>创_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>主题_blank class=infotextkey>get=_blank class=infotextkey>指数型证券_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金（LOF）

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同摘要

一、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>权利、义务

（一）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>权利和义务

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资者持_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>有本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的_blank class=infotextkey>get=_blank class=infotextkey>行为即视为对《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》的承认和_blank class=infotextkey>get=_blank class=infotextkey>接受，
_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资者自依据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》取得_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额，即_blank class=infotextkey>get=_blank class=infotextkey>成为本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人和《基
_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》的当事_blank class=infotextkey>get=_blank class=infotextkey>人，直至其_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>再持_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>有本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>作为《基
_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》当事_blank class=infotextkey>get=_blank class=infotextkey>人并_blank class=infotextkey>不以在《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>上书_blank class=infotextkey>面签章或签字为必要_blank class=infotextkey>get=_blank class=infotextkey>条件。


同一类别的_blank class=infotextkey>get=_blank class=infotextkey>每份_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额具_blank class=infotextkey>get=_blank class=infotextkey>有同等的_blank class=infotextkey>合法权益。


1、根据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《运作_blank class=infotextkey>get=_blank class=infotextkey>办法》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>权利
包括但_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>限于：

（1）_blank class=infotextkey>get=_blank class=infotextkey>分享_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>收益；

（_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>get=_blank class=infotextkey>参与分配_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>后的_blank class=infotextkey>get=_blank class=infotextkey>剩余_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产；

（_blank class=infotextkey>3）_blank class=infotextkey>依法_blank class=infotextkey>get=_blank class=infotextkey>转让或者_blank class=infotextkey>get=_blank class=infotextkey>申请赎_blank class=infotextkey>get=_blank class=infotextkey>回其持_blank class=infotextkey>get=_blank class=infotextkey>有的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额；

（4）_blank class=infotextkey>get=_blank class=infotextkey>按照规_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>定要求_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会或者召集_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会；

（5）出席或者委派_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表出席_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会，对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会
审议_blank class=infotextkey>get=_blank class=infotextkey>事项行使表决权；

（6）查阅或者复制_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公开披露的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信息_blank class=infotextkey>get=_blank class=infotextkey>资料；

（7）监督_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>投资运作；

（8）对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>服务机构损害其_blank class=infotextkey>合法权益的_blank class=infotextkey>get=_blank class=infotextkey>行为依
法提_blank class=infotextkey>get=_blank class=infotextkey>起诉讼或仲裁；

（9）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>权利。


_blank class=infotextkey>get=_blank class=infotextkey>2、根据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《运作_blank class=infotextkey>get=_blank class=infotextkey>办法》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人的义务
包括但_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>限于：

（1）认_blank class=infotextkey>真_blank class=infotextkey>get=_blank class=infotextkey>阅读并遵守《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》、招募说明书等_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信息披露文件；

（_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>get=_blank class=infotextkey>了解所_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>产品，_blank class=infotextkey>get=_blank class=infotextkey>了解自_blank class=infotextkey>get=_blank class=infotextkey>身_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>风险承受能力，_blank class=infotextkey>get=_blank class=infotextkey>自主判断_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资价
值，_blank class=infotextkey>get=_blank class=infotextkey>自主做出_blank class=infotextkey>get=_blank class=infotextkey>投资决策，自行承担_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>风险；

（_blank class=infotextkey>3）_blank class=infotextkey>关注_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信息披露，及_blank class=infotextkey>时行使_blank class=infotextkey>get=_blank class=infotextkey>权利和履行义务；


（4）缴纳_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金认购、申购款项及_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》所_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>费用；

（5）在其持_blank class=infotextkey>get=_blank class=infotextkey>有的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额范围内，承担_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金亏损或者《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>终止的
_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>限_blank class=infotextkey>get=_blank class=infotextkey>责任；

（6）_blank class=infotextkey>不从事任何_blank class=infotextkey>get=_blank class=infotextkey>有损_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>及其他《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》当事_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>合法权益的_blank class=infotextkey>get=_blank class=infotextkey>活动；

（7）执行生效的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的决议；

（8）_blank class=infotextkey>get=_blank class=infotextkey>返还在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>交易过程_blank class=infotextkey>get=_blank class=infotextkey>中因任何_blank class=infotextkey>原因_blank class=infotextkey>获得的_blank class=infotextkey>不当得利；

（9）_blank class=infotextkey>get=_blank class=infotextkey>提供_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>监管机构_blank class=infotextkey>依法_blank class=infotextkey>get=_blank class=infotextkey>要求_blank class=infotextkey>get=_blank class=infotextkey>提供的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信息，_blank class=infotextkey>以及_blank class=infotextkey>不_blank class=infotextkey>时的更_blank class=infotextkey>get=_blank class=infotextkey>新和
_blank class=infotextkey>补充，并_blank class=infotextkey>get=_blank class=infotextkey>保证其_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>真实性；

（_blank class=infotextkey>get=_blank class=infotextkey>10）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他义务。


（二）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>权利与义务

1、根据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《运作_blank class=infotextkey>get=_blank class=infotextkey>办法》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>权利包括
但_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>限于：

（1）_blank class=infotextkey>依法募集_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金；

（_blank class=infotextkey>get=_blank class=infotextkey>2）自《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》生效之日起，根据_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》独立运用
并_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产；

（_blank class=infotextkey>3）依照《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>收取_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理费_blank class=infotextkey>以及_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定或_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会批
准的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>费用；

（4）_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额；

（5）_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定召集_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会；

（6）依据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》及_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定监督_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人，如认为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管
_blank class=infotextkey>get=_blank class=infotextkey>人违反了《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》及_blank class=infotextkey>get=_blank class=infotextkey>国家_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，应呈报_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会和_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>监管_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>部门，
并采取必要措施_blank class=infotextkey>get=_blank class=infotextkey>保护_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资者的_blank class=infotextkey>get=_blank class=infotextkey>利益；

（7）在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人更换_blank class=infotextkey>时，_blank class=infotextkey>get=_blank class=infotextkey>提名_blank class=infotextkey>get=_blank class=infotextkey>新的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人；

（8）_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>选择、更换_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>销售机构，对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>销售机构的相关_blank class=infotextkey>get=_blank class=infotextkey>行为_blank class=infotextkey>get=_blank class=infotextkey>进行监督和处
理；

（9）担任或委托_blank class=infotextkey>get=_blank class=infotextkey>其他符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>条件的机构担任_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>登记机构_blank class=infotextkey>办理_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>登记_blank class=infotextkey>get=_blank class=infotextkey>业务
并_blank class=infotextkey>获得《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>费用；

（_blank class=infotextkey>get=_blank class=infotextkey>10）依据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》及_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益的分配_blank class=infotextkey>get=_blank class=infotextkey>方案；

（_blank class=infotextkey>11）在《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的范围内，_blank class=infotextkey>get=_blank class=infotextkey>拒绝或暂停受理申购与赎_blank class=infotextkey>get=_blank class=infotextkey>回_blank class=infotextkey>get=_blank class=infotextkey>申请；


（1_blank class=infotextkey>get=_blank class=infotextkey>2）依照_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>利益对被_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公司行使股_blank class=infotextkey>get=_blank class=infotextkey>东_blank class=infotextkey>get=_blank class=infotextkey>权利，为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的利
益行使因_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>投资于证券所产_blank class=infotextkey>get=_blank class=infotextkey>生的_blank class=infotextkey>get=_blank class=infotextkey>权利；

（_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>3）在_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规允许的前提_blank class=infotextkey>get=_blank class=infotextkey>下，为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>利益_blank class=infotextkey>依法为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>融资；

（14）以_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的名义，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>利益行使诉讼_blank class=infotextkey>get=_blank class=infotextkey>权利或者
实施_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>行为；

（15）_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>选择、更换_blank class=infotextkey>get=_blank class=infotextkey>律师事务所、_blank class=infotextkey>get=_blank class=infotextkey>会计师事务所、证券_blank class=infotextkey>get=_blank class=infotextkey>经纪_blank class=infotextkey>get=_blank class=infotextkey>商、期货_blank class=infotextkey>get=_blank class=infotextkey>经纪机构
或_blank class=infotextkey>get=_blank class=infotextkey>其他为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>提供_blank class=infotextkey>get=_blank class=infotextkey>服务的外_blank class=infotextkey>部机构；

（16）在符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>法律、_blank class=infotextkey>get=_blank class=infotextkey>法规的前提_blank class=infotextkey>get=_blank class=infotextkey>下，制订和_blank class=infotextkey>get=_blank class=infotextkey>调整_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金认购、申购、
赎_blank class=infotextkey>get=_blank class=infotextkey>回、转换等的_blank class=infotextkey>get=_blank class=infotextkey>业务规则；

（17）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>权利。


_blank class=infotextkey>get=_blank class=infotextkey>2、根据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《运作_blank class=infotextkey>get=_blank class=infotextkey>办法》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的义务包括
但_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>限于：

（1）_blank class=infotextkey>依法募集_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金，_blank class=infotextkey>办理或者委托经_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会认_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他机构_blank class=infotextkey>get=_blank class=infotextkey>代为_blank class=infotextkey>办理
_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的发售、申购、赎_blank class=infotextkey>get=_blank class=infotextkey>回和_blank class=infotextkey>get=_blank class=infotextkey>登记事宜；

（_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>办理_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>备案_blank class=infotextkey>get=_blank class=infotextkey>手续；

（_blank class=infotextkey>3）自《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》生效之日起，以诚实_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信用、_blank class=infotextkey>get=_blank class=infotextkey>谨慎勤勉的_blank class=infotextkey>原则_blank class=infotextkey>get=_blank class=infotextkey>管理和运
用_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产；

（4）_blank class=infotextkey>配备足够的具_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>专业_blank class=infotextkey>get=_blank class=infotextkey>资格的_blank class=infotextkey>get=_blank class=infotextkey>人员_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>分析、决策，以_blank class=infotextkey>get=_blank class=infotextkey>专业化
的_blank class=infotextkey>get=_blank class=infotextkey>经营_blank class=infotextkey>get=_blank class=infotextkey>方式_blank class=infotextkey>get=_blank class=infotextkey>管理和运作_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产；

（5）_blank class=infotextkey>get=_blank class=infotextkey>建立健_blank class=infotextkey>get=_blank class=infotextkey>全内_blank class=infotextkey>部_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>风险_blank class=infotextkey>get=_blank class=infotextkey>控制、_blank class=infotextkey>监察与稽核、_blank class=infotextkey>get=_blank class=infotextkey>财务_blank class=infotextkey>get=_blank class=infotextkey>管理及_blank class=infotextkey>get=_blank class=infotextkey>人事_blank class=infotextkey>get=_blank class=infotextkey>管理等_blank class=infotextkey>制度，
_blank class=infotextkey>get=_blank class=infotextkey>保证所_blank class=infotextkey>get=_blank class=infotextkey>管理的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的财产相互独立，对所_blank class=infotextkey>get=_blank class=infotextkey>管理的_blank class=infotextkey>不同_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金分别
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（6）除依据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定外,_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>利用_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产
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生效，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人承担_blank class=infotextkey>get=_blank class=infotextkey>全_blank class=infotextkey>部募集_blank class=infotextkey>get=_blank class=infotextkey>费用，将已募集_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金并加计_blank class=infotextkey>get=_blank class=infotextkey>银行同期活期存款利
息在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金募集期_blank class=infotextkey>get=_blank class=infotextkey>结束后_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>30日内_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>退还_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金认购_blank class=infotextkey>get=_blank class=infotextkey>人；

（_blank class=infotextkey>get=_blank class=infotextkey>25）执行生效的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的决议；

（_blank class=infotextkey>get=_blank class=infotextkey>26）_blank class=infotextkey>get=_blank class=infotextkey>建立并_blank class=infotextkey>get=_blank class=infotextkey>保存_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人名册；

（_blank class=infotextkey>get=_blank class=infotextkey>27）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他义务。


（三）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>权利与义务

1、根据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《运作_blank class=infotextkey>get=_blank class=infotextkey>办法》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>权利包括
但_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>限于：

（1）自《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》生效之日起，依_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》的_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>安_blank class=infotextkey>get=_blank class=infotextkey>全
_blank class=infotextkey>get=_blank class=infotextkey>保管_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产；

（_blank class=infotextkey>get=_blank class=infotextkey>2）依《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>定_blank class=infotextkey>获得_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管费_blank class=infotextkey>以及_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定或_blank class=infotextkey>get=_blank class=infotextkey>监管_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>部门批
准的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>费用；

（_blank class=infotextkey>3）监督_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人对本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>投资运作，如_blank class=infotextkey>get=_blank class=infotextkey>发现_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>有违反《基
_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》及_blank class=infotextkey>get=_blank class=infotextkey>国家_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>行为，对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产、_blank class=infotextkey>get=_blank class=infotextkey>其他当事_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>利益_blank class=infotextkey>get=_blank class=infotextkey>造成_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>大损失的
情形，应呈报_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会，并采取必要措施_blank class=infotextkey>get=_blank class=infotextkey>保护_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资者的_blank class=infotextkey>get=_blank class=infotextkey>利益；

（4）根据相关_blank class=infotextkey>get=_blank class=infotextkey>市场规则，为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金开设_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金账户、证券账户等_blank class=infotextkey>get=_blank class=infotextkey>投资所需账户，
为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>办理证券、期货_blank class=infotextkey>get=_blank class=infotextkey>交易_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>清算；

（5）_blank class=infotextkey>get=_blank class=infotextkey>提议_blank class=infotextkey>get=_blank class=infotextkey>召开或召集_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会；

（6）在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人更换_blank class=infotextkey>时，_blank class=infotextkey>get=_blank class=infotextkey>提名_blank class=infotextkey>get=_blank class=infotextkey>新的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人；

（7）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>权利。


_blank class=infotextkey>get=_blank class=infotextkey>2、根据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《运作_blank class=infotextkey>get=_blank class=infotextkey>办法》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人的义务包括
但_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>限于：

（1）以诚实_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信用、勤勉尽责的_blank class=infotextkey>原则持_blank class=infotextkey>get=_blank class=infotextkey>有并_blank class=infotextkey>get=_blank class=infotextkey>安_blank class=infotextkey>get=_blank class=infotextkey>全_blank class=infotextkey>get=_blank class=infotextkey>保管_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产；

（_blank class=infotextkey>get=_blank class=infotextkey>2）设立专门的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>部门，具_blank class=infotextkey>get=_blank class=infotextkey>有符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>要求的营业_blank class=infotextkey>get=_blank class=infotextkey>场所，_blank class=infotextkey>配备足够的、
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（_blank class=infotextkey>3）_blank class=infotextkey>get=_blank class=infotextkey>建立健_blank class=infotextkey>get=_blank class=infotextkey>全内_blank class=infotextkey>部_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>风险_blank class=infotextkey>get=_blank class=infotextkey>控制、_blank class=infotextkey>监察与稽核、_blank class=infotextkey>get=_blank class=infotextkey>财务_blank class=infotextkey>get=_blank class=infotextkey>管理及_blank class=infotextkey>get=_blank class=infotextkey>人事_blank class=infotextkey>get=_blank class=infotextkey>管理等_blank class=infotextkey>制度，
确_blank class=infotextkey>get=_blank class=infotextkey>保_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产的_blank class=infotextkey>get=_blank class=infotextkey>安_blank class=infotextkey>get=_blank class=infotextkey>全，_blank class=infotextkey>get=_blank class=infotextkey>保证其_blank class=infotextkey>托管的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人自_blank class=infotextkey>get=_blank class=infotextkey>有财产_blank class=infotextkey>以及_blank class=infotextkey>不同的
_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产相互独立；对所_blank class=infotextkey>托管的_blank class=infotextkey>不同的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金分别设置账户，独立核算，分账_blank class=infotextkey>get=_blank class=infotextkey>管理，
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（4）除依据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定外，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>利用_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财
产为_blank class=infotextkey>get=_blank class=infotextkey>自己及任何_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>第三_blank class=infotextkey>get=_blank class=infotextkey>人谋取_blank class=infotextkey>get=_blank class=infotextkey>利益，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得委托_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>第三_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产；

（5）_blank class=infotextkey>get=_blank class=infotextkey>保管由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金签订的与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>有关的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同及_blank class=infotextkey>get=_blank class=infotextkey>有关凭证；

（6）按_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定开设_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产的_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金账户、证券账户等_blank class=infotextkey>get=_blank class=infotextkey>投资所需账户，_blank class=infotextkey>get=_blank class=infotextkey>按照《基
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（7）_blank class=infotextkey>get=_blank class=infotextkey>保守_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>商业秘密，除《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定另_blank class=infotextkey>get=_blank class=infotextkey>有
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格；

（9）_blank class=infotextkey>办理与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>业务_blank class=infotextkey>get=_blank class=infotextkey>活动_blank class=infotextkey>get=_blank class=infotextkey>有关的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信息披露_blank class=infotextkey>get=_blank class=infotextkey>事项；

（_blank class=infotextkey>get=_blank class=infotextkey>10）对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>财务_blank class=infotextkey>get=_blank class=infotextkey>会计_blank class=infotextkey>get=_blank class=infotextkey>报告、季度、半_blank class=infotextkey>get=_blank class=infotextkey>年度和_blank class=infotextkey>get=_blank class=infotextkey>年度_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>报告出具_blank class=infotextkey>get=_blank class=infotextkey>意见，说明
_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人在各_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>重要_blank class=infotextkey>get=_blank class=infotextkey>方_blank class=infotextkey>面的运作是否严格_blank class=infotextkey>get=_blank class=infotextkey>按照《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》的_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>进行；_blank class=infotextkey>如果基
_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>有未执行《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>行为，还应当说明_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人是否采取了
适当的措施；

（_blank class=infotextkey>11）_blank class=infotextkey>get=_blank class=infotextkey>保存_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>业务_blank class=infotextkey>get=_blank class=infotextkey>活动的_blank class=infotextkey>get=_blank class=infotextkey>记录、账册、报表和_blank class=infotextkey>get=_blank class=infotextkey>其他相关_blank class=infotextkey>get=_blank class=infotextkey>资料_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>get=_blank class=infotextkey>5年以
_blank class=infotextkey>get=_blank class=infotextkey>上；

（1_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>get=_blank class=infotextkey>建立并_blank class=infotextkey>get=_blank class=infotextkey>保存_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人名册；

（_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>3）按_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定制作相关账册并与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人核对；

（14）依据_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的指令或_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定向_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人支付_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益和
赎_blank class=infotextkey>get=_blank class=infotextkey>回款项；

（15）依据《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金法》、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>及其他_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，召集_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人
_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会或配_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>依法召集_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会；

（16）_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》的_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定监督_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>投资运作；

（17）_blank class=infotextkey>get=_blank class=infotextkey>参加_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>小组，_blank class=infotextkey>get=_blank class=infotextkey>参与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产的_blank class=infotextkey>get=_blank class=infotextkey>保管、_blank class=infotextkey>get=_blank class=infotextkey>清理、_blank class=infotextkey>get=_blank class=infotextkey>估价、变现和
分配；

（18）_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>面临解散、_blank class=infotextkey>依法被_blank class=infotextkey>get=_blank class=infotextkey>撤销或者被_blank class=infotextkey>依法宣告_blank class=infotextkey>get=_blank class=infotextkey>破产_blank class=infotextkey>时，及_blank class=infotextkey>时_blank class=infotextkey>get=_blank class=infotextkey>报告_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会
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（19）因违反《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》导致_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产损失_blank class=infotextkey>时，应承担_blank class=infotextkey>get=_blank class=infotextkey>赔偿_blank class=infotextkey>get=_blank class=infotextkey>责任，其_blank class=infotextkey>get=_blank class=infotextkey>赔偿
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（_blank class=infotextkey>get=_blank class=infotextkey>20）按_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定监督_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人按_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定履行_blank class=infotextkey>get=_blank class=infotextkey>自己的义
务，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人因违反《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>造成_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产损失_blank class=infotextkey>时，应为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人
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（_blank class=infotextkey>get=_blank class=infotextkey>21）执行生效的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的决议；

（_blank class=infotextkey>get=_blank class=infotextkey>2_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他义务。




二、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会召集、议事及表决的_blank class=infotextkey>get=_blank class=infotextkey>程序和规则

（一）_blank class=infotextkey>get=_blank class=infotextkey>召开事由

1、当_blank class=infotextkey>get=_blank class=infotextkey>出现或_blank class=infotextkey>get=_blank class=infotextkey>需要_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>下列事由之一的，应当_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会：

（1）_blank class=infotextkey>get=_blank class=infotextkey>终止《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》（_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同另_blank class=infotextkey>get=_blank class=infotextkey>有约_blank class=infotextkey>_blank class=infotextkey>定的除外）；

（_blank class=infotextkey>get=_blank class=infotextkey>2）更换_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人；

（_blank class=infotextkey>3）更换_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人；

（4）转换_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金运作_blank class=infotextkey>get=_blank class=infotextkey>方式，_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》和_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会另_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定除
外；

（5）_blank class=infotextkey>get=_blank class=infotextkey>调整_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人的报酬_blank class=infotextkey>get=_blank class=infotextkey>标准或提_blank class=infotextkey>get=_blank class=infotextkey>高_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费（根据法
律_blank class=infotextkey>get=_blank class=infotextkey>法规的_blank class=infotextkey>get=_blank class=infotextkey>要求_blank class=infotextkey>get=_blank class=infotextkey>调整该等报酬_blank class=infotextkey>get=_blank class=infotextkey>标准或提_blank class=infotextkey>get=_blank class=infotextkey>高_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费的除外）；

（6）变更_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金类别；

（7）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金与_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>合并；

（8）变更_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资目标、范围或_blank class=infotextkey>get=_blank class=infotextkey>策略（_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规、_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会另_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的
除外）；

（9）变更_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>程序；

（_blank class=infotextkey>get=_blank class=infotextkey>10）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>要求_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会；

（_blank class=infotextkey>11）_blank class=infotextkey>单独或_blank class=infotextkey>合计持_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>有本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金总份额_blank class=infotextkey>get=_blank class=infotextkey>10%以_blank class=infotextkey>get=_blank class=infotextkey>上（_blank class=infotextkey>get=_blank class=infotextkey>含_blank class=infotextkey>get=_blank class=infotextkey>10%）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份
额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人（以_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>收到_blank class=infotextkey>get=_blank class=infotextkey>提议当日的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额计算，_blank class=infotextkey>get=_blank class=infotextkey>下同）就同一_blank class=infotextkey>get=_blank class=infotextkey>事项书_blank class=infotextkey>面
_blank class=infotextkey>get=_blank class=infotextkey>要求_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会；

（1_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>get=_blank class=infotextkey>终止_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市，但因_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>再_blank class=infotextkey>get=_blank class=infotextkey>具备_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市_blank class=infotextkey>get=_blank class=infotextkey>条件而被_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳证券_blank class=infotextkey>get=_blank class=infotextkey>交易所_blank class=infotextkey>get=_blank class=infotextkey>终止
_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市的除外；

（_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>3）对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同当事_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>权利和义务产生_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>影响的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>事项；

（14）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》或_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他应当_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额
持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>事项。



_blank class=infotextkey>get=_blank class=infotextkey>2、在_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的范围内且对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>利益
无实质性_blank class=infotextkey>不利_blank class=infotextkey>get=_blank class=infotextkey>影响的前提_blank class=infotextkey>get=_blank class=infotextkey>下，以_blank class=infotextkey>get=_blank class=infotextkey>下_blank class=infotextkey>get=_blank class=infotextkey>情况可由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人协_blank class=infotextkey>get=_blank class=infotextkey>商后_blank class=infotextkey>get=_blank class=infotextkey>修_blank class=infotextkey>get=_blank class=infotextkey>改，
_blank class=infotextkey>不需_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会：

（1）调低除_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理费、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管费外的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>费用；

（_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>要求增加的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>费用的_blank class=infotextkey>收取；

（_blank class=infotextkey>3）在_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的范围内_blank class=infotextkey>get=_blank class=infotextkey>调整本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的申购费率、变
更_blank class=infotextkey>收费_blank class=infotextkey>get=_blank class=infotextkey>方式、调低赎_blank class=infotextkey>get=_blank class=infotextkey>回费率；

（4）因相应的_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规、_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳证券_blank class=infotextkey>get=_blank class=infotextkey>交易所或_blank class=infotextkey>get=_blank class=infotextkey>登记机构的相关_blank class=infotextkey>get=_blank class=infotextkey>业务规则_blank class=infotextkey>get=_blank class=infotextkey>发生
变动而应当对《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>修_blank class=infotextkey>get=_blank class=infotextkey>改；

（5）对《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》的_blank class=infotextkey>get=_blank class=infotextkey>修_blank class=infotextkey>get=_blank class=infotextkey>改对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>利益无实质性_blank class=infotextkey>不利_blank class=infotextkey>get=_blank class=infotextkey>影响或_blank class=infotextkey>get=_blank class=infotextkey>修
_blank class=infotextkey>get=_blank class=infotextkey>改_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>涉及《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》当事_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>权利义务_blank class=infotextkey>get=_blank class=infotextkey>关_blank class=infotextkey>get=_blank class=infotextkey>系_blank class=infotextkey>get=_blank class=infotextkey>发生_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>变化；

（6）_blank class=infotextkey>get=_blank class=infotextkey>调整本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额类别的设置；

（7）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>登记机构、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>销售机构在_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定或_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会
_blank class=infotextkey>get=_blank class=infotextkey>许可的范围内_blank class=infotextkey>get=_blank class=infotextkey>调整_blank class=infotextkey>get=_blank class=infotextkey>有关认购、申购、赎_blank class=infotextkey>get=_blank class=infotextkey>回、转换、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>交易、非_blank class=infotextkey>get=_blank class=infotextkey>交易_blank class=infotextkey>get=_blank class=infotextkey>过户、转托
管等_blank class=infotextkey>get=_blank class=infotextkey>业务规则；

（8）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金变更为同一标的_blank class=infotextkey>get=_blank class=infotextkey>指数的_blank class=infotextkey>get=_blank class=infotextkey>交易型_blank class=infotextkey>get=_blank class=infotextkey>开放式_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金（ETF）的_blank class=infotextkey>get=_blank class=infotextkey>联接基
_blank class=infotextkey>get=_blank class=infotextkey>金并相应变更_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金类别、_blank class=infotextkey>get=_blank class=infotextkey>修_blank class=infotextkey>get=_blank class=infotextkey>改_blank class=infotextkey>get=_blank class=infotextkey>投资目标、范围和_blank class=infotextkey>get=_blank class=infotextkey>策略；

（9）_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人与标的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可方所签订的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>使用_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>协议_blank class=infotextkey>get=_blank class=infotextkey>调整本
_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费；

（_blank class=infotextkey>get=_blank class=infotextkey>10）_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定_blank class=infotextkey>不需_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的其
他情形。


（二）_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议召集_blank class=infotextkey>get=_blank class=infotextkey>人及召集_blank class=infotextkey>get=_blank class=infotextkey>方式

1、除_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定或《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》另_blank class=infotextkey>get=_blank class=infotextkey>有约_blank class=infotextkey>定外，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会由基
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_blank class=infotextkey>3、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人认为_blank class=infotextkey>get=_blank class=infotextkey>有必要_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的，应当向_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人
提出书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>提议。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人应当自_blank class=infotextkey>收到书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>提议之日起_blank class=infotextkey>get=_blank class=infotextkey>10日内_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定是否召集，
并书_blank class=infotextkey>面告知_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定召集的，应当自出具书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定之日起
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由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人自行召集，并自出具书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定之日起_blank class=infotextkey>get=_blank class=infotextkey>60日内_blank class=infotextkey>get=_blank class=infotextkey>召开并告知_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理
_blank class=infotextkey>get=_blank class=infotextkey>人，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人应当配_blank class=infotextkey>合。


4、_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>get=_blank class=infotextkey>10%以_blank class=infotextkey>get=_blank class=infotextkey>上（_blank class=infotextkey>get=_blank class=infotextkey>含_blank class=infotextkey>get=_blank class=infotextkey>10%）的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人就同一_blank class=infotextkey>get=_blank class=infotextkey>事项书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>要求
_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会，应当向_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人提出书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>提议。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人应当自
_blank class=infotextkey>收到书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>提议之日起_blank class=infotextkey>get=_blank class=infotextkey>10日内_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定是否召集，并书_blank class=infotextkey>面告知提出_blank class=infotextkey>get=_blank class=infotextkey>提议的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持
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_blank class=infotextkey>get=_blank class=infotextkey>60日内_blank class=infotextkey>get=_blank class=infotextkey>召开；_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定_blank class=infotextkey>不召集，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>get=_blank class=infotextkey>10%以_blank class=infotextkey>get=_blank class=infotextkey>上（_blank class=infotextkey>get=_blank class=infotextkey>含_blank class=infotextkey>get=_blank class=infotextkey>10%）的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
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应当自_blank class=infotextkey>收到书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>提议之日起_blank class=infotextkey>get=_blank class=infotextkey>10日内_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定是否召集，并书_blank class=infotextkey>面告知提出_blank class=infotextkey>get=_blank class=infotextkey>提议的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人；_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定召集的，应当自出具书_blank class=infotextkey>面_blank class=infotextkey>get=_blank class=infotextkey>决_blank class=infotextkey>定之
日起_blank class=infotextkey>get=_blank class=infotextkey>60日内_blank class=infotextkey>get=_blank class=infotextkey>召开并告知_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人应当配_blank class=infotextkey>合。


5、_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>get=_blank class=infotextkey>10%以_blank class=infotextkey>get=_blank class=infotextkey>上（_blank class=infotextkey>get=_blank class=infotextkey>含_blank class=infotextkey>get=_blank class=infotextkey>10%）的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人就同一_blank class=infotextkey>get=_blank class=infotextkey>事项_blank class=infotextkey>get=_blank class=infotextkey>要求_blank class=infotextkey>get=_blank class=infotextkey>召开
_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会，而_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人都_blank class=infotextkey>不召集的，_blank class=infotextkey>单独或_blank class=infotextkey>合计_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表
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6、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议的召集_blank class=infotextkey>get=_blank class=infotextkey>人负责_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>选择确_blank class=infotextkey>定开_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>时间、_blank class=infotextkey>get=_blank class=infotextkey>地点、_blank class=infotextkey>get=_blank class=infotextkey>方式和权
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（五）议事_blank class=infotextkey>get=_blank class=infotextkey>内容与_blank class=infotextkey>get=_blank class=infotextkey>程序

1、议事_blank class=infotextkey>get=_blank class=infotextkey>内容及提案权

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并、_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>事项_blank class=infotextkey>以及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议召集_blank class=infotextkey>get=_blank class=infotextkey>人认为需提交_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份
额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会讨论的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>事项。


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_blank class=infotextkey>get=_blank class=infotextkey>2、议事_blank class=infotextkey>get=_blank class=infotextkey>程序

（1）_blank class=infotextkey>get=_blank class=infotextkey>现场开_blank class=infotextkey>get=_blank class=infotextkey>会

在_blank class=infotextkey>get=_blank class=infotextkey>现场开_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>方式_blank class=infotextkey>get=_blank class=infotextkey>下，首先由_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>主持_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>下列_blank class=infotextkey>第（七）条_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>程序确_blank class=infotextkey>定
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该次_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>主持_blank class=infotextkey>get=_blank class=infotextkey>人。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人拒_blank class=infotextkey>不出席或_blank class=infotextkey>get=_blank class=infotextkey>主持基
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（或_blank class=infotextkey>单位名称）、_blank class=infotextkey>get=_blank class=infotextkey>身份_blank class=infotextkey>get=_blank class=infotextkey>证明文件号码、持_blank class=infotextkey>get=_blank class=infotextkey>有或_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表_blank class=infotextkey>get=_blank class=infotextkey>有表决权的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额、委托_blank class=infotextkey>get=_blank class=infotextkey>人
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（_blank class=infotextkey>get=_blank class=infotextkey>2）通讯开_blank class=infotextkey>get=_blank class=infotextkey>会

在通讯开_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>情况_blank class=infotextkey>get=_blank class=infotextkey>下，首先由召集_blank class=infotextkey>get=_blank class=infotextkey>人提前_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>30日_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公_blank class=infotextkey>get=_blank class=infotextkey>布提案，在所_blank class=infotextkey>通知的表决
截止日期后_blank class=infotextkey>get=_blank class=infotextkey>2个_blank class=infotextkey>get=_blank class=infotextkey>工作日内在_blank class=infotextkey>get=_blank class=infotextkey>公证_blank class=infotextkey>get=_blank class=infotextkey>机关监督_blank class=infotextkey>get=_blank class=infotextkey>下由召集_blank class=infotextkey>get=_blank class=infotextkey>人统计_blank class=infotextkey>get=_blank class=infotextkey>全_blank class=infotextkey>部_blank class=infotextkey>get=_blank class=infotextkey>有效表决，在_blank class=infotextkey>get=_blank class=infotextkey>公证
_blank class=infotextkey>get=_blank class=infotextkey>机关监督_blank class=infotextkey>get=_blank class=infotextkey>下形成决议。


（六）表决

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人所持_blank class=infotextkey>get=_blank class=infotextkey>每份_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>get=_blank class=infotextkey>有一票表决权。


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1、_blank class=infotextkey>get=_blank class=infotextkey>一般决议，_blank class=infotextkey>get=_blank class=infotextkey>一般决议须经_blank class=infotextkey>get=_blank class=infotextkey>参加_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人或其_blank class=infotextkey>get=_blank class=infotextkey>代理_blank class=infotextkey>get=_blank class=infotextkey>人所持表
决权的二分之一以_blank class=infotextkey>get=_blank class=infotextkey>上（_blank class=infotextkey>get=_blank class=infotextkey>含二分之一）_blank class=infotextkey>get=_blank class=infotextkey>通过方为_blank class=infotextkey>get=_blank class=infotextkey>有效；除_blank class=infotextkey>get=_blank class=infotextkey>下列_blank class=infotextkey>第_blank class=infotextkey>get=_blank class=infotextkey>2项所_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的须以
特别决议_blank class=infotextkey>get=_blank class=infotextkey>通过_blank class=infotextkey>get=_blank class=infotextkey>事项以外的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>事项均以_blank class=infotextkey>get=_blank class=infotextkey>一般决议的_blank class=infotextkey>get=_blank class=infotextkey>方式_blank class=infotextkey>get=_blank class=infotextkey>通过。



_blank class=infotextkey>get=_blank class=infotextkey>2、特别决议，特别决议应当经_blank class=infotextkey>get=_blank class=infotextkey>参加_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人或其_blank class=infotextkey>get=_blank class=infotextkey>代理_blank class=infotextkey>get=_blank class=infotextkey>人所持
表决权的三分之二以_blank class=infotextkey>get=_blank class=infotextkey>上（_blank class=infotextkey>get=_blank class=infotextkey>含三分之二）_blank class=infotextkey>get=_blank class=infotextkey>通过方可做出。除_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同另_blank class=infotextkey>get=_blank class=infotextkey>有约_blank class=infotextkey>定外，
转换_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金运作_blank class=infotextkey>get=_blank class=infotextkey>方式、更换_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或者_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>终止《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》、本基
_blank class=infotextkey>get=_blank class=infotextkey>金与_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>合并以特别决议_blank class=infotextkey>get=_blank class=infotextkey>通过方为_blank class=infotextkey>get=_blank class=infotextkey>有效。


_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会采取记名_blank class=infotextkey>get=_blank class=infotextkey>方式_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>投票表决。


采取通讯_blank class=infotextkey>get=_blank class=infotextkey>方式_blank class=infotextkey>get=_blank class=infotextkey>进行表决_blank class=infotextkey>时，除非在计票_blank class=infotextkey>时_blank class=infotextkey>get=_blank class=infotextkey>有充分的相反证据_blank class=infotextkey>get=_blank class=infotextkey>证明，_blank class=infotextkey>否则提交
符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议_blank class=infotextkey>通知_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的确认_blank class=infotextkey>get=_blank class=infotextkey>投资者_blank class=infotextkey>get=_blank class=infotextkey>身份文件的表决视为_blank class=infotextkey>get=_blank class=infotextkey>有效出席的_blank class=infotextkey>get=_blank class=infotextkey>投资者，表_blank class=infotextkey>面
符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议_blank class=infotextkey>通知_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的表决_blank class=infotextkey>get=_blank class=infotextkey>意见视为_blank class=infotextkey>get=_blank class=infotextkey>有效表决，表决_blank class=infotextkey>get=_blank class=infotextkey>意见模糊_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>清或相互矛盾的视
为弃权表决，但应当计入出具表决_blank class=infotextkey>get=_blank class=infotextkey>意见的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人所_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额总数。


_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的各项提案或同一项提案内并列的各项议题应当分开
审议、逐项表决。


（七）计票

1、_blank class=infotextkey>get=_blank class=infotextkey>现场开_blank class=infotextkey>get=_blank class=infotextkey>会

（1）如_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人召集，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>主持
_blank class=infotextkey>get=_blank class=infotextkey>人应当在_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议开始后宣_blank class=infotextkey>get=_blank class=infotextkey>布在出席_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>代理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>选举_blank class=infotextkey>get=_blank class=infotextkey>两名基
_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表与_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会召集_blank class=infotextkey>get=_blank class=infotextkey>人授权的一名监督员_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>共同担任监票_blank class=infotextkey>get=_blank class=infotextkey>人；如_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会由基
_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人自行召集或_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会虽然由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人召集，但是_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金管
理_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人未出席_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>主持_blank class=infotextkey>get=_blank class=infotextkey>人应当在_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议开始
后宣_blank class=infotextkey>get=_blank class=infotextkey>布在出席_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>选举三名_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表担任监票
_blank class=infotextkey>get=_blank class=infotextkey>人。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>不出席_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的，_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>影响计票的_blank class=infotextkey>效力。


（_blank class=infotextkey>get=_blank class=infotextkey>2）监票_blank class=infotextkey>get=_blank class=infotextkey>人应当在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人表决后立即_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>清点并由_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>主持_blank class=infotextkey>get=_blank class=infotextkey>人当
场_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公_blank class=infotextkey>get=_blank class=infotextkey>布计票结果。


（_blank class=infotextkey>3）_blank class=infotextkey>如果_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>会议_blank class=infotextkey>get=_blank class=infotextkey>主持_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>代理_blank class=infotextkey>get=_blank class=infotextkey>人对于提交的表决结果_blank class=infotextkey>get=_blank class=infotextkey>有怀
疑，_blank class=infotextkey>get=_blank class=infotextkey>可以在宣_blank class=infotextkey>get=_blank class=infotextkey>布表决结果后立即对所_blank class=infotextkey>get=_blank class=infotextkey>投票数_blank class=infotextkey>get=_blank class=infotextkey>要求_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>清点。监票_blank class=infotextkey>get=_blank class=infotextkey>人应当_blank class=infotextkey>get=_blank class=infotextkey>进行
_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>清点，_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>清点以一次为_blank class=infotextkey>get=_blank class=infotextkey>限。_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>清点后，_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>主持_blank class=infotextkey>get=_blank class=infotextkey>人应当_blank class=infotextkey>get=_blank class=infotextkey>当场_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公_blank class=infotextkey>get=_blank class=infotextkey>布_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>清
点结果。


（4）计票过程应由_blank class=infotextkey>get=_blank class=infotextkey>公证_blank class=infotextkey>get=_blank class=infotextkey>机关予以_blank class=infotextkey>get=_blank class=infotextkey>公证，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人拒_blank class=infotextkey>不出席
_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会的，_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>影响计票的_blank class=infotextkey>效力。


_blank class=infotextkey>get=_blank class=infotextkey>2、通讯开_blank class=infotextkey>get=_blank class=infotextkey>会


在通讯开_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>情况_blank class=infotextkey>get=_blank class=infotextkey>下，计票_blank class=infotextkey>get=_blank class=infotextkey>方式为：由_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会召集_blank class=infotextkey>get=_blank class=infotextkey>人授权的_blank class=infotextkey>get=_blank class=infotextkey>两名监督员在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人授权_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表（若由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人召集，则为_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人授权_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>代表）的监督_blank class=infotextkey>get=_blank class=infotextkey>下进
行计票，并由_blank class=infotextkey>get=_blank class=infotextkey>公证_blank class=infotextkey>get=_blank class=infotextkey>机关_blank class=infotextkey>get=_blank class=infotextkey>对其计票过程予以_blank class=infotextkey>get=_blank class=infotextkey>公证。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人拒派_blank class=infotextkey>get=_blank class=infotextkey>代
表对表决_blank class=infotextkey>get=_blank class=infotextkey>意见的计票_blank class=infotextkey>get=_blank class=infotextkey>进行监督的，_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>影响计票和表决结果。


（_blank class=infotextkey>get=_blank class=infotextkey>八）生效与_blank class=infotextkey>get=_blank class=infotextkey>公告

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响的前提_blank class=infotextkey>get=_blank class=infotextkey>下，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人经与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人协_blank class=infotextkey>get=_blank class=infotextkey>商一致并_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>监管_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>部门_blank class=infotextkey>get=_blank class=infotextkey>要求履行适当
_blank class=infotextkey>get=_blank class=infotextkey>程序后可对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益分配_blank class=infotextkey>原则和支付_blank class=infotextkey>get=_blank class=infotextkey>方式_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>调整，_blank class=infotextkey>不需_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大
_blank class=infotextkey>get=_blank class=infotextkey>会，但应于变更实施日前在指_blank class=infotextkey>定媒介_blank class=infotextkey>get=_blank class=infotextkey>公告。


本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>每次_blank class=infotextkey>收益分配_blank class=infotextkey>比例详见届_blank class=infotextkey>时_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>发_blank class=infotextkey>get=_blank class=infotextkey>布的_blank class=infotextkey>get=_blank class=infotextkey>公告。


（四）_blank class=infotextkey>收益分配_blank class=infotextkey>get=_blank class=infotextkey>方案

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益分配_blank class=infotextkey>get=_blank class=infotextkey>方案_blank class=infotextkey>get=_blank class=infotextkey>中应载明截止_blank class=infotextkey>收益分配_blank class=infotextkey>get=_blank class=infotextkey>基准日的可供分配利润、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收
益分配对象、分配_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>时间、分配数额及_blank class=infotextkey>比例、分配_blank class=infotextkey>get=_blank class=infotextkey>方式等_blank class=infotextkey>get=_blank class=infotextkey>内容。


（五）_blank class=infotextkey>收益分配_blank class=infotextkey>get=_blank class=infotextkey>方案的确_blank class=infotextkey>定、_blank class=infotextkey>get=_blank class=infotextkey>公告与实施

本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益分配_blank class=infotextkey>get=_blank class=infotextkey>方案由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人拟_blank class=infotextkey>定，并由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人复核，在_blank class=infotextkey>get=_blank class=infotextkey>2个工
作日内在指_blank class=infotextkey>定媒介_blank class=infotextkey>get=_blank class=infotextkey>公告并报_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>备案。


_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益分配_blank class=infotextkey>get=_blank class=infotextkey>方案_blank class=infotextkey>get=_blank class=infotextkey>公告后，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人就支付的_blank class=infotextkey>get=_blank class=infotextkey>现_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>红利向_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人发
送划款指令，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的指令及_blank class=infotextkey>时_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>分红_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金的划付。


（六）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益分配_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>发生的_blank class=infotextkey>get=_blank class=infotextkey>费用

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>收益分配_blank class=infotextkey>时所_blank class=infotextkey>get=_blank class=infotextkey>发生的_blank class=infotextkey>get=_blank class=infotextkey>银行转账或_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>手续_blank class=infotextkey>get=_blank class=infotextkey>费用由_blank class=infotextkey>get=_blank class=infotextkey>投资者自行承担。对于
场外份额，当_blank class=infotextkey>get=_blank class=infotextkey>投资者的_blank class=infotextkey>get=_blank class=infotextkey>现_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>红利_blank class=infotextkey>get=_blank class=infotextkey>小于一_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>金额，_blank class=infotextkey>不足以支付_blank class=infotextkey>get=_blank class=infotextkey>银行转账或_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>手续


_blank class=infotextkey>get=_blank class=infotextkey>费用_blank class=infotextkey>时，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>登记机构可将_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>现_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>红利自动转为对应类别的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
份额。_blank class=infotextkey>get=_blank class=infotextkey>红利_blank class=infotextkey>get=_blank class=infotextkey>再_blank class=infotextkey>get=_blank class=infotextkey>投资的计算方法，依照《_blank class=infotextkey>get=_blank class=infotextkey>业务规则》执行。场内_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>收益分配
_blank class=infotextkey>时_blank class=infotextkey>get=_blank class=infotextkey>发生的_blank class=infotextkey>get=_blank class=infotextkey>费用，遵循_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳证券_blank class=infotextkey>get=_blank class=infotextkey>交易所和_blank class=infotextkey>get=_blank class=infotextkey>登记机构的相关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定。




四、与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>管理、运作_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>费用的_blank class=infotextkey>get=_blank class=infotextkey>提取、支付_blank class=infotextkey>get=_blank class=infotextkey>方式与_blank class=infotextkey>比例

（一）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>费用的种类

1、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>管理费；

_blank class=infotextkey>get=_blank class=infotextkey>2、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>托管费；

_blank class=infotextkey>3、本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金从C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>中计提的_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费；

4、标的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费；

5、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》生效后与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金相关的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信息披露_blank class=infotextkey>get=_blank class=infotextkey>费用；

6、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》生效后与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金相关的_blank class=infotextkey>get=_blank class=infotextkey>会计师费、_blank class=infotextkey>get=_blank class=infotextkey>律师费和_blank class=infotextkey>get=_blank class=infotextkey>诉讼费；

7、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市初费及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市月费；

8、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>费用；

9、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的证券、期货_blank class=infotextkey>get=_blank class=infotextkey>交易_blank class=infotextkey>get=_blank class=infotextkey>费用；

_blank class=infotextkey>get=_blank class=infotextkey>10、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>银行汇划_blank class=infotextkey>get=_blank class=infotextkey>费用；

_blank class=infotextkey>11、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的账户开户_blank class=infotextkey>get=_blank class=infotextkey>费用、账户_blank class=infotextkey>get=_blank class=infotextkey>维护_blank class=infotextkey>get=_blank class=infotextkey>费用；

1_blank class=infotextkey>get=_blank class=infotextkey>2、因_blank class=infotextkey>get=_blank class=infotextkey>投资港股通标的_blank class=infotextkey>get=_blank class=infotextkey>股票而产_blank class=infotextkey>get=_blank class=infotextkey>生的各项_blank class=infotextkey>get=_blank class=infotextkey>费用；

_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>3、_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>国家_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>定，_blank class=infotextkey>get=_blank class=infotextkey>可以在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>中列支的_blank class=infotextkey>get=_blank class=infotextkey>其他
_blank class=infotextkey>get=_blank class=infotextkey>费用。


（二）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>费用计提方法、计提_blank class=infotextkey>get=_blank class=infotextkey>标准和支付_blank class=infotextkey>get=_blank class=infotextkey>方式

1、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>get=_blank class=infotextkey>管理费

本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>管理费按前一日_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的0.5%年费率计提。_blank class=infotextkey>get=_blank class=infotextkey>管理费的计算
方法如_blank class=infotextkey>get=_blank class=infotextkey>下：

H＝E×0.5%÷当年天数

H为_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>每日应计提的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理费

E为前一日的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理费_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>每日计提，按月支付。经_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人核对一致后，
由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人于次月首日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内从_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>一次性支付给_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理


_blank class=infotextkey>get=_blank class=infotextkey>人。若遇_blank class=infotextkey>法_blank class=infotextkey>定节假日或_blank class=infotextkey>不可抗力致使_blank class=infotextkey>get=_blank class=infotextkey>无法按_blank class=infotextkey>时支付的，顺延至_blank class=infotextkey>法_blank class=infotextkey>定节假日_blank class=infotextkey>get=_blank class=infotextkey>结束之
日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内或_blank class=infotextkey>不可抗力情形消除之日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内支付。


_blank class=infotextkey>get=_blank class=infotextkey>2、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人的_blank class=infotextkey>托管费

本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>托管费按前一日_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的0.1%的年费率计提。_blank class=infotextkey>托管费的计
算方法如_blank class=infotextkey>get=_blank class=infotextkey>下：

H＝E×0.1%÷当年天数

H为_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>每日应计提的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管费

E为前一日的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管费_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>每日计提，按月支付。经_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人核对一致后，
由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人于次月首日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内从_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>一次性支付给_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管
_blank class=infotextkey>get=_blank class=infotextkey>人。若遇_blank class=infotextkey>法_blank class=infotextkey>定节假日或_blank class=infotextkey>不可抗力致使_blank class=infotextkey>get=_blank class=infotextkey>无法按_blank class=infotextkey>时支付的，顺延至_blank class=infotextkey>法_blank class=infotextkey>定节假日_blank class=infotextkey>get=_blank class=infotextkey>结束之
日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内或_blank class=infotextkey>不可抗力情形消除之日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内支付。


_blank class=infotextkey>3、C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费

本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金A类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>不_blank class=infotextkey>收取_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费，C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费按前一
日C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的0._blank class=infotextkey>get=_blank class=infotextkey>25%年费率计提。计算方法如_blank class=infotextkey>get=_blank class=infotextkey>下：

H＝E×0._blank class=infotextkey>get=_blank class=infotextkey>25%÷当年天数

H为C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>每日应计提的_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费

E为C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额前一日_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值

C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>每日计提，按月支付。经_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人
核对一致后，由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人于次月首日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内从_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>一次性支付
给_blank class=infotextkey>get=_blank class=infotextkey>登记机构，由_blank class=infotextkey>get=_blank class=infotextkey>登记机构_blank class=infotextkey>get=_blank class=infotextkey>代付给_blank class=infotextkey>get=_blank class=infotextkey>销售机构。若遇_blank class=infotextkey>法_blank class=infotextkey>定节假日或_blank class=infotextkey>不可抗力致使_blank class=infotextkey>get=_blank class=infotextkey>无法
按_blank class=infotextkey>时支付的，顺延至_blank class=infotextkey>法_blank class=infotextkey>定节假日_blank class=infotextkey>get=_blank class=infotextkey>结束之日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内或_blank class=infotextkey>不可抗力情形消除之
日起5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内支付。


4、标的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费

本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人与标的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可方所签订的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>使用_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>协议_blank class=infotextkey>get=_blank class=infotextkey>中所
_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费计提方法支付_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费。_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费的费率、
_blank class=infotextkey>get=_blank class=infotextkey>具_blank class=infotextkey>get=_blank class=infotextkey>体计算方法及支付_blank class=infotextkey>get=_blank class=infotextkey>方式见招募说明书。


_blank class=infotextkey>如果_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>使用_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>协议约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费的计算方法、费率和支付_blank class=infotextkey>get=_blank class=infotextkey>方式
等_blank class=infotextkey>get=_blank class=infotextkey>发生_blank class=infotextkey>get=_blank class=infotextkey>调整，本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金将_blank class=infotextkey>get=_blank class=infotextkey>采用_blank class=infotextkey>get=_blank class=infotextkey>调整_blank class=infotextkey>get=_blank class=infotextkey>后的方法或费率计算_blank class=infotextkey>get=_blank class=infotextkey>指数_blank class=infotextkey>get=_blank class=infotextkey>许可_blank class=infotextkey>get=_blank class=infotextkey>使用费。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理


_blank class=infotextkey>get=_blank class=infotextkey>人将在招募说明书更_blank class=infotextkey>get=_blank class=infotextkey>新或_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>公告_blank class=infotextkey>get=_blank class=infotextkey>中披露_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>最_blank class=infotextkey>get=_blank class=infotextkey>新适用的方法。


_blank class=infotextkey>get=_blank class=infotextkey>上述_blank class=infotextkey>get=_blank class=infotextkey>“（一）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>费用的种类_blank class=infotextkey>get=_blank class=infotextkey>”_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>第5_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>3项_blank class=infotextkey>get=_blank class=infotextkey>费用，根据_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>法规及相应_blank class=infotextkey>get=_blank class=infotextkey>协议
_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，按_blank class=infotextkey>get=_blank class=infotextkey>费用实际支出_blank class=infotextkey>get=_blank class=infotextkey>金额列入当期_blank class=infotextkey>get=_blank class=infotextkey>费用，由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人从_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>中支付。


（三）_blank class=infotextkey>不列入_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>费用的_blank class=infotextkey>get=_blank class=infotextkey>项目

_blank class=infotextkey>get=_blank class=infotextkey>下列_blank class=infotextkey>get=_blank class=infotextkey>费用_blank class=infotextkey>不列入_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>费用：

1、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人因未履行或未完_blank class=infotextkey>get=_blank class=infotextkey>全履行义务导致的_blank class=infotextkey>get=_blank class=infotextkey>费用支出或
_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产的损失；

_blank class=infotextkey>get=_blank class=infotextkey>2、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>处理与_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金运作无关的_blank class=infotextkey>get=_blank class=infotextkey>事项_blank class=infotextkey>get=_blank class=infotextkey>发生的_blank class=infotextkey>get=_blank class=infotextkey>费用；

_blank class=infotextkey>3、《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》生效前的相关_blank class=infotextkey>get=_blank class=infotextkey>费用；

4、_blank class=infotextkey>get=_blank class=infotextkey>其他根据相关_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会的_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得列入_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>费用的项
目。


（四）_blank class=infotextkey>get=_blank class=infotextkey>费用_blank class=infotextkey>get=_blank class=infotextkey>调整

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人协_blank class=infotextkey>get=_blank class=infotextkey>商一致并履行适当_blank class=infotextkey>get=_blank class=infotextkey>程序后，可_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>发展_blank class=infotextkey>get=_blank class=infotextkey>情况，
并根据_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定和_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同约_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>调整_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理费率、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管费率等相关费
率。


调低本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金C类_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额的_blank class=infotextkey>get=_blank class=infotextkey>销售_blank class=infotextkey>get=_blank class=infotextkey>服务费率，无需_blank class=infotextkey>get=_blank class=infotextkey>召开_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>会。


_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>必须于_blank class=infotextkey>get=_blank class=infotextkey>新的费率实施前_blank class=infotextkey>get=_blank class=infotextkey>按照《_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信息披露_blank class=infotextkey>get=_blank class=infotextkey>办法》的_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定在指_blank class=infotextkey>定媒介
_blank class=infotextkey>get=_blank class=infotextkey>上_blank class=infotextkey>get=_blank class=infotextkey>公告。


（五）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金税_blank class=infotextkey>收

本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金运作过程_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>涉及的各纳税主_blank class=infotextkey>get=_blank class=infotextkey>体，其纳税义务按_blank class=infotextkey>get=_blank class=infotextkey>国家税_blank class=infotextkey>收_blank class=infotextkey>get=_blank class=infotextkey>法律、_blank class=infotextkey>get=_blank class=infotextkey>法规执
行。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>投资的相_blank class=infotextkey>get=_blank class=infotextkey>关税_blank class=infotextkey>收，由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人承担，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人或者_blank class=infotextkey>get=_blank class=infotextkey>其他扣
缴义务_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>按照_blank class=infotextkey>get=_blank class=infotextkey>国家_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>关税_blank class=infotextkey>收_blank class=infotextkey>get=_blank class=infotextkey>征_blank class=infotextkey>收的_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定_blank class=infotextkey>get=_blank class=infotextkey>代扣_blank class=infotextkey>get=_blank class=infotextkey>代缴。




五、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产的_blank class=infotextkey>get=_blank class=infotextkey>投资方向和_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>限制

（一）_blank class=infotextkey>get=_blank class=infotextkey>投资目标

本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>采用_blank class=infotextkey>get=_blank class=infotextkey>指数化_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>策略，紧密跟踪_blank class=infotextkey>get=_blank class=infotextkey>中证_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳_blank class=infotextkey>get=_blank class=infotextkey>科技_blank class=infotextkey>get=_blank class=infotextkey>创_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>主题_blank class=infotextkey>get=_blank class=infotextkey>指数。在正_blank class=infotextkey>get=_blank class=infotextkey>常
_blank class=infotextkey>get=_blank class=infotextkey>市场_blank class=infotextkey>get=_blank class=infotextkey>情况_blank class=infotextkey>get=_blank class=infotextkey>下，力争将_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的净值_blank class=infotextkey>get=_blank class=infotextkey>增长率与业绩_blank class=infotextkey>get=_blank class=infotextkey>比较_blank class=infotextkey>get=_blank class=infotextkey>基准之_blank class=infotextkey>get=_blank class=infotextkey>间的日均跟踪偏离度绝
对值_blank class=infotextkey>get=_blank class=infotextkey>控制在0._blank class=infotextkey>35%以内，年跟踪误差_blank class=infotextkey>get=_blank class=infotextkey>控制在4%以内。


（二）_blank class=infotextkey>get=_blank class=infotextkey>投资范围


本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>投资范围为具_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>良好_blank class=infotextkey>get=_blank class=infotextkey>流动性的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>金融工具，以_blank class=infotextkey>get=_blank class=infotextkey>中证_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳_blank class=infotextkey>get=_blank class=infotextkey>科技_blank class=infotextkey>get=_blank class=infotextkey>创_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>主题
_blank class=infotextkey>get=_blank class=infotextkey>指数的成份股_blank class=infotextkey>get=_blank class=infotextkey>及其备_blank class=infotextkey>get=_blank class=infotextkey>选成份股为_blank class=infotextkey>get=_blank class=infotextkey>主要_blank class=infotextkey>get=_blank class=infotextkey>投资对象。为_blank class=infotextkey>get=_blank class=infotextkey>更好_blank class=infotextkey>get=_blank class=infotextkey>地_blank class=infotextkey>get=_blank class=infotextkey>实现_blank class=infotextkey>get=_blank class=infotextkey>投资目标，本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
_blank class=infotextkey>get=_blank class=infotextkey>也可_blank class=infotextkey>get=_blank class=infotextkey>投资于_blank class=infotextkey>get=_blank class=infotextkey>国内_blank class=infotextkey>依法_blank class=infotextkey>get=_blank class=infotextkey>发行_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>股票（非标的_blank class=infotextkey>get=_blank class=infotextkey>指数成份股_blank class=infotextkey>get=_blank class=infotextkey>及其备_blank class=infotextkey>get=_blank class=infotextkey>选成份股，
包括_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>小板、_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>创业板_blank class=infotextkey>get=_blank class=infotextkey>及其他经_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会核准_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市的_blank class=infotextkey>get=_blank class=infotextkey>股票）、港股通标的_blank class=infotextkey>get=_blank class=infotextkey>股票、
债券、债券_blank class=infotextkey>get=_blank class=infotextkey>回购、股指期货、国债期货、_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券、_blank class=infotextkey>get=_blank class=infotextkey>银行存款、_blank class=infotextkey>get=_blank class=infotextkey>货币_blank class=infotextkey>get=_blank class=infotextkey>市场工
具_blank class=infotextkey>以及_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规或_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会允许_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>金融工具(但须符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监
_blank class=infotextkey>get=_blank class=infotextkey>会相关_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定)。


如_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规或_blank class=infotextkey>get=_blank class=infotextkey>监管机构以后允许_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>其他品种，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人在履行适当
_blank class=infotextkey>get=_blank class=infotextkey>程序后，_blank class=infotextkey>get=_blank class=infotextkey>可以将其纳入_blank class=infotextkey>get=_blank class=infotextkey>投资范围。


_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>投资组_blank class=infotextkey>合_blank class=infotextkey>比例为：本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资于_blank class=infotextkey>get=_blank class=infotextkey>股票_blank class=infotextkey>get=_blank class=infotextkey>资产的_blank class=infotextkey>比例占_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产的_blank class=infotextkey>比例_blank class=infotextkey>不
_blank class=infotextkey>get=_blank class=infotextkey>低于90%，其_blank class=infotextkey>get=_blank class=infotextkey>中，_blank class=infotextkey>get=_blank class=infotextkey>投资标的_blank class=infotextkey>get=_blank class=infotextkey>指数成份股_blank class=infotextkey>get=_blank class=infotextkey>及其备_blank class=infotextkey>get=_blank class=infotextkey>选成份股的_blank class=infotextkey>比例_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>低于_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净
值的90%；_blank class=infotextkey>get=_blank class=infotextkey>每个_blank class=infotextkey>get=_blank class=infotextkey>交易日日终在扣除股指期货_blank class=infotextkey>合约和国债期货_blank class=infotextkey>合约需缴纳的_blank class=infotextkey>get=_blank class=infotextkey>交易_blank class=infotextkey>get=_blank class=infotextkey>保
证_blank class=infotextkey>get=_blank class=infotextkey>金后，_blank class=infotextkey>get=_blank class=infotextkey>保持_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>低于_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值5%的_blank class=infotextkey>get=_blank class=infotextkey>现_blank class=infotextkey>get=_blank class=infotextkey>金或_blank class=infotextkey>get=_blank class=infotextkey>到期日在一年以_blank class=infotextkey>get=_blank class=infotextkey>内的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>政府债券，
其_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>现_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>不包括结算备付_blank class=infotextkey>get=_blank class=infotextkey>金、存出_blank class=infotextkey>get=_blank class=infotextkey>保证_blank class=infotextkey>get=_blank class=infotextkey>金、应_blank class=infotextkey>收申购款等。


_blank class=infotextkey>如果_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规对该_blank class=infotextkey>比例_blank class=infotextkey>get=_blank class=infotextkey>要求_blank class=infotextkey>get=_blank class=infotextkey>有变更的，以变更_blank class=infotextkey>get=_blank class=infotextkey>后的_blank class=infotextkey>比例为准，本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>投资
范围_blank class=infotextkey>get=_blank class=infotextkey>会做相应_blank class=infotextkey>get=_blank class=infotextkey>调整。


（三）_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>限制

1、组_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>限制

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的_blank class=infotextkey>get=_blank class=infotextkey>投资组_blank class=infotextkey>合应遵循以_blank class=infotextkey>get=_blank class=infotextkey>下_blank class=infotextkey>get=_blank class=infotextkey>限制：

（1）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资于_blank class=infotextkey>get=_blank class=infotextkey>股票_blank class=infotextkey>get=_blank class=infotextkey>资产的_blank class=infotextkey>比例占_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产的_blank class=infotextkey>比例_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>低于90%，其_blank class=infotextkey>get=_blank class=infotextkey>中，
_blank class=infotextkey>get=_blank class=infotextkey>投资于_blank class=infotextkey>get=_blank class=infotextkey>中证_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>深圳_blank class=infotextkey>get=_blank class=infotextkey>科技_blank class=infotextkey>get=_blank class=infotextkey>创_blank class=infotextkey>get=_blank class=infotextkey>新_blank class=infotextkey>get=_blank class=infotextkey>主题_blank class=infotextkey>get=_blank class=infotextkey>指数成份股_blank class=infotextkey>get=_blank class=infotextkey>及其备_blank class=infotextkey>get=_blank class=infotextkey>选成份股的_blank class=infotextkey>比例_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>低于_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金资
产净值的90%；

（_blank class=infotextkey>get=_blank class=infotextkey>2）_blank class=infotextkey>get=_blank class=infotextkey>每个_blank class=infotextkey>get=_blank class=infotextkey>交易日日终在扣除股指期货_blank class=infotextkey>合约和国债期货_blank class=infotextkey>合约需缴纳的_blank class=infotextkey>get=_blank class=infotextkey>交易_blank class=infotextkey>get=_blank class=infotextkey>保
证_blank class=infotextkey>get=_blank class=infotextkey>金后，本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>保持_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>低于_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值5％的_blank class=infotextkey>get=_blank class=infotextkey>现_blank class=infotextkey>get=_blank class=infotextkey>金或者_blank class=infotextkey>get=_blank class=infotextkey>到期日在一年以_blank class=infotextkey>get=_blank class=infotextkey>内的_blank class=infotextkey>政
府债券，其_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>现_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>不包括结算备付_blank class=infotextkey>get=_blank class=infotextkey>金、存出_blank class=infotextkey>get=_blank class=infotextkey>保证_blank class=infotextkey>get=_blank class=infotextkey>金、应_blank class=infotextkey>收申购款等；

（_blank class=infotextkey>3）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资于同一_blank class=infotextkey>原始权益_blank class=infotextkey>get=_blank class=infotextkey>人的各类_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券的_blank class=infotextkey>比例，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过


_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的_blank class=infotextkey>get=_blank class=infotextkey>10％；

（4）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金持_blank class=infotextkey>get=_blank class=infotextkey>有的_blank class=infotextkey>get=_blank class=infotextkey>全_blank class=infotextkey>部_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券，其市值_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的
_blank class=infotextkey>get=_blank class=infotextkey>20％；

（5）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金持_blank class=infotextkey>get=_blank class=infotextkey>有的同一（指同一_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信用级别）_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券的_blank class=infotextkey>比例，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超
过该_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券_blank class=infotextkey>get=_blank class=infotextkey>规模的_blank class=infotextkey>get=_blank class=infotextkey>10％；

（6）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>管理的_blank class=infotextkey>get=_blank class=infotextkey>全_blank class=infotextkey>部_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资于同一_blank class=infotextkey>原始权益_blank class=infotextkey>get=_blank class=infotextkey>人的各类_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持
证券，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过其各类_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券_blank class=infotextkey>合计_blank class=infotextkey>get=_blank class=infotextkey>规模的_blank class=infotextkey>get=_blank class=infotextkey>10％；

（7）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金应_blank class=infotextkey>get=_blank class=infotextkey>投资于_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信用级别评级为BBB以_blank class=infotextkey>get=_blank class=infotextkey>上(_blank class=infotextkey>get=_blank class=infotextkey>含BBB)的_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券。

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>资产_blank class=infotextkey>get=_blank class=infotextkey>支持证券期间，_blank class=infotextkey>如果其_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>信用等级_blank class=infotextkey>get=_blank class=infotextkey>下_blank class=infotextkey>get=_blank class=infotextkey>降、_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>再符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>标准，应在评
级_blank class=infotextkey>get=_blank class=infotextkey>报告_blank class=infotextkey>get=_blank class=infotextkey>发_blank class=infotextkey>get=_blank class=infotextkey>布之日起_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>3个月内予以_blank class=infotextkey>get=_blank class=infotextkey>全_blank class=infotextkey>部卖出；

（8）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>参与_blank class=infotextkey>get=_blank class=infotextkey>股票_blank class=infotextkey>get=_blank class=infotextkey>发行申购，本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金所_blank class=infotextkey>get=_blank class=infotextkey>申报的_blank class=infotextkey>get=_blank class=infotextkey>金额_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>超过本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金的总
_blank class=infotextkey>get=_blank class=infotextkey>资产，本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金所_blank class=infotextkey>get=_blank class=infotextkey>申报的_blank class=infotextkey>get=_blank class=infotextkey>股票数量_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>超过拟_blank class=infotextkey>get=_blank class=infotextkey>发行_blank class=infotextkey>get=_blank class=infotextkey>股票_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公司本次_blank class=infotextkey>get=_blank class=infotextkey>发行_blank class=infotextkey>get=_blank class=infotextkey>股票的总量；

（9）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>进入_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>全国_blank class=infotextkey>get=_blank class=infotextkey>银行间同业_blank class=infotextkey>get=_blank class=infotextkey>市场_blank class=infotextkey>get=_blank class=infotextkey>进行债券_blank class=infotextkey>get=_blank class=infotextkey>回购的_blank class=infotextkey>get=_blank class=infotextkey>资_blank class=infotextkey>get=_blank class=infotextkey>金余额_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过基
_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的40%，_blank class=infotextkey>get=_blank class=infotextkey>进入_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>全国_blank class=infotextkey>get=_blank class=infotextkey>银行间同业_blank class=infotextkey>get=_blank class=infotextkey>市场_blank class=infotextkey>get=_blank class=infotextkey>进行债券_blank class=infotextkey>get=_blank class=infotextkey>回购的_blank class=infotextkey>最长_blank class=infotextkey>get=_blank class=infotextkey>期_blank class=infotextkey>get=_blank class=infotextkey>限为1年，
债券_blank class=infotextkey>get=_blank class=infotextkey>回购_blank class=infotextkey>get=_blank class=infotextkey>到期后_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得展期；

（_blank class=infotextkey>get=_blank class=infotextkey>10）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>参与股指期货或国债期货的，在任何_blank class=infotextkey>get=_blank class=infotextkey>交易日日终，持_blank class=infotextkey>get=_blank class=infotextkey>有的买入
国债期货及股指期货_blank class=infotextkey>合约_blank class=infotextkey>get=_blank class=infotextkey>价值与_blank class=infotextkey>get=_blank class=infotextkey>有价证券市值之和，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的
_blank class=infotextkey>get=_blank class=infotextkey>100%。其_blank class=infotextkey>get=_blank class=infotextkey>中，_blank class=infotextkey>get=_blank class=infotextkey>有价证券指_blank class=infotextkey>get=_blank class=infotextkey>股票、债券（_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>含_blank class=infotextkey>get=_blank class=infotextkey>到期日在一年以_blank class=infotextkey>get=_blank class=infotextkey>内的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>政府债券）、资
产_blank class=infotextkey>get=_blank class=infotextkey>支持证券、买入返售_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>金融_blank class=infotextkey>get=_blank class=infotextkey>资产（_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>含质押式_blank class=infotextkey>get=_blank class=infotextkey>回购）等；

（_blank class=infotextkey>11）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>参与股指期货_blank class=infotextkey>get=_blank class=infotextkey>交易：

1）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金在任何_blank class=infotextkey>get=_blank class=infotextkey>交易日日终，持_blank class=infotextkey>get=_blank class=infotextkey>有的买入股指期货_blank class=infotextkey>合约_blank class=infotextkey>get=_blank class=infotextkey>价值，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过基
_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的_blank class=infotextkey>get=_blank class=infotextkey>10%；

_blank class=infotextkey>get=_blank class=infotextkey>2）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金在任何_blank class=infotextkey>get=_blank class=infotextkey>交易日日终，持_blank class=infotextkey>get=_blank class=infotextkey>有的卖出股指期货_blank class=infotextkey>合约_blank class=infotextkey>get=_blank class=infotextkey>价值_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
持_blank class=infotextkey>get=_blank class=infotextkey>有的_blank class=infotextkey>get=_blank class=infotextkey>股票总市值的_blank class=infotextkey>get=_blank class=infotextkey>20%；

_blank class=infotextkey>3）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金所持_blank class=infotextkey>get=_blank class=infotextkey>有的_blank class=infotextkey>get=_blank class=infotextkey>股票市值和买入、卖出股指期货_blank class=infotextkey>合约_blank class=infotextkey>get=_blank class=infotextkey>价值，_blank class=infotextkey>合计（轧差
计算）应当符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同_blank class=infotextkey>get=_blank class=infotextkey>关于_blank class=infotextkey>get=_blank class=infotextkey>股票_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>比例的_blank class=infotextkey>get=_blank class=infotextkey>有关约_blank class=infotextkey>定；


4）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金在任何_blank class=infotextkey>get=_blank class=infotextkey>交易日内_blank class=infotextkey>get=_blank class=infotextkey>交易（_blank class=infotextkey>不包括平仓）的股指期货_blank class=infotextkey>合约的_blank class=infotextkey>get=_blank class=infotextkey>成交_blank class=infotextkey>get=_blank class=infotextkey>金额
_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>上一_blank class=infotextkey>get=_blank class=infotextkey>交易日_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的_blank class=infotextkey>get=_blank class=infotextkey>20%；

（1_blank class=infotextkey>get=_blank class=infotextkey>2）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>参与国债期货_blank class=infotextkey>get=_blank class=infotextkey>交易：

1）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金在任何_blank class=infotextkey>get=_blank class=infotextkey>交易日日终，持_blank class=infotextkey>get=_blank class=infotextkey>有的买入国债期货_blank class=infotextkey>合约_blank class=infotextkey>get=_blank class=infotextkey>价值，_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过基
_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的15%；

_blank class=infotextkey>get=_blank class=infotextkey>2）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金在任何_blank class=infotextkey>get=_blank class=infotextkey>交易日日终，持_blank class=infotextkey>get=_blank class=infotextkey>有的卖出国债期货_blank class=infotextkey>合约_blank class=infotextkey>get=_blank class=infotextkey>价值_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
持_blank class=infotextkey>get=_blank class=infotextkey>有的债券总市值的_blank class=infotextkey>30%；

_blank class=infotextkey>3）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金所持_blank class=infotextkey>get=_blank class=infotextkey>有的债券（_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>含_blank class=infotextkey>get=_blank class=infotextkey>到期日在一年以_blank class=infotextkey>get=_blank class=infotextkey>内的_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>政府债券）市值和买入、
卖出国债期货_blank class=infotextkey>合约_blank class=infotextkey>get=_blank class=infotextkey>价值，_blank class=infotextkey>合计（轧差计算）应当符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同_blank class=infotextkey>get=_blank class=infotextkey>关于债券_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>比例
的_blank class=infotextkey>get=_blank class=infotextkey>有关约_blank class=infotextkey>定；

4）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金在任何_blank class=infotextkey>get=_blank class=infotextkey>交易日内_blank class=infotextkey>get=_blank class=infotextkey>交易（_blank class=infotextkey>不包括平仓）的国债期货_blank class=infotextkey>合约的_blank class=infotextkey>get=_blank class=infotextkey>成交_blank class=infotextkey>get=_blank class=infotextkey>金额
_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>上一_blank class=infotextkey>get=_blank class=infotextkey>交易日_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的_blank class=infotextkey>30%；

（_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>3）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金主动_blank class=infotextkey>get=_blank class=infotextkey>投资于_blank class=infotextkey>get=_blank class=infotextkey>流动性受_blank class=infotextkey>get=_blank class=infotextkey>限_blank class=infotextkey>get=_blank class=infotextkey>资产的市值_blank class=infotextkey>合计_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值
的15%。因证券_blank class=infotextkey>get=_blank class=infotextkey>市场_blank class=infotextkey>get=_blank class=infotextkey>波动、_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>上市_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>公司_blank class=infotextkey>get=_blank class=infotextkey>股票停牌、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>规模变动等_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人之外
的因素致使_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>不符_blank class=infotextkey>合_blank class=infotextkey>get=_blank class=infotextkey>上述_blank class=infotextkey>比例_blank class=infotextkey>get=_blank class=infotextkey>限制的，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不得主动_blank class=infotextkey>get=_blank class=infotextkey>新增_blank class=infotextkey>get=_blank class=infotextkey>流动性受_blank class=infotextkey>get=_blank class=infotextkey>限资
产的_blank class=infotextkey>get=_blank class=infotextkey>投资；

（14）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金与私募类证券资管_blank class=infotextkey>get=_blank class=infotextkey>产品及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会认_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他主_blank class=infotextkey>get=_blank class=infotextkey>体为_blank class=infotextkey>get=_blank class=infotextkey>交易对
手_blank class=infotextkey>get=_blank class=infotextkey>开展逆_blank class=infotextkey>get=_blank class=infotextkey>回购_blank class=infotextkey>get=_blank class=infotextkey>交易的，可_blank class=infotextkey>get=_blank class=infotextkey>接受质押品的资质_blank class=infotextkey>get=_blank class=infotextkey>要求应当与本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>投资范
围_blank class=infotextkey>get=_blank class=infotextkey>保持一致；

（15）本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产总值_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>超过_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的140%；

（16）_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>法规及_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定的和《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》约_blank class=infotextkey>_blank class=infotextkey>定的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>get=_blank class=infotextkey>限制。


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_blank class=infotextkey>get=_blank class=infotextkey>2、禁止_blank class=infotextkey>get=_blank class=infotextkey>行为

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（1）承销证券；

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（7）_blank class=infotextkey>get=_blank class=infotextkey>法律、行_blank class=infotextkey>政_blank class=infotextkey>get=_blank class=infotextkey>法规和_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定禁止的_blank class=infotextkey>get=_blank class=infotextkey>其他_blank class=infotextkey>get=_blank class=infotextkey>活动。


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理_blank class=infotextkey>get=_blank class=infotextkey>人在履行适当_blank class=infotextkey>get=_blank class=infotextkey>程序后，则本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>投资_blank class=infotextkey>不_blank class=infotextkey>get=_blank class=infotextkey>再受相关_blank class=infotextkey>get=_blank class=infotextkey>限制。




六、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产净值的计算方法和_blank class=infotextkey>get=_blank class=infotextkey>公告_blank class=infotextkey>get=_blank class=infotextkey>方式

（一）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>资产总值


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_blank class=infotextkey>3、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>小组职责：_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>小组负责_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产的_blank class=infotextkey>get=_blank class=infotextkey>保管、_blank class=infotextkey>get=_blank class=infotextkey>清理、
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4、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>程序：

（1）《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>终止情形_blank class=infotextkey>get=_blank class=infotextkey>出现_blank class=infotextkey>时，由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>小组_blank class=infotextkey>get=_blank class=infotextkey>统一接管_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金；

（_blank class=infotextkey>get=_blank class=infotextkey>2）对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产和债权_blank class=infotextkey>债务_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>清理和确认；

（_blank class=infotextkey>3）对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>估值和变现；

（4）制作_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>报告；

（5）聘请_blank class=infotextkey>get=_blank class=infotextkey>会计师事务所对_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>报告_blank class=infotextkey>get=_blank class=infotextkey>进行外_blank class=infotextkey>部_blank class=infotextkey>get=_blank class=infotextkey>审计，聘请_blank class=infotextkey>get=_blank class=infotextkey>律师事务所对_blank class=infotextkey>get=_blank class=infotextkey>清算
_blank class=infotextkey>get=_blank class=infotextkey>报告出具_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>意见书；

（6）将_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>报告报_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>备案并_blank class=infotextkey>get=_blank class=infotextkey>公告；

（7）对_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>剩余财产_blank class=infotextkey>get=_blank class=infotextkey>进行分配。


5、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算的_blank class=infotextkey>get=_blank class=infotextkey>期_blank class=infotextkey>get=_blank class=infotextkey>限为_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>6个月，但因本_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金所持证券的_blank class=infotextkey>get=_blank class=infotextkey>流动性_blank class=infotextkey>get=_blank class=infotextkey>受到_blank class=infotextkey>get=_blank class=infotextkey>限制
而_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>不能及_blank class=infotextkey>时变现的，_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>期_blank class=infotextkey>get=_blank class=infotextkey>限相应顺延。


（四）_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>费用

_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>费用是指_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>小组在_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>清算过程_blank class=infotextkey>get=_blank class=infotextkey>中_blank class=infotextkey>get=_blank class=infotextkey>发生的所_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>合理费
用，_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>费用由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>小组优先从_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>中支付。


（五）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>剩余_blank class=infotextkey>get=_blank class=infotextkey>资产的分配

依据_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算的分配_blank class=infotextkey>get=_blank class=infotextkey>方案，将_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>后的_blank class=infotextkey>get=_blank class=infotextkey>全_blank class=infotextkey>部_blank class=infotextkey>get=_blank class=infotextkey>剩余_blank class=infotextkey>get=_blank class=infotextkey>资产扣除_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>费用、交纳所欠税款并_blank class=infotextkey>get=_blank class=infotextkey>清偿_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>债务后，按_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金份额持_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>人持_blank class=infotextkey>get=_blank class=infotextkey>有的_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金
份额_blank class=infotextkey>比例_blank class=infotextkey>get=_blank class=infotextkey>进行分配。


（六）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算的_blank class=infotextkey>get=_blank class=infotextkey>公告


_blank class=infotextkey>get=_blank class=infotextkey>清算过程_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中的_blank class=infotextkey>get=_blank class=infotextkey>有关_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>重_blank class=infotextkey>get=_blank class=infotextkey>大_blank class=infotextkey>get=_blank class=infotextkey>事项须及_blank class=infotextkey>时_blank class=infotextkey>get=_blank class=infotextkey>公告；_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>报告经_blank class=infotextkey>get=_blank class=infotextkey>会计师事务所
_blank class=infotextkey>get=_blank class=infotextkey>审计并由_blank class=infotextkey>get=_blank class=infotextkey>律师事务所出具_blank class=infotextkey>get=_blank class=infotextkey>法律_blank class=infotextkey>get=_blank class=infotextkey>意见书后报_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>备案并_blank class=infotextkey>get=_blank class=infotextkey>公告。_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算
_blank class=infotextkey>get=_blank class=infotextkey>公告于_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>报告报_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国证监_blank class=infotextkey>get=_blank class=infotextkey>会_blank class=infotextkey>get=_blank class=infotextkey>备案后5个_blank class=infotextkey>get=_blank class=infotextkey>工作日内由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算_blank class=infotextkey>get=_blank class=infotextkey>小
组_blank class=infotextkey>get=_blank class=infotextkey>进行_blank class=infotextkey>get=_blank class=infotextkey>公告。


（七）_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算账册及文件的_blank class=infotextkey>get=_blank class=infotextkey>保存

_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金财产_blank class=infotextkey>get=_blank class=infotextkey>清算账册及_blank class=infotextkey>get=_blank class=infotextkey>有关文件由_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>保存_blank class=infotextkey>get=_blank class=infotextkey>1_blank class=infotextkey>get=_blank class=infotextkey>5年以_blank class=infotextkey>get=_blank class=infotextkey>上。




_blank class=infotextkey>get=_blank class=infotextkey>八、_blank class=infotextkey>get=_blank class=infotextkey>争议_blank class=infotextkey>get=_blank class=infotextkey>解决_blank class=infotextkey>get=_blank class=infotextkey>方式

各方当事_blank class=infotextkey>get=_blank class=infotextkey>人_blank class=infotextkey>get=_blank class=infotextkey>同意，因《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》而产_blank class=infotextkey>get=_blank class=infotextkey>生的或与《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》_blank class=infotextkey>get=_blank class=infotextkey>有关的一切争
议，如经友好协_blank class=infotextkey>get=_blank class=infotextkey>商未能_blank class=infotextkey>get=_blank class=infotextkey>解决的，则任何_blank class=infotextkey>一方_blank class=infotextkey>get=_blank class=infotextkey>有权将_blank class=infotextkey>get=_blank class=infotextkey>争议提交_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国_blank class=infotextkey>get=_blank class=infotextkey>国际_blank class=infotextkey>get=_blank class=infotextkey>经_blank class=infotextkey>济贸易仲
裁委员_blank class=infotextkey>get=_blank class=infotextkey>会，仲裁_blank class=infotextkey>get=_blank class=infotextkey>地点为_blank class=infotextkey>get=_blank class=infotextkey>北京市，_blank class=infotextkey>get=_blank class=infotextkey>按照其_blank class=infotextkey>时_blank class=infotextkey>get=_blank class=infotextkey>有效的仲裁规则_blank class=infotextkey>get=_blank class=infotextkey>进行仲裁。仲裁裁决是
终局的，对仲裁各方当事_blank class=infotextkey>get=_blank class=infotextkey>人均具_blank class=infotextkey>get=_blank class=infotextkey>有约束力，除非仲裁裁决另_blank class=infotextkey>get=_blank class=infotextkey>有_blank class=infotextkey>get=_blank class=infotextkey>规_blank class=infotextkey>定，仲裁费由败
诉方承担。


_blank class=infotextkey>get=_blank class=infotextkey>争议_blank class=infotextkey>get=_blank class=infotextkey>处理期间，_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同当事_blank class=infotextkey>get=_blank class=infotextkey>人应恪守各自的职责，_blank class=infotextkey>继续忠实、勤勉、尽责
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《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》受_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>get=_blank class=infotextkey>中国_blank class=infotextkey>get=_blank class=infotextkey>法律管辖。




九、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同存放_blank class=infotextkey>get=_blank class=infotextkey>地和_blank class=infotextkey>get=_blank class=infotextkey>投资者取得_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同的_blank class=infotextkey>get=_blank class=infotextkey>方式

《_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>_blank class=infotextkey>合同》可印制成册，供_blank class=infotextkey>get=_blank class=infotextkey>投资者在_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>get=_blank class=infotextkey>管理_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>基_blank class=infotextkey>get=_blank class=infotextkey>金_blank class=infotextkey>托管_blank class=infotextkey>get=_blank class=infotextkey>人、_blank class=infotextkey>get=_blank class=infotextkey>销售机构
的_blank class=infotextkey>get=_blank class=infotextkey>办_blank class=infotextkey>get=_blank class=infotextkey>公_blank class=infotextkey>get=_blank class=infotextkey>场所和营业_blank class=infotextkey>get=_blank class=infotextkey>场所查阅。




　 _blank class=infotextkey>get=_blank class=infotextkey>中财网