2016 1

Size: px

Start display at page:

Download "2016 1"

原僪
4 years ago
Views:

1 2016 1

2 (i) 9 5. (ii)

3 2019 9

4 (i) (ii) (iii) (v) (vi) (ix) (iv) (viii) (vii) (ii) (v) / 2

5 / 2

6 / 1

7 Deacons

8 Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations of the Commodities Futures Trading Commission

9 (i) (ii) (i) 31 (ii) NFFE FATCA NFFE NFFE a) b) c) 3

10 d) e) f) (f) a) b) c) d) 1 e) 2 f) g) 50% (g) 50% 50% 50% 4

11 8 21 (852) A (a) (b) 103 H H 5

12 H H H A H HH H H % BBB- BBB- 40% 6

13 40% (A) AA (B) AA 7

15 3. 4. H CNY H CNH CNY

16 FATCA FATCA 10

18 5 H 100 V

19 (i) (ii) (i) a. b. (ii) (iii) 13

20 (iv) H 14

21 H H H H H 12 # H # 12 15

22 H 5% 10,000 H 5% 1.5 = ( 10,000 X 5%) / (1+5%) = = 10, = 9, = 9, / 1.5 = 6, ,000 6, H H 0.13% 0.5% 25% H 10, = 10, = 15,000 = 15,000 * 0.13% = 19.5 = 15, = 14, ,

23 (A) [2015] 125 (B) [2008] 1 [2002] % 10% 7% A B 0.1% 17

24 FATCA 30% % FATCA FATCA FATCA 18

25 FATCA i. ii. iii. iv. v. vi. vii. viii. 19

26 ix. (i) (iii) (vi) (ix) (ii) (v) (iv) (viii) (vii) (ii) (v) (iv) (v) (iv) 20

27 2019

28 上投摩根行業輪動混合型證券投資基金招募說明書 ( 更新 )

29 重要提示 H H H 1

30 目錄

31 一緒言二釋義

34 T T+n T n T

35 % 10 A 7

36 H 三基金管理人 % JPMorgan Asset Management (UK) Limited 49% [2004] % 33% 51% 49% 8

37 Paul Bateman Chase Fleming Asset Management Limited Daniel J. Watkins 9

38 10

40 (QDII)

41 13

44 3 (1) (2) (3) (4) (5) (6) (7) (8) 4 (1) (2) (3) (4) (5) (6) (7) (8) 16

45 (9) (10) 5 (1) (2) (3) (4) 1 (1) (2) (3) (4) (5) 17

46 2 (1) (2) (3) (4) 3 (1) (2) 4 (1) (2) (3) (4) 18

47 (5) (6) 19

48 四基金託管人 ( 一 ) 基金託管人概況 [2002] A H H 24.2 H , % 13.28%

49 (QFII) (QDII) 6S 6 FOF T+1 QDII ETF 1+N TOT

50 ( 二 ) 主要人員情況 ( 三 ) 基金託管業務經營情況 22

51 ( 四 ) 託管人的內部控制制度 (1) (2) (3) (4) 23

52 (5) (6) (7) (8) 4 (1) (2) (3) (4) (5) 24 24

53 (6) ( 五 ) 基金託管人對基金管理人運作基金進行監督的方法和程序 25

54 五相關服務機構 1 2 A (1) (2) (3) (4) (5) (6)

55 (7) (8) (9) (10) (11) (12) (13)

56 (14) (15) (16) (17) (18) (19) (20)

57 (21) (22) (23) (24) (25)

58 (26) (27) (28) (29) (30) (31) (32)

59 (33) (34) (35) (36) (37) 198 A (38)

60 (39) (40) (41) (42) A A (43) (44)

61 (45) A A (46) (47) (48) (49) (50)

62 (51) (52) (53) (54) B (55) B (56)

63 (57) (58) A 02A B A 02A B AU SIU LUEN (59) (60) (61) I J I J

64 (62) B (63) C (64) (65) (66) (67)

65 (68) ( )N-1 N ( )N-1 N (69) / http: //fund.jd.com/ (70) A (71) 1 A 201 A TEO WEE HOWE

66 3. H (852) H H (021) (021)

67 六基金的募集及基金合同的生效 [2009] ,617,107, ,617,107, , , 七基金單位的申購贖回和轉換 1 39

68 T T+1 T T+2 40

69 3 T 7 1 A 1 H A 1 1 H

70 5 1 A H A H 2 = 1 = = T A % % 500 1,000 42

71 H 5% 3 = T = = A 1.5% 0.5% 0.25% 0% H 0.5% A H T T+1 43

72 A 1.5% A 25% H 10 5% 5%

73 % 50% 50% % 45

74 % 2 (1) (2) 10% 46

75 (3) 20% 20% 20% 20% (4)

77 八基金的投資 A 60%-95% 5%-40% 5% 80% 49

78 1 2 50

79 (1) (2) (3) A 51

80 B A PEG 52

81 (4) A B C D E F A 80% B 60% C 50% D E F 53

82 3 (1) (2) 2-3 (3) (4) 4 54

83 (1) (2) (3) (4) 5 55

84 % + 20% 1 (1) 10% (2) 15% (3) 30% (4) 3% (5) 10% 56

85 (6) 10% (7) 40% (8) 60%-95% 5%-40% (9) 80% (10) 10% (11) 20% (12) 10% (13) 10% (14) BBB BBB 3 (15) (16) 0.5% (17) 5% 57

86 (18) 15% (19) (20) (14) (17) (18) (19) (1) (2) (3) (4) (5) 58

87 (6) (7) (8) (9)

88 1 (%) 1 493,742, ,742, ,719, ,719, ,672, ,715, ,849,

89 2 (%) A 18,433, B 335, C 375,738, D 2,925, E 9,269, F G H I 51,555, J 13,197, K 14,228, L 1,932, M 6,102, N O P Q R 23, S 493,742,

90 3 (%) ,939 32,089, ,334,675 30,844, ,943 28,731, ,021,052 28,415, ,700 25,455, ,446,500 24,098, ,571 21,091, ,692 16,840, ,032 13,018, ,831 12,806,

91 4 (%) 1 10,008, ,711, ,719, (%) ,000 10,008, ,250 3,223, ,600 1,457, ,

92 (1) (2) (3) 1 262, ,324, , , ,715,

93 (4) (%) ,457, (5) (6) 65

94 九基金的業績 A 2010/01/ /12/ /01/ /12/ /01/ /12/ /01/ /12/ /01/ /12/ /01/ /12/ /01/ /12/ /01/ /12/ /01/ /12/ /01/ /06/ % 1.15% -1.15% 1.27% 2.75% -0.12% % 1.10% % 1.04% -5.31% 0.06% 13.69% 1.14% 6.71% 1.02% 6.98% 0.12% 45.18% 1.36% -5.57% 1.11% 50.75% 0.25% 10.66% 1.19% 42.21% 0.97% % 0.22% 60.03% 3.10% 5.68% 1.99% 54.35% 1.11% % 1.94% -8.35% 1.12% % 0.82% 30.87% 1.28% 17.55% 0.51% 13.32% 0.77% % 1.67% % 1.07% % 0.60% 24.14% 1.68% 22.06% 1.24% 2.08% 0.44% 66

95 H 2016/01/ /12/ /01/ /12/ /01/ /12/ /01/ /06/ % 1.67% 5.22% 0.93% -9.86% 0.74% 31.03% 1.28% 17.55% 0.51% 13.48% 0.77% % 1.67% % 1.07% % 0.60% 24.09% 1.68% 22.06% 1.24% 2.03% 0.44% 十基金的資產 67

96 十一基金資產的估值 1 (1) (2) (3) 68

97 (4) 2 (1) (2) (3)

99 2 (1) (2) (3) (4) 71

100 (5) (6) (7) 3 (1) (2) (3) (4) 4 (1) 72

101 (2) 0.25% 0.5% (3) (4) (5) % 73

102 1 2 5 十二基金的收益與分配 % 3 74

103 十三基金的費用與稅收

104 % H = E 1.5% H E % H = E 0.25% H E

105 2 十四基金的會計與審計

106 3 十五基金的信息披露

107

108 % 80

109 % 30% 0.5% 81

110

111 十六風險披露 ( 一 ) 投資於本基金的風險 1 市場風險管理風險

112 3 流動性風險 4 特定風險 84

113 5 投資科創板股票存在的風險包括 : (1) (2) (3) (4) 20% (5) 85

114 (6) (7) 6 操作或技術風險 IT 7 合規性風險 8 其他風險

115 十七基金合同的變更終止與基金資產的清算 1 (1) (2) (3) (4) (5) (6) (7) 87

116 (8) (9) (1) (2) (3) (4) (5) (6) (7)

117 1 (1) (2) (3) 2 (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) 3 89

118 4 (1) (2) (3) (4) (1) (3) 十八基金合同的內容摘要 1 (1) (2) (3) (4) (5) (6) (7) 90

119 (8) (9) 2 (1) (2) (3) (4) (5) (6) (7) 3 (1) (2) (3) (4) (5) 91

120 (6) (7) (8) (9) (10) (11) (12) (13) (14) 4 (1) (2) (3) (4) (5) 92

121 (6) (7) (8) (9) (10) (11) (12) (13) (14) (15) (16) (17) (18) (19) 93

122 (20) (21) (22) (23) (24) (25) (26) (27) 5 (1) (2) (3) (4) (5) (6) (7) (8) 94

123 6 (1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11) (12) (13) 95

124 (14) (15) (16) (17) (18) (19) (20) (21) (22) (23) (24) 1 10% 10% (1) (2) (3) 96

125 (4) (5) (6) (7) (8) (9) (10) 2 (1) (2) (3) 10% %

126 (4) 10% 10% 30 (5) 3 (1) 50% (2) 30 2 (3) 98

127 4 (1) (2) (i) 50% ii (ii) (3) (4) (5) (6)

128 3 4 6 十九基金託管協議的內容摘要 [2002]

129

130

131

132

133 A H

134 1 2 (1) (2) (3) (4) 106

135 二十對基金單位持有人的服務 1 2 ( 二十一招募說明書的存放及查閱方式 107

136 二十二其他應披露事項二十三備查文件 108

137 0919

上投摩根中国优势证券投资基金

上投摩根中国优势证券投资基金上投摩根中国优势证券投资基金招募说明书 ( 更新 ) 核准文号 : 中国证监会证监基金字 [2004]83 号文核准日期 :[2004 年 6 月 11 日 ] 基金管理人 : 上投摩根基金管理有限公司基金托管人 : 中国建设银行股份有限公司重要提示 : 1.