Uggs Laarzen CSI 300 Wells Fargo Securities Invest

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CSI 300 Wells Fargo Securities Investment Fund Enhanced prospectus _ Finance

【Important】 application of the funds raised by the China Securities Regulatory Commission Oct. 21, 2009 【2009】 China Securities Regulatory Commission license No. 1106 for approval. Fund managers to ensure that the contents of the prospectus is true, accurate and complete. The prospectus approved by the China Securities Regulatory Commission, China Securities Regulatory Commission approved the fund raising, does not mean that its value and income of the Fund to make substantive judgments or guarantee that investment in the Fund is not without risk. The Fund invests in securities, the fund value will fluctuate because of factors such as stock market fluctuations. Investment risk, investor subscription (or subscription) fund should carefully read the prospectus, a comprehensive understanding of the risk-return characteristics of fund products and product features, and fully consider their own risk tolerance, rational judgments market, the Fund will subscribe for the timing and quantity to make an independent decision-making investment behavior. Investors in investment income from the Fund, we also assume there's all kinds of fund investment risk, may include: stock market systemic risk caused by the overall environment, individual securities of non-specific systemic risk, a large number of redemption or collapse caused liquidity risk, fund managers in the investment business generated in the process of operational risk. Fund managers advise investors to fund investments, \The Fund's past performance is not indicative of future performance. Fund managers manage the performance of other funds does not constitute a guarantee of performance of new funds. According to fund managers fulfill their duties of good faith, prudence and diligence principles of property management and use of funds, but does not guarantee the profitability of fund, nor guarantee a minimum income. I. INTRODUCTION The prospectus according to the \(hereinafter referred to as \referred to as \The prospectus describes the rich in Shanghai and Shenzhen 300 securities investment funds increased investment objectives, strategies, risks, rates, etc. and the investors all the necessary investment decisions on matters before making an investment decision investors should read the prospectus. The fund managers are not committed to the prospectus the content of any false, misleading statements or material omissions, and its authenticity, accuracy, completeness, legal liability. The Fund is based on the information set forth in the prospectus application raised. The prospectus explained by the Wells Fargo Fund Management Limited. The fund managers do not delegate or authorize any other person not in the information set forth in the prospectus, or any explanation of this prospectus or instructions. The prospectus of the fund of funds based on written contracts, and by the China Securities Regulatory Commission for approval. Fund Fund contract is agreed between the parties rights and obligations of the legal documents. Fund investors to obtain funds from the share of the contract according to the fund, and fund shareholders become parties to the contract of the Fund, the behavior of fund shares held by its fund contract that shows its recognition and acceptance of, and follow the \fund contract and other relevant provisions of the rights and obligations. For fund investors, fund share holders of the rights and obligations of the contract should be more access to funds. Second, the interpretation in this prospectus, unless the context otherwise requires, the following terms or simply have the following meanings: Fund or the Fund pursuant to the \this contract, \China is currently effective laws and regulations and promulgated laws, administrative regulations, departmental rules and regulations and regulatory documents and amendments made to develop institutions to complement and power to interpret the \People's Republic of Securities Investment Fund Law, \per the prospectus, \subscription and redemption of fund shares, the Fund's investment, the Fund's performance, the fund's assets, the valuation of fund assets, the Fund income and distribution, the Fund's fees and taxes, the Fund's information disclosure, risk disclosure, termination and liquidation of the Fund Fund summary of the contract, the Fund hosted a summary of the agreement, holders of fund units of service, other disclosures, the prospectus of the storage and access methods, reference documents and other information related to the Fund for the fund investors choose and deciding whether to apply for funds to subscribe for or purchase, the solicitation of an offer document, and periodically update the custody agreement: the fund manager and fund trustee signed the \Notice \authorized by the State Council, the fund manager Wells Fargo banking regulators Fund Management Ltd Fund Custodian Bank of China Ltd fund share holders under the \means the fund manager or the commission agencies publicize and promote the Fund, the sale of fund shares, the fund shares for subscription, redemption, conversion, transfer of non-trading, custody transfer and regular business fixed investment, direct marketing agencies that fund the rich bodies Fund Management Limited Fund Distribution meet the \institutional fund managers and fund sales commission agencies fund sales network of direct sales outlets of fund managers and fund affiliate organizations registered affiliate network operating fund registration, depository, clearing and settlement business, the specific content, including investors, fund account management, fund share registration, clearing and fund transaction confirmation, pay dividends to establish and keep register of holders of fund shares and other rich countries to fund registration institutions entrusted Fund Management Limited or any other qualified business for fund registration institution \parties by the \natural institutional investors in the Fund's compliance with laws and regulations can invest in open-end securities investment funds legally registered in China, and existing or approved the establishment of government departments and existing investors, corporate business, social groups and other organizations qualified foreign institutional investors meet the \investors, individual investors, institutional investors and qualified foreign institutional investors and the laws and regulations or the CSRC allowed to buy open-end securities investment funds and other investors in the general fund to the fund raising the effective date of contract law and the \conditions, the fund manager to employ statutory capital verification and registration procedures for completion of the Fund to obtain written confirmation from the China Securities Regulatory Commission raising of the fund shares at the date of sale of not more than 3 months duration of the period the Fund \validly existing from time to time the period of day / day of a calendar month moon calendar days Shanghai and Shenzhen stock exchanges open trading at the normal sales organization for the fund shares purchase, redemption and other business that day trading hours Open Day Fund to accept purchase, redemption or other transaction T at time purchase, redemption or other funds for the filing date of the business day T + n T from the date of the first n days (does not include T day) subscription in the fund raising investors buy the fund during the period the behavior of fund shares sold in the fund raising period, the sales organization selling the fund shares to investors purchase the behavior of fund investors fund sales outlets under the provisions of the procedures, the fund managers to buy fund shares behavior of redemption of share holders fund sales outlets under the provisions of the procedures, the fund managers to sell fund shares redeemed in a single act of a huge open day, the fund net redemptions of fund shares applications (total number of applications with the Fund Redemption application for transfer out of the total number of conversion shares after deducting the total number of purchase applications for the conversion into the application and fund the balance of the total shares) on a Japan fund over 10% of the total share of the case when the fund registration institutions fund accounts opened for investors records held by fund managers and investors, the management situation of open-end fund share trading account account of the sales organization to open the record for investors investor funds through the sales organizations for subscription, redemption, conversion and transfer custody and other services caused by changes in fund shares and transferred custody account balances held by investors under the same fund account fund shares transferred from one trading account trading account to the operating fund to another investor converted the application to the fund manager will held by the fund managers managed either open-end fund (a fund transfer) all or part of fund shares into the management of fund managers and institutions by the same fund registration, register with the other open-end funds (to Fund), the behavior of fund shares at fixed investment scheme investors through the sales organization to apply the agreed date of each charge, charge amount and charge way agreed by the sales organization in charge at each designated bank investors automatically debit the account and fund a purchase of investment funds to apply profits fund means the fund profits interest income, investment income, fair value gains and other income, the balance after deducting related expenses. Total assets of the Fund the Fund would have the value of various securities and bills, bank deposits and principal and interest due from the purchase of the Fund and other investment models Jijin the value of the formation of the sum of total fund assets less liabilities, net assets of the Fund's net asset value of Ji Jin after share of the net valuation day by dividing the net assets of the Fund valued at the total number of issued and outstanding share of the value of fund assets of the Fund valuation assessment of the value of the Fund's assets and liabilities to determine the course of the net assets of the Fund money market instruments in cash; one year ( including one year) in bank deposits, certificates of deposit; remaining maturity of less than three hundred ninety-seven days (including three hundred ninety-seven days) of the bonds; period of one year or less (including year) of the bond repurchase; within a period of one year (including year) of central bank bills; China Securities Regulatory Commission, approved by the People's Bank of China has good liquidity of other financial instruments designated by the CSRC designated media disclose the information to the press (hereinafter referred to as \designated newspapers \Third, the fund manager (a) Overview of the Fund, the fund manager Wells Fargo Fund Management Fund Management Limited human, basic information is as follows: Name: Wells Fargo Fund Management Co., Ltd. Address: Hua Yuan Shi Qiao Road Pudong, Shanghai, Citigroup Tower 33 5 , 6 story office address: Hua Yuan Shi Qiao Road Pudong, Shanghai, Citigroup Tower,[link widoczny dla zalogowanych], 33, 5,6 layer Legal representative: Chen Min, General Manager: Dou Yuming Date of establishment: April 13, 1999 Tel: (021) 68597788 Fax: (021) 68597799 Contact: Li Changwei Registered Capital: 180 million yuan ownership structure (as at October 31, 2009): The establishment of the Investment Committee and Risk Control Committee and other professional committees. Fund Investment Committee is responsible for major investment decisions and investment risk management. Risk Control Committee is responsible for the daily operation of the company's risk control and management of daily operations to ensure that companies comply with relevant laws and regulatory rules, regulations and industry to prevent and reduce operational risk, compliance and ethics risks. Department currently consists of seventeen and two branches, namely: the Ministry of equity investments, fixed income, alternative investments, Research, focused on Trading, Investment accounts, institutional business, retail business, marketing planning and product department, customer service and e-commerce, strategy and development department to monitor the Internal Audit Department, Finance Department, Human Resources, Administration Department, Information Technology, Ministry of fund liquidation, Beijing Branch and Shenzhen Branch. Ministry of equity investments: responsible equity fund investment management products; Fixed Income: Fixed income products is responsible for research and investment management; Alternative Investment Division: responsible for the FOF, PE, products and other quantitative research and investment management; Research: responsible for industry research, market research and macroeconomic research company; centralized trading department: responsible for the investment trading and risk control; account Investment: Fixed Income, equity investments and alternative investments within the Department of the Ministry set up a virtual department, responsible for pension and other post-independence household products, investment management; Institutions Department: responsible for the pension, account, social security, and mutual funds, institutional clients marketing; Retail Business: Management Beijing Branch (North China Marketing Centre), Shenzhen Branch (South China Marketing Center) and the East China Marketing center responsible for the retail mutual fund business; marketing planning and Products Division: responsible for product development, marketing planning and brand building; customer service and e-commerce: e-business and customer service; Strategy Development: responsible for strategic research, planning and implementation; monitoring the Internal Audit Department: responsible for monitoring, risk control, legal, and information disclosure; Information Technology Department: responsible for software development and system maintenance; fund liquidation Department: responsible for fund accounting and settlement; Planning and Finance Department: responsible for financial planning and management ; Human Resources: responsible for human resources planning and management; Administration Department: responsible for secretarial, administration and logistics and so on. As of October 31, 2009, the company has 150 employees, of which 59% have master degrees. All personnel were not in the last three years by the unit and the management of the punishment. (B) 1 case of key personnel, board members Miss Chen Min, chairman of the board. Born in 1954, Communist Party members, MBA, economist. Served as Deputy Director of Shanghai Municipal Trust and Investment Company, Director; Director of the Shanghai Municipal Foreign Economic and Trade Commission; Shanghai International Securities Corporation party secretary; Shenyin Securities Co., Ltd. Vice President and party members. 2004 as the Wells Fargo Fund Management Company Limited. Mr. Dou Yuming, director and general manager. Born in 1969, Master. Former Beijing CITIC International Cooperation Company traders; Shenzhen Junan Securities Investment Manager; Dacheng Fund Management Co., Ltd., Assistant Manager; Harvest Fund Management Co investment director, assistant general manager, vice president and fund manager. Began in 2008 as general manager of Wells Fargo Funds Management Limited. Mak Miss Chen Wanfen (Constance Mak), vice chairman. Literature and Bachelor of Business, Canada, Certified Public Accountant. 1977, joined the predecessor of KPMG Canada Thorne Riddell company, and in 1989 became a partner of KPMG Canada. 1989 to 2000 as a partner responsible for KPMG in Canada, China, the central region business. BMO Investments Limited is currently general manager of Asian operations, he served as director of the Canada China Business Council. Mr. Li Mingshan, director. Born in 1952, Communist Party members, master, senior economist. Shenyin Securities Co., Ltd. served as vice president; deputy general manager of Shanghai Stock Exchange. Hai Tong Securities Co., Ltd. is currently General Manager. Mr. Miao Hengsheng, Director. Born in 1948, Communist Party members, master, senior economist. Former People's Bank of China Shanghai branch of south downtown branch offices in the South Terminal accountant, deputy director; the People's Bank of China Shanghai branch of south downtown Deputy Chief Cashier Accounting Office; South China Industrial and Commercial Bank of China Shanghai Branch City Branch, Vice President; deputy general manager of Shanghai Shenyin Securities; Shenyin Securities Co., Ltd. Deputy General Manager. Edgar Normund Legzdins President, Director. Born in 1958, BA, CGA. 1980 to 1984 in the Coopers & Lybrand as audit work; joined Canada in 1984, BMO Bank of Montreal Financial Group. Investment Co., Ltd. is currently president of BMO, BMO Financial Group senior vice president. Mr. Ge Hang, director. Born in 1966, college, economist. Former capital of Shandong International Trust Co Trust Department Business Manager; Shandong International Trust Company Limited Leasing Trust Department deputy manager and manager. Shandong International Trust Company Limited is currently self-employed business manager. Mr. Dai Guoqiang, an independent director. Born in 1952, PhD. Shanghai University of Finance and served as assistant, lecturer, associate professor, professor, vice president of finance and executive vice president and president; Shanghai University of Finance and Professor, Finance Party Secretary, Professor Committee. MBA is currently dean of Shanghai University of Finance, party secretary. Wai P. Mr. Lam, the independent directors. Born in 1936, accounting PhD. 1962 to 1966 as an assistant in the accounting firm PriceWaterHouseCoopers accounting and advanced accounting; 1966-1969 Santa Maria University in Canada as a teacher; from 1973 to 2002 as a professor at the University of Windsor, Canada. Is currently Professor Emeritus, University of Windsor, Canada. Mr. Tang Qiqing, independent director, was born in 1955, Master of Economics. Former Shanghai knitwear wholesale company clerk, deputy chief; Shanghai First Commercial Deputy Chief, Deputy Director, Director; Shanghai Interface electronics business group and general manager; Shanghai First Department of Commerce Assistant Secretary, Deputy Secretary ; Shanghai Business Center General Manager; Yangtze River Joint Economic Development Group president, vice chairman, party secretary. Shanghai Fisheries Group Corporation is currently chairman and party secretary. Mr. Li Xianming, the independent directors. Born in 1969, Communist Party members, Dr. Jilin University School of Law, served as teachers. Shanghai AllBright current law firm, senior partner. 2, members of Mr. Jin Tongshui Supervisory Board, Board of Supervisors. Born in 1965, undergraduate. Former Staff, Shandong International Trust Company Limited, the project manager, business manager; Lu Investments Limited financial manager; Shandong International Trust Company Limited senior business manager. Shandong International Trust Company Limited is currently the risk management department. Mr. Shen Yin, supervisors. Born 1962, Bachelor of Law. Served as Assistant to the Shanghai Intermediate People's Court judge, judge, trial team leader; Shanghai Second Intermediate People's Court office complex Section. Shenyin Securities Co., Ltd. is currently Senior Legal Compliance Audit Advisor. Miss Xia Jinlu, supervisors. Born in 1971, MBA. Former Shanghai University Foreign Language Department teachers; ABN AMRO Bank Shanghai Branch of structured finance manager; the Department of Financial Institutions Bank of Montreal, Assistant to the President; ABN AMRO Bank Shanghai Branch, Assistant Vice President. Shanghai Representative Office Bank of Montreal is currently the chief representative. Ms. Chou Xiaping, supervisors. Born in 1960, Communist Party members, graduate students. Former Commercial Bank of China Shanghai Branch of the director of the Yangpu Branch; Huaxia Securities Co., Ltd. Shanghai Branch Treasurer. Hai Tong Securities Co., Ltd. is currently vice president of Planning and Finance. Miss Hu Zhirong, supervisors. Born in 1973, a party member, Master. Served as post and telecommunications equipment factory in Chengdu, Sichuan Finance Accounting; Communication Electronics Co., Ltd. Xiamen Golden Finance Department of Finance Director. Ren Fuguo Fund Management Limited is the financial manager. Mr. Chang Song, supervisors. Born in 1973, a party member, Dr. Li Ren Fuguo Fund Management Limited number of researchers, the number of senior researchers, the number of head of planning department, the number of project finance manager. Since November 2008 from the SSE Dividend Index Renfu Guo Tianding enhanced in securities investment funds fund managers. 3, Mr. Li Changwei Inspector General, Inspector General. Born in 1964, CPC member, Master of Economics Master of Business Administration, lecturer. Development Research Center of Henan Provincial Government successive cadres; the Central Party School of Economics lecturer; Shenyin Securities Co., Ltd. Haikou, general manager of sales department, deputy general manager of Beijing and Beijing based business management and general manager, deputy general manager of Wells Fargo Funds Management Limited. 2008 Wells Fargo Funds Management Limited began as inspector general. 4, business management personnel Dou Yuming, General Manager (CV, please refer to the introduction of directors.) Mr. Lin Zhisong, deputy general manager. Born in 1969, CPC member, undergraduate, MBA. Commodity Inspection Bureau in the Office of Zhangzhou, CIB laboratory Jinjiang, Xiamen Investment Development Corporation of work. Ren Fuguo Fund Management Company Ltd. has been monitoring the Internal Audit Department inspectors, senior inspectors members, a vice president, manager, inspector general. Began in 2008 as deputy general manager of Wells Fargo Funds Management Limited. Mr. Chen Ge, deputy general manager. Born in 1972, the Communist Party, MA, since 1996 the securities industry. Ren Junan Securities Research Institute researcher has. October 2000 joined the Wells Fargo Funds Management Limited, served as a research fellow of planning, research planning manager, assistant general manager, in April 2005 the value from Renfu Guo Tianyi Securities Investment Fund Fund Manager has, since January 2009 part-time benefits Investment general manager, general manager of alternative investments. Began in 2008 as deputy general manager of Wells Fargo Funds Management Limited. Miss Meng Zhaoxia, deputy general manager. Born in 1972, graduate students, 12 years of business experience in the financial sector. Xinhua Life Insurance Company annuity former management center general manager, deputy general manager of Taikang Pension Insurance Company. Beginning in 2009 as deputy general manager of Wells Fargo Funds Management Limited. 5, the current manager of the Fund Fund Fund Manager: Mr. Chang Song, born in 1973, Doctor of Management. Since 2001, joined Wells Fargo Fund Management Co., Ltd., eight years experience in the securities. Li Ren Fuguo Fund Management Limited number of researchers, the number of senior researchers, the number of head of planning department, the number of project finance manager. Since November 2008 from the SSE Dividend Index Renfu Guo Tianding enhanced in securities investment funds fund managers. 6, the Investment Committee Investment Committee membership is as follows: Mr. Dou Yuming, general manager, corporate executive vice president Mr. Chen Ge Investment Research, Research Department, General Manager Mr. Zhu Shaoxing, general manager of fixed income, Mr. Rao and other staff recently. Non-voting delegates include: Inspector General, focused on the centralized trading and investment, general manager of Chairman invited other staff. Investment in the Fund to take collective decision-making system. 7, the staff does not exist between near relatives. (C) The duties of a fund manager, according to the law to raise funds for or commissioned by the State Council securities regulatory authority on behalf of other organizations recognized for the sale of fund shares, purchase, redemption and registration; 2, the fund records; 3 , on different funds managed by the property separately managed account, investment securities; 4, determined in accordance with the fund contract income of the fund distribution plan, and timely distribution to the holders of fund shares gain; 5, the fund accounting and preparing the fund financial and accounting reports; 6, the preparation of quarterly, half yearly and annual fund reports; 7, calculated and announced fund net asset value of fund shares determine the subscription and redemption prices; 8, for the property management business with the fund of information related disclosures; 9 , to convene the General Assembly fund share holders; 10, saved the activities of the fund property management records, account books, statements and other relevant information; 11, the name of the fund manager, on behalf of the interests of fund shareholders to exercise their litigation rights or carrying out other legal acts; 12, laws and regulations and the Chinese Securities Regulatory Commission, or the \(D) compliance with laws and regulations on the fund manager's commitment to 1, the fund manager promised not to engage in violations of the \; 2, the fund managers engaged in the following breach of promise not to \confused with the property fund to invest in securities; (2) unfair treatment of different funds managed property; (3) the use of fund assets for the fund share holders seek third party other than interest; (4) non-compliance to the commitment to fund share holders benefits or bear losses; (5) in accordance with laws and administrative regulations prescribed by the CSRC and other prohibited acts. 3, the fund managers committed to strengthening personnel management, strengthening professional ethics, supervision and constraint employees abide by relevant state laws, regulations and industry standards, honesty, diligence, do not engage in the following activities: (1) ultra vires or illegal operation; (2) breach of contract or trust agreement fund; (3) intentional damage to the Fund or other fund share holders of the legitimate rights and interests of relevant agencies; (4) the information submitted to the CSRC in the fraud; (5) to refuse, interfere with, obstruct or seriously supervision of CSRC; (6) neglect of duty, abuse of power; (7) disclose known during his tenure of the securities, the Fund's trade secrets, not according to the contents of public fund investment, fund investment plans and other information; ( Cool

system in addition to operation of the Fund fund manager investments, other direct or indirect equity investment; (9) to assist, entrusted, or any other form for other organizations or individuals dealing in securities; (10) violation of stock exchange business rules the use of knock down, to warehouse and other means to manipulate the market prices, disturb the market order; (11) derogatory counterparts to enhance their own; (12) in the public disclosure of information and advertisements contained intentionally false, misleading, fraudulent; (13) improper means to seek business development; (14) contrary to public morality, harm the image of Securities Investment Fund staff; (15) other laws and administrative regulations prohibited. (E) The fund manager's commitment on the prohibition of sex fund shareholders to maintain the legitimate rights and interests of the Fund prohibit the following acts: 1, underwriting securities; 2,[link widoczny dla zalogowanych], loans or guarantees to others; 3, in the unlimited liability investment; 4, the sale of other fund shares, except as otherwise provided by the State Council; 5, the fund manager and fund trustee investment or trading the fund manager and fund custodian issued shares or bonds; 6, trading and fund managers , the fund custodian or a controlling shareholder relationship with the fund manager and fund custodian have other significant interest in the securities issued by the company during the underwriting or underwriting securities; 7, engaged in insider trading, manipulation of stock prices and other improper securities trading activities; 8, in accordance with laws and administrative regulations relevant provisions prohibited by the CSRC and other activities. (Vi) commitment to a fund manager, in accordance with relevant laws and regulations and \three seeking advantage; 3, do not reveal known during his tenure of the securities, the Fund's trade secrets, not according to the contents of public fund investment, fund investment plans and other information; 4, not to any other organizations or individuals in the form of securities transactions . (G), the fund manager's risk management and internal control system 1, the risk management system in the course of the Fund risks include market risk, credit risk, liquidity risk, management risk, operational or technology risk, compliance risks and other risks. In response to these risks, the fund manager set up a complete risk management system, specifically including the following: (1) to establish a risk management environment. Specifically including the development of risk management strategies, objectives, set the appropriate organizations, provide relevant human resources and technology systems, set the time range of risk management and spatial scope of content. (2) to identify risk. Identification of organizational systems and business process risks and the risk exists. (3) analysis of risk. Check for the presence of the control measures, the likelihood of the risk analysis and its consequences. (4) measure of risk. The level of risk assessment, both qualitative and metric measures, but also quantitative measurement means. Qualitative measure of the risk level is divided into several levels, each risk the likelihood and consequences of its severity, respectively, into the corresponding level. Quantitative method is to design a number of risk indicators, measuring the size of its value. (5) deal with risk. The risk level and the established standard relative ratio, for those lower-level risks, take it, but need to be monitored. While the more serious risks, the implementation of certain management plans, for some very serious consequences of the risk, the preparation of the corresponding emergency measures. (6) monitoring and inspection. On the existing risk management system to monitor and evaluate their management performance, where necessary, to change. (7) report and consultation. Establishment of risk management reporting systems, the company shareholders, directors, senior management and regulators about the company risk management, and seek advice. 2, the internal control system (1) the principle of internal control ① comprehensive principle. Internal control system covers the business of the company, various departments and at all levels, and penetrate into the decision-making, implementation, monitoring, feedback and other business links. ② principle of independence. Companies to set up an independent inspector general and the supervision and auditing departments, and make them a high degree of independence and authority. ③ the principle of mutual restraint. Corporate sector, and positions of the set, accountability and mutual restraint, mutual checks and balances through practical measures to eliminate blind spots in the internal control. ④ importance of the principle: the company's development must be based on sound and solid risk control based on internal risk control and business development are equally important. (2) the main contents of the internal control environment ① Control Board of Directors, Board of Supervisors emphasis on establishing sound corporate governance and internal control system. Funds are established under the independent directors of the Board to participate in the Risk Committee, is responsible for evaluating and improving the company's internal control system; the Board of Supervisors is responsible for reviewing the external independent auditor's audit report, to ensure the authenticity of corporate financial reporting, reliability, supervise the implementation of the audit recommendations. Management of the Company under the leadership of general manager, determined by the Board to seriously implement the internal control strategy, in order to effectively implement the policy of the Board of Directors to develop the business and development strategy, the establishment of the general manager's office, Investment Committee, Risk Control Committee and other committees, are responsible for company management, fund investment, risk management major decision. In addition, the company has Inspector General, organizing, directing the company to monitor and audit work, supervision, inspection Fund and the legitimate operation of the company's compliance and internal risk control. When they find a fund management company and the existence of illegal activities, significant business risk or risks other circumstances, the inspector shall promptly report to the Board and the China Securities Regulatory Commission and the follow-up corrective measures should be closely followed and will deal with the CSRC to the Board of Directors and reports. ② risk analysis periodic assessment of the internal auditors and the Fund's risk profile of the company, including all energy on the business objectives, investment goals have a negative impact of internal and external factors, affect the company's overall business objectives and the possibility of influence and the general manager's office of assessment and risk control committee. ③ Operation controlled the design of internal organizational structure reflects the division of responsibilities between departments, but mutual cooperation between departments and the principle of checks and balances. Fund investment management, fund operations, marketing and other business departments have a clear mandate to the division of labor, independent of the operation of various departments, and independent reporting system. Reconciliation between the various business units, each contain. Each business division within the department to work reasonable, clear responsibilities, the formation of mutual checks and mutual checks and balances to reduce the risk of fraud or error, the corresponding jobs are to develop a written management system. On the basis of clear job responsibility system, set the scientific, rational, standardized operational processes for each business operation has a clear, written operating manual, the same time, provides a complete processing procedures, maintain complete business records, strict inspection, review standards. ④ Information and communication companies to establish an internal office automation information systems and business reporting system, by establishing effective exchange of information channels to ensure employees and managers at all levels to fully understand the information relevant to their duties to ensure the timely delivery of appropriate personnel information for processing. ⑤ supervision and internal auditing of the fund manager set up an independent monitoring of each business unit Internal Audit Department, to perform the functions of internal audit, inspection, evaluation of internal control system of rationality, completeness and effectiveness of internal control system of monitoring the implementation of reveal the internal management and operation of the Fund's risk, timely suggestions for improvement, and promote effective internal management system implementation. Internal audit staff with relative independence, supervision and audit reports will be submitted to all the directors reviewed the report to the CSRC. 3, the fund manager's statement on internal control (1) fund managers aware that the establishment, implementation and maintenance of the internal control system is the fund manager the responsibility of the Board and management; (2) The disclosure of internal control is true, accurate; (3), fund manager committed to the market environment changes and the development of the company constantly improve the internal control system. Fourth, the fund custodian (a) of the fund custodian case 1, the basic situation: China Industrial and Commercial Bank Co., Ltd. Registered Address: Xicheng District, Beijing Office No. 55 Fu Xing Men Nei Street, address: Xicheng District, Beijing, No. 55 Fu Xing Men Nei Avenue Postal Code: 100032 Legal representative: Jiang Jianqing Established: January 1, 1984 approved the establishment of institutions and approved the establishment of the text: the State Council \Registered capital: RMB 334,018,850,026 yuan organizational forms: Limited duration: Continuing operations Business: for RMB deposits, loans, lending operations; domestic and foreign settlement; for bill acceptance, discount, rediscount, various types of foreign exchange business; agency fund settlement; to provide credit services and guaranty; sales agent; agent distribution, underwriting agent, agent payment of government bonds; collection and payment services; agent securities investment fund liquidation business (Securities Transfer); Insurance agents and industry operations (valid until September 4, 2008); agency policy banks, foreign governments and international financial institutions lending; safe deposit box services; issuance of financial bonds; sale of government bonds and financial bonds; securities investment funds, corporate pension custody business; enterprise annuity management services; annuity account management services; open-end fund registration, subscription, purchase, and withdrawal; credit investigation, consultation and witness services; loan commitments; business, personal financial advisory services; organized or participated in syndicated loans; foreign exchange deposits; foreign currency loans; foreign currency exchange; export collection and import collection; foreign exchange and bill acceptance and discounting; foreign currency borrowings; foreign exchange guarantee; distribution, agent distribution, trading or buying and selling foreign currency securities other than stocks; self, valet foreign exchange trading; foreign exchange derivatives business; bank card business; telephone banking, Internet banking, phone banking; foreign exchange settlement and sale businesses; by the banking regulatory authority under the State Council, and other businesses. Phone: (010) 66106912 Fax: (010) 66106904 Contact: Jiang Songyun (b) Key Personnel 6 at the end of 2009, ICBC Asset Custody Department employs 117 people, average age 30 years old, 95% of employees with university Bachelor degree or above, senior executives all have master's degrees or higher titles. (C) of the fund custody business operation of China's first start as a securities investment fund custody business of commercial banks, Industrial and Commercial Bank of China always adhere to the \science-based risk management and internal control system, standardized business management, sound business systems managed, strong marketing capabilities, to the general fund share holders and the number of asset managers to provide safe, efficient and professional hosting services, has made outstanding performance. As of June 2009, hosted 127 securities investment funds, which closed eight, open 119. Has been formed, including securities investment funds, trust assets, insurance assets, social security fund, annuity, industry funds, QFII assets, QDII products, including managed assets of the business system. In early 2009, ICBC has been \bank \(D) The fund custodian's internal control system of ICBC Asset Custody Department since its inception, the rapid development of the business, assets managed in the industry remain the dominant position. These achievements, and asset custody department is \Asset custody department attaches great importance to improve and strengthen internal risk management, and actively expand the hosting business, the strengthening of risk prevention and control efforts, carefully nurtured culture of internal control, improve risk control mechanism, and strengthen the whole process of risk management, operational projects as an important work to do. In 2005, the Department of Industrial and Commercial Bank of assets managed within the organization through a one assess the adequacy of controls and security measures in the most authoritative international certification SAS70 (Auditing Standards No. 70), became the first certified by the custodian bank. 1, the internal risk control objectives to ensure business operations strictly abide by relevant state laws, regulations and industry regulatory rules, strengthen and establish compliance management, standardized operation of the business ideas and management style, to form a standardized operation, management, scientific, systematic monitoring of internal control system; prevent and reduce business risk, ensure the safety and integrity of managed assets; safeguard the interests of holders; protect the asset custody business safe, effective and stable operation. 2, the internal risk control structure asset custody business of ICBC internal risk control structure by the auditing and supervision departments of Industrial and Commercial Bank of China (Internal Control and Compliance Department, Internal Audit), asset custody Risk Control Department within the Ministry and the Ministry of the business of asset custody together constitute the offices. Head office is responsible for auditing and supervision departments of the bank risk management policies, risk control of the business units work guidance and supervision. Asset Custody Department is responsible for internal audit to monitor the work of dedicated internal risk controls at,[link widoczny dla zalogowanych], and provide full audit inspectors, under the direct leadership of general manager, in accordance with relevant laws and regulations on the business of running an independent audit to monitor the exercise of powers. The business offices in their respective areas of responsibility to implement specific risk control measures. 3, internal risk control principles (1) the principle of legality. Internal control system should comply with national laws and regulations and regulatory requirements of regulatory agencies, and managed throughout the business management activities has always been. (2) the integrity of principle. Managed the operation and management of the business must have the appropriate procedures and supervision norms; supervision and control should permeate the entire process and managed the business aspects of each operation, covering all the departments, positions and personnel. (3) the principle of time. Managed business activities must occur accurately and timely recorded; in accordance with the \(4) the principle of prudence. Business activities must guard against the risks, prudent management, to ensure that the Fund's assets and other assets entrusted to the security and integrity. (5) the effectiveness of principle. Internal control system should be in accordance with national policy, legal and business management needs timely to revise and improve, and ensure full implementation, without any space, time and personnel exception. (6) the principle of independence. Asset custody department managed fund assets, the trustee's own assets, custodians and other assets should be separated; direct operators and control personnel should be relatively independent, the appropriate separation; internal control system, inspection, evaluation must be independent of the internal control department system development and implementation of department. 4, the implementation of internal risk control measures (1) strict isolation system. Asset custody business and the traditional strict separation of business and establish a clear job responsibilities, business processes of science, detailed manual, a strict code of conduct and a series of staff rules and regulations, and take a good firewall segregation, to ensure that assets Independent, environmental independence, independent personnel, business systems and management of independent, network independent. (2) high-level examination. Competent leadership and senior line management as the bank's custody business policy and strategy makers and managers require timely reporting of the lower sector and special situation of the operation and management, asset custody department to check the internal control objectives in achieving progress, and in accordance internal control measures proposed inspection, supervision functions of management improvement. (3) personnel control. Strict implementation of asset custody department of personal responsibility, to establish a \heart and pride, foster team spirit and core competitiveness. And through regular, targeted business and professional ethics training and sign an undertaking so that employees establish risk prevention and control concept. (4) operational control. Assets managed by the Ministry of planning, budgeting, marketing and other methods to carry out various business activities, deal with the transaction, which effectively control and configuration of organizational resources to maximize efficiency of resource use and purpose. (5) internal risk management. Assets managed by the Ministry of audit surveillance, risk assessment and other ways to strengthen internal risk management, regular or irregular basis to check on the status of business operations, monitor and guide the business sector risk identification, assessment, development and implementation of risk control measures, investigation and potential risks. (6) data security controls. Our operational areas by relatively independent, data and fax encryption, data transmission line redundancy, monitoring the use and protection of facilities and other measures to protect data security. (7) emergency preparedness and response. Asset custody business is established based on the data, application, operation, environment, complete the four dimensions of disaster emergency plan, and organize workers for regular exercises. In addition to the data server and application server backup and data synchronization real time updates, asset custody department has also established operational side of the remote backup center, to ensure that clearing and settlement transactions in a timely manner to ensure uninterrupted service. 5, the assets managed within the risk control department (1) full set of assets managed within the Department of Audit and supervision departments, and provide full audit inspectors, under the direct leadership of general manager, in accordance with relevant laws and regulations, carry out full monitoring thinking, to ensure that assets hosting business healthy and stable development. (2) improve the organizational structure, implementation of the full risk management. Sound risk management system requires the participation of every employee from top to bottom, only in this way, risk control systems and measures before the full and effective. Full implementation of asset custody department of risk management, risk control responsibilities to the specific business sector and business positions, job responsibilities of each employee within the scope of their risk of responsibility for the system through the establishment of double vertical and horizontal multi-sectoral system of internal organizational structure, the formation of different departments and different posts the organizational structure of checks and balances. (3) establish rules and regulations. Asset custody department attaches great importance to the construction of internal control system, has consistently adhered to the risk prevention and control concepts and methods into their duties, system construction and work processes. After years of efforts, asset custody department has established a set of internal risk control system, including: job responsibilities, operational processes, auditing and monitoring system, information disclosure system and so on, covering all sectors and positions, penetration of the business process, the formation of various business links between the control mechanism. (4) internal risk control is always one of the key work of the Department managed to maintain equal status with the business. Asset custody business is in the middle of the emerging business of commercial banks, asset custody department from the date of the establishment of standard operation with particular emphasis has been to establish a systematic and efficient system of risk prevention and control as a priority. As the market environment changes and the rapid development of managed business, new problems and new situations emerging, asset custody department is always on the risk management and business development as important as, depending on risk prevention and control, survival and development of managed business lifeline. (E) The fund custodian of the fund manager to supervise the operation of the Fund's methods and procedures under the \the proportion of investment portfolio assets of the Fund's accounting, the calculation of net asset value, fund managers and payment of accrued compensation, accrued compensation fund custodian, and payment, fund subscription and redemption of funds credited into account designated to pay the funds, the Fund income distribution legality, compliance monitoring and verification. Fund manager and fund custodian found a violation of \check in time after a written confirmation and issue a reply letter to the fund custodian. In the period, the fund custodian reserves the right to review matters on notice, urging fund managers to correct. Fund managers and trustees of the Fund failed to notice the irregularities corrected within the time limit, the fund custodian should report to the CSRC. Fund manager and fund custodian found significant violations, should be immediately reported to the China Securities Regulatory Commission, notify the fund manager deadline for correction. Fifth, related services (a) of the institutions offering fund shares 1, direct marketing agencies: Wells Fargo Fund Management Co., Ltd. Address: Hua Yuan Shi Qiao Road Pudong, Shanghai, Citigroup Tower, 33 5,6 storey office Address: Pudong New Area, Shanghai Garden Stone 33, Citigroup Tower bridge 5,6 layer Legal representative: Chen Min, General Manager: Dou Yuming Date of establishment: April 13, 1999 Tel: (021) 68597070 Fax: (021) 68597979 Contact: Lin Yan Jue Unification Advisory Service Tel: 95105686,4008880688 company website: [link widoczny dla zalogowanych] fullgoal. com. cn2, commission agencies (1) Industrial and Commercial Bank Co., Ltd. Registered Address: Xicheng District, Beijing Office No. 55 Fu Xing Men Nei Street, address: Xicheng District, Beijing, No. 55 Fu Xing Men Nei Street Legal representative: Jiang Jianqing, Tel: (010) 66107900 Fax: (010) 66107914 Contact: farming customer telephone: 95588 Website: [link widoczny dla zalogowanych] icbc. com. cn (2) Agricultural Bank of China Ltd. Registered Address: Jian Guo Men Nei Avenue, Dongcheng District, Beijing, No. 69 Office Address: 100 West Third Ring Road, Jinyu Building, Legal Representative: Xiang Junbo Fax: (010) 85109219 Customer Service Tel: 95599 Website: [link widoczny dla zalogowanych] abchina. com (3) China Postal Savings Bank Address: Xuanwumen West Street Xicheng District, Beijing 131 Office address: Xicheng District, No. 131 Xuanwumen West Street, the legal representative: Li-Ming Tao Contact: Chen Chunlin Fax: (010) 66419824 Phone Service : 11185 Company Website: [link widoczny dla zalogowanych] cpsrb. com (4) Bank of China Limited Registered Address: Xicheng District, Beijing No. 1 Fu Xing Men Nei Street, address: Xicheng District, Beijing No. 1 Fu Xing Men Nei Street, the legal representative of the Bank of China Head office: Xiao Gang Customer Service Tel: 95566 Website: [link widoczny dla zalogowanych] boc. com (5) Bank of Communications Co., Ltd. Address: Shanghai, 188 Yin Cheng Road, Pudong New Area Legal Representative: Hu Huaibang Tel: (021) 58781234 Fax: (021) 58408483 Contact: Cao Rong Customer Service Tel: 95559 Company website: [link widoczny dla zalogowanych] bankcomm. com (6) China Merchants Bank Co., Ltd. Registered Address: Shennan Road, Futian District, Shenzhen City, No. 7088 Address: Shenzhen Shennan Road, Futian District,[link widoczny dla zalogowanych], 7088 Legal Representative: Qin Xiao Tel: (0755) 83198888 Fax: (0755) 83195047 Contact: Wang Nan Customer Service Tel: 95555 Website: [link widoczny dla zalogowanych] cmbchina. com (7) Shanghai Bank Co., Ltd. Registered Address: Yin Cheng Road, Pudong, Shanghai Office No. 168 Address: 168 Yin Cheng Road, Pudong New Area Legal Representative: Chen Xin Tel: (021) 63370888 Fax: (021 ) 63370777 Contact: Zhang Ping Service Tel: 962 888 Website: [link widoczny dla zalogowanych] bankofshanghai. com. cn ( Cool

China Minsheng Banking Co., Ltd. Registered Address: Dongcheng District, Beijing Road, No. 4 Justice Office Address: Fu Xing Men Nei Street, Xicheng District, Beijing No. 2 Legal representative: Dong Wenbiao Phone: (010) 58351666 Fax: (010) 83914283 Contact: Wu Jie Customer Service Tel: 95568 Website: [link widoczny dla zalogowanych] cmbc. com. cn (9) China CITIC Bank Co., Ltd. Registered Address: Dongcheng District, Beijing, Chaoyang North Street, Block C, Fuhua Mansion, No. 8 Legal representative: Chen Xiaoxian Contact: Bin Phone: (010) 65542337 Fax: (010) 65541281 Customer Service Tel: 95558 Website: [link widoczny dla zalogowanych] ecitic. com (10) Shenzhen Ping An Bank Co., Ltd. Address: No. 1099 Shennan Road, Shenzhen Ping An Bank Building Office Address: No. 1099 Shennan Road, Shenzhen Ping An Bank Building Legal representative: Huang Lizhe Tel: (0755) 25859591 Contact: Huozhao Long Customer Service Tel :40066 -99,999 website: [link widoczny dla zalogowanych] 18ebank. com (11) Hai Tong Securities Co., Ltd. Registered Address: 98 Huaihai Zhong Road, Shanghai Office Address: No. 689 Guangdong Road, Shanghai Legal Representative: Wang Kaiguo Tel: (021) 23219000 Contact: Kim Yun Customer Service Tel: 400 -8888-001,95553 company website: [link widoczny dla zalogowanych] htsec. com (12) SW Securities Co., Ltd. Registered Address: No. 171, Changshu Road, Shanghai Office Address: No. 171, Changshu Road, Shanghai, legal representative: Ding Guorong Tel: (021) 54040596 Fax: (021) 64738844 Contact: Wang Xu Micro Service Tel: (021) 962 505 Website: [link widoczny dla zalogowanych] sw2000. com. cn (13) Hengtai Securities Co., Ltd. Registered Address: Hohhot, Inner Mongolia, Xinhua Street, New Town 111 Office Address: 111 East Street, Hohhot, Inner Mongolia, Xinhua New City Legal Representative: Liu Rujun Customer Service Tel: (0471) 4961259 Fax: (021 ) 68405181 Contact: Zhang Liang with Tel: (021) 68405392 Website: [link widoczny dla zalogowanych] cnht. com. cn (14) Tokai Securities Co., Ltd. Address: No. 59 Yanling West Road Changzhou, Chang Xin Building, 18,19 F Address: 989 Dongfang Road, Shanghai Zhongda Plaza, 17th Floor, Legal representative: Zhu Kemin Tel: (021) 50588876 Fax: (021) 50586660-8880 Contact: Shao Yiming Customer Service Hotline :400-8888-588 (National), (021) 32024658 (Shanghai) ,0519 -88,166,222 (Changzhou), 0379-64902266 (Luoyang) website: www . longone. com. cn (15) Great Wall Securities Co., Ltd. Registered Address: Shennan Road, Futian District, Shenzhen Special Zone Press Tower, No. 6008 14,16,17 layer Address: Shennan Road, Futian District, Shenzhen Special Zone Press Tower, No. 14-16, 6008 , 17th floor Legal representative: WONG Yiu Tel: (0755) 83516094 Fax: (0755) 83516199 Contact: Summit Customer Service Tel: (0755) 33680000 (Shenzhen, 400 -6666-888 (non-Shenzhen) Company website: [link widoczny dla zalogowanych] cc168.com.cn (16), CITIC Securities Co., Ltd. MassMutual Registered Address: No. 29 Miaoling Road, Laoshan District, 15-story office building Aucma Address: Qingdao City, No. 28 Donghai West Road, Legal Representative: Shi Jiemin Phone : (0532) 85022026 Fax: (0532) 85022511 Contact: Shao Yan Ding Customer Service Tel: 96577 Website: [link widoczny dla zalogowanych] (17) Everbright Securities Co., Ltd. Registered Address: No. 1508 Xin Zha Road, Shanghai Jing'an District Office Address: 1508 Xin Zha Road, Shanghai Jing'an District Legal Representative: Xu Haoming Tel: (021) 50818887-281 Contact: Liu Chen Customer Service Hotline :400 -8888-788 website: [link widoczny dla zalogowanych] (1 Cool

Guotai Junan Securities Co., Ltd. Registered Address: Mall Road, Pudong New Area, Shanghai Office No. 618 Address: 168 Yin Cheng Road, Pudong New Area, Shanghai Bank Building, the legal representative: I wish David A Tel: (021) 62580818 Fax: (021) 386 706 666 Contact: Rui Minqi Customer Service Phone :400 -8888-666 website: [link widoczny dla zalogowanych] (19) League of Nations Securities Co., Ltd. Registered Address: 168 East Street, Wuxi Region in Office Address: 168 East Street, Wuxi Region in League of Nations Building, No. 6th floor, 7th floor, the legal representative: Fan Yan Contact: Yuan Liping Customer Service Tel: (0510) 82588168,400-8885-288 Fax: (0510) 82830162 Website: [link widoczny dla zalogowanych] (20) Shanghai Securities Co., Ltd. Registered Address: 111 Jiujiang Road, Shanghai Office Address: 111 Jiujiang Road, Shanghai Legal Representative: Yuan Jiang True Phone: (021) 65081063 Fax: (021) 65217206 Contact: Xie Xiufeng Customer Service Tel: (021 ) 962 518 Website: [link widoczny dla zalogowanych] (21) Orient Securities Co., Ltd. Registered Address: Shanghai Zhongshan South Road, Building 2 318 -29 22 Layer Layer Address: Shanghai Zhongshan South Road, 22nd Floor, Building 2, 318 - 29 layer of legal representative: Yi-Min Wang Tel: (021) 63325888 Contact: Wu Yu Service Tel: (021) 95503 or 40088-88506 website: [link widoczny dla zalogowanych] (22) Jianghai securities brokerage limited liability company registered address : Xiangfang District, Harbin, Heilongjiang Province 56 Ganshui Address: Xiangfang District, Harbin, Heilongjiang Province 56 Ganshui Legal Representative: Sun famous Tel: Guo Ling Contact: 0451-82269280 Customer Service Phone :400 -666-2288 Company website: [link widoczny dla zalogowanych] (23) GF Securities Co., Ltd. Registered Address: Zhuhai City, Guangdong Province, Jida Rd, 26th Floor, Everbright International Trade Centre, Room 2611 Office Address: Metropolitan Plaza Guangzhou Tianhe North Road, 36 , 36,41 and 42 House Legal representative: Wang Zhiwei Contact: Xiao Zhongmei Customer Service Tel: 95575 Fax: (020) 87555303 Website: [link widoczny dla zalogowanych] (24) Xiangcai Securities Co., Ltd. Registered Address: Changsha City Huang Xing Zhong Road, Building 12, No. 63 Zhongshan International House Address: 139 Yin Cheng East Road Pudong, Shanghai Huaneng Union Building, 18th Floor, Legal representative: Chen Xuerong Tel: (021) 68634518 Fax: (021) 68865938 Contact: Zhong Kangyingkefu Phone :400 -8881-551, (021) 38784525 Website: [link widoczny dla zalogowanych] fund managers in accordance with relevant legal and regulatory requirements, select a sales agent to meet the requirements of the organization of the Fund, and timely notice. (b) up Registration Organization: Wells Fargo Fund Management Co., Ltd. Address: Hua Yuan Shi Qiao Road Pudong, Shanghai, Citigroup Tower, 33 5,6 storey office address: Hua Yuan Shi Qiao Road Pudong, Shanghai, Citigroup Tower 33, the legal representative of 5-6 layers Person: Chen Min, General Manager: Dou Yuming Date of establishment: April 13, 1999 Tel: (021) 68597070 Fax: (021) 68597979 Contact: Lei Qingsong (c) legal opinion of the law firm name: Kone law firm

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