Fund Hong Fei: Registration Guidelines for Confirmation of Fund Shares Baoying Resources Preferred Stock Securities Investment Fund Confirmation of Fund Shares
Baoying Resources Preferred Stock Securities Investment Fund (hereinafter referred to as "the Fund", fund code: 2 13008 (front end) and 2 13908 (back end)) was transformed from Hong Fei Securities Investment Fund (hereinafter referred to as "Hong Fei Fund", fund code: 184700). After the listing of Hong Fei Fund was terminated on April 15, 2008, the fund shares originally registered in Shenzhen Branch of China Securities Depository and Clearing Co., Ltd. will be transferred to the fund registration institution (the fund registration institution is Baoying Fund Management Co., Ltd., hereinafter referred to as "Baoying Fund"), and the fund share holders need to confirm their original Hong Fei fund shares and re-register them before they can redeem, convert and confirm them through the relevant sales institutions that handle the confirmation business. The above process is called "right confirmation". I. All fund share holders of Hong Fei Fund registered in Shenzhen Branch of China Securities Depository and Clearing Co., Ltd. after the transaction ended on April 4, 2008 15: 00.
Second, confirm the business acceptance time
The fund will start to handle the business of confirming rights after the centralized subscription, and the specific time will be announced separately. Baoying Resources optimizes the business outlets of stock securities investment fund sales institutions, which can be accepted within the acceptance time of open-end fund business (except the registration date of fund dividend rights and interests).
Third, the sales organization
The sales organization is as follows:
(1) Direct selling organizations
Baoying fund management co., ltd. direct sale center
(2) Consignment agencies
China Construction Bank, Postal Savings Bank of China, China Merchants Bank, Bank of Beijing, Shenzhen Ping An Bank, Southwest Securities, Essence Securities, Guodu Securities, Guolian Securities, Wanlian Securities, Ping An Securities, China Merchants Securities, Bohai Securities Co., Ltd., china galaxy Securities Co., Ltd., Great Wall Securities Co., Ltd., Industrial Securities Co., Ltd., CITIC Securities Co., Ltd., orient securities Co., Ltd., Guo Xin Securities Co., Ltd., CITIC Jiantou Securities Co., Ltd., citic wantong Securities Co., Ltd., CITIC Jintong Securities Co., Ltd., GF Securities Co., Ltd., soochow securities Co., Ltd. Huaxi Securities Co., Ltd., donghai securities Co., Ltd., changjiang securities Co., Ltd., Zheshang Securities Co., Ltd., Guotai Junan Securities Co., Ltd., Haitong Securities Co., Ltd., First Venture Securities Co., Ltd., Jinyuan Securities Co., Ltd., Guoyuan Securities Co., Ltd., United Securities Co., Ltd., Guo Sheng Securities Co., Ltd.
Investors must open a fund trading account at the above-mentioned sales agency outlets and open an open-end fund account of Baoying Fund. Investors who have already gone through the formalities of opening an open-end fund account of Baoying Fund need not go through the formalities of opening an account.
The fund manager will increase or decrease the number of consignment agencies participating in the confirmation business according to the situation and make a separate announcement.
Fourth, confirm the business process.
The confirmation of rights follows the principle of prudence. If the investor's identity cannot be verified by the method specified in this process, it will not be confirmed.
Investors who have gone through the formalities of opening an open-end fund account of Baoying Fund need not go through other formalities. The fund manager will automatically re-register and confirm the fund share of Baoying resource-optimized stock securities investment fund converted from Hong Fei Securities Investment Fund into its open-end fund account within a certain period of time.
If an investor successfully opens an open-end fund account of Baoying Fund in a number of sales organizations, the fund manager will handle it according to the following principles when confirming the right:
(1) If there is an open-end fund direct account of Baoying Fund, the fund share shall be confirmed to its open-end fund direct account first;
(2) If there is no direct selling account of Baoying Fund's open-end fund, the fund share and other fund shares of Baoying Fund will be confirmed to the open-end fund consignment account of Baoying Fund.
(3) If there is no direct selling account of Baoying Fund, among the open-end fund accounts of Baoying Fund opened by other consignment agencies, several accounts have other fund shares of Baoying Fund or all accounts have no other fund shares of Baoying Fund, and the fund shares will be confirmed to the recently traded open-end fund account first;
Investors who have not gone through the formalities for opening an open-end fund account of Baoying Fund shall apply to the fund sales organization for opening an account with the following materials:
(1) Individual investors
(1) Original and photocopy of my valid ID card (the same as the one provided when handling the shareholder account card holding the fund Hong Fei);
(2) If entrusting others, the original and photocopy of the identity certificate of the trustee and the original and photocopy of the power of attorney signed and confirmed by the client shall also be provided.
(2) Institutional investors
(1) Original business license or registration certificate (with a copy provided at the same time) or a copy of business license or registration certificate stamped with the official seal of the unit;
(2) The original and photocopy of the Power of Attorney for Fund Business signed or sealed by the legal representative (the unincorporated entity is the person in charge);
③ Original seal card;
(4) Original and photocopy of the identity certificate of the authorized person.
Note: The above information must be provided in original and the copy must be clear and correct. If the information provided by investors is untrue, inaccurate, incomplete or untimely, the consequences will be borne by investors themselves.
1. After accepting the investor's account opening application, the fund manager's direct sales outlets and sales organizations should first verify the accuracy, completeness, superficial authenticity and validity of the application materials submitted by the applicant, check whether the applicant's investor name, certificate type and certificate number are correct and complete, and whether there is any alteration, and prompt the applicant to fill in the contact information correctly. The sales organization sends the investor's application materials for confirmation of rights to the registration organization. Each sales organization will keep the original application materials provided by investors for future reference.
2. When investors open securities accounts in Shenzhen, they use 15 digit ID number, but if they currently use 18 digit ID number, the registration authority may confirm it.
3. After receiving the electronic data of the application, the registration institution will check the information provided by investors, and once it is checked correctly, it will re-register the fund shares confirmed as Baoying Resources Preferred Stock Securities Investment Fund.
4. Investors' registered fund shares can be redeemed and other related businesses through the relevant sales organizations that have opened open-end fund accounts in Baoying Fund.
5. Specific procedures for investors to open open-end fund accounts of Baoying Fund in various sales organizations. If there are other requirements, the instructions of the sales organizations shall prevail.
6. If the investor's personal basic information changes, which is inconsistent with the information in the list of holders handed over by Shenzhen Branch of China Securities Depository and Clearing Co., Ltd. (hereinafter referred to as "the original list of holders") when the original fund Hong Fei was delisted, it is necessary to provide relevant information about the change.
Individual investors need to provide the following information:
(1) If the ID number and name are changed due to duplicate ID number or other reasons, the change certificate issued by the police station under the jurisdiction of the ID card shall be provided and submitted to our company for review.
(2) If the basic information of the customer is inconsistent with the original holder list due to the error of information input or filling in by the operator when opening an account, the following relevant information shall be provided and submitted to the company for review:
① Confirmation letter issued by the original account-opening institution (or heir) confirming that the account registration information is incorrectly filled in and promising to bear corresponding legal responsibilities (see Annex 2);
(2) The original account opening certificate that proves that the registration information is incorrectly filled in (the seal of the account opening institution or heir is required);
(3) If the evidence in Item (2) cannot be provided, the designated securities company shall provide the ownership certificate of the Hong Fei share of the fund in the account (see Annex 3);
(4) If the materials required in Article (1) cannot be provided, and the application for changing the registration information of the securities account is made, the legal documents confirmed by the people's court or the notarial certificate of the notary office shall also be submitted.
Institutional investors need to provide the following information:
(1) If the relevant contents recorded in the business license are changed due to historical reasons, a change certificate issued by the administrative department for industry and commerce shall be issued, and a copy of the change certificate shall be stamped with the official seal and sent to the company for review;
(2) If the customer information is inconsistent with the list of holders due to the incorrect information entered or filled in by the operator when opening an account, the following relevant information shall be provided and submitted to our company for review:
① Confirmation letter issued by the original account-opening institution (or heir) confirming that the account registration information is incorrectly filled in and promising to bear corresponding legal responsibilities (see Annex 2);
(2) The original account opening certificate that proves that the registration information is incorrectly filled in (the seal of the account opening institution or heir is required);
(3) If the evidence in Item (2) cannot be provided, the designated securities company shall provide the ownership certificate of the Hong Fei share of the fund in the account (see Annex 3);
(4) If the materials required in Article (1) cannot be provided, and the application for changing the registration information of the securities account is made, the legal documents confirmed by the people's court or the notarial certificate of the notary office shall also be submitted.
Investors must bring the above-mentioned original materials and the Confirmation Application Form to the registration center of Baoying Fund Management Co., Ltd. on the 5th floor of Newspaper Building/KLOC-0, Futian District, Shenzhen.
Verb (abbreviation of verb) Baoying Fund Open-end Fund Account Opening Application, Ownership Confirmation and Troubleshooting.
1. The acceptance of opening an open-end fund account of Baoying Fund by the sales organization does not mean that the application must be successful, but only represents the acceptance of the application for opening an open-end fund account of Baoying Fund by the sales organization. Whether the application is successful or not shall be subject to the confirmation result of the fund registration institution. The registration authority will confirm the validity of the application for opening an open-end fund account of Baoying Fund on T+ 1 day.
2. After the application for opening an open-end fund account of Baoying Fund is registered and confirmed by the registration authority, investors can call the outlets of various sales organizations on T+2, or call Baoying's website (www.byfunds.com) or Baoying's customer service telephone number (400-8888-300) to inquire about the opening and confirmation of an open-end fund account of Baoying Fund.
3. If the confirmation information provided by the investor is confirmed incorrectly by the registration authority, it is a failure to confirm the right. Investors can call Baoying customer service telephone (400-8888-300) to inquire about the specific reasons for the failure of confirmation and the follow-up treatment methods, and investors need to re-apply for confirmation.
4. Within one month after the rights are confirmed, the Baoying Fund registration institution shall confirm the rights daily. One month after the confirmation, Baoying Fund Registration Authority will no longer confirm the right daily. If investors need to confirm their rights, after successfully opening an open-end fund account of Baoying Fund, they shall provide the following documents and fax them to the registration authority of the Company for confirmation:
(1) Individual investors
(1) Original and photocopy of my valid ID card (the same as the one provided when handling the shareholder account card holding the fund Hong Fei);
② Original and photocopy of Shenzhen securities account card (including A-share account card or fund account card, the same below);
(3) Fill in and sign the business confirmation application form.
(4) If entrusting others, the original and photocopy of the identity certificate of the trustee and the original and photocopy of the power of attorney signed and confirmed by the client shall also be provided.
(2) Institutional investors
(1) Original business license or registration certificate (with a copy provided at the same time) or a copy of business license or registration certificate stamped with the official seal of the unit;
② Original and photocopy of Shenzhen securities account card;
(3) The original and photocopy of the Power of Attorney for Fund Business signed or sealed by the legal representative (the unincorporated unit is the person in charge);
④ Original signature card;
(5) Original and photocopy of the identity certificate of the authorized person;
6. Fill in and affix the official seal of the unit and the signature and seal of the legal representative to confirm the business application form.
VI. Confirmation of business rules
1. Within one month after the confirmation, the investor only needs to open an open-end fund account of Baoying Fund, and the fund manager can confirm the confirmation according to the account information of the original Hong Fei Fund held by the investor. One month after confirmation, investors need to submit relevant materials and fax them to Baoying Fund Registration Agency for confirmation.
2. After the original Hong Fei Fund was delisted, the fund made a centralized subscription. After the centralized subscription, the fund share will be split to make the net value of the fund share 1.0000 yuan. Accordingly, the registration authority will convert and adjust the original fund share of Hong Fei Fund held by investors, and then calculate the fund share of Baoying Resources' preferred stock securities investment fund.
3. If the investors of the former Hong Fei Fund did not open an account in the open-end fund account of Baoying Fund when the Fund was delisted, the fund shares held by them and the resulting fund rights and interests shall be temporarily entrusted to the registration authority. Before the investor confirms the right, if the fund distributes the income, the unconfirmed fund share and its corresponding equity share (including the share after conversion and adjustment of the original fund share) will be uniformly distributed as dividends, and all the fund shares after dividends will continue to be entrusted to the registration institution until the investor registers their rights.
The application for business confirmation will not be accepted on the dividend registration date.
4. Investors should choose cash dividends or dividend reinvestment when going through the confirmation procedures (that is, cash dividends will be automatically converted into fund shares for reinvestment according to the net value of fund shares on the ex-dividend date). If the investor has no choice, if the fund distributes the income after the investor confirms success, the registration institution will handle the fund share held by the investor according to the default income distribution method of the fund, that is, cash dividend.
5. The successful fund shares confirmed by investors are all front-end fund shares.
6. At the time of registration of ownership confirmation, the registration institution will also register the original fund share of Hong Fei Fund and its related rights and interests, including the original fund share, the fund share adjusted after centralized subscription, and the fund share converted from income distribution to investment before applying for ownership confirmation (if any).
Seven, friendly tips
Investors who have not confirmed their rights need to check the number of fund shares held by the original Hong Fei Fund before delisting. You can check the number of fund shares held by the former Hong Fei Fund at the securities company that handles the daily fund share custody or Shenzhen Branch of China Securities Depository and Clearing Co., Ltd. (address: Shenzhen CITIC Building 1093). Investors can also call Baoying Customer Service Phone (400-8888-300) to manually check the investor's securities account number and ID number, and then inquire about the holding amount of the original Hong Fei Fund. However, before the confirmation is successful, the number of these funds is not reflected in the investors' open-end fund statements.
Eight. others
The final interpretation right of this Confirmation Registration Guide belongs to Baoyingjin Management Co., Ltd. ..
Customer service telephone number: 400-8888-300
Fax: (0755)83275 1 19.
Website: www.byfunds.com
Attachment 1: power of attorney for fund business
Attachment 2: Confirmation Letter
Attachment 3: Proof
Baoyingjin management co., ltd
April 2008
Attachment 1:
Power of attorney for fund business
Baoying Fund Management Co., Ltd:
I (the institution) (the authorized person) hereby entrust Mr./Ms. (the authorized person, with a copy of ID card) to handle the following fund business and related business activities on my behalf according to the entrustment method agreed with your company:
1. Handle account opening, subscription, purchase, redemption, freezing/unfreezing, loss reporting/reissue, transfer custody, non-transaction transfer, bill withdrawal, data modification, modification of dividend distribution method, fund conversion, inquiry, account cancellation, business confirmation and new business (such as regular fixed investment plan).
2. Collect all materials, documents and documents sent by Baoying Fund Management Co., Ltd. ..
3. Confirm and supplement all documents and attachments related to the fund business by telephone (recorded telephone) and on-site signature.
4. Explain, explain and answer the inquiries made by your company.
5. Others (please specify):
This power of attorney shall come into effect from the date when the authorized person and the authorized person sign it and deliver it to your company, until I (institution) submit a new power of attorney or cancel the account.
I (the organization) solemnly promise:
1. The contents of this power of attorney are true and valid, and the licensee is legally qualified to invest in the securities market;
2. The operations, explanations and confirmations made by the authorized person within the above-mentioned authorization scope and the validity period of the power of attorney are regarded as my (institution's) true intention, and I (institution) shall bear all legal responsibilities for such actions and consequences. However, Baoying Fund Management Co., Ltd. has the right to decide to accept or reject the operations, explanations and confirmations made by the licensee within the above-mentioned authorization scope and the validity period of the power of attorney in accordance with the law;
3. If there are two authorized persons in this power of attorney, it means that any one of them can handle the above fund business on his behalf.
Signature of Licensee: Signature of Licensee:
(The institution needs the signature and official seal of the legal representative):
Signature date of authorized person: year month day.
Attachment 2:
Confirmation letter
(name or title), valid ID number and securities account opened in (the company) (shareholder account number (Shenzhen) is) will be incorrectly filled in as (the reason for filling in). The current application will be corrected to.
Please deal with it.
(Our company) is willing to bear all legal responsibilities arising therefrom.
Attach the original account opening certificate.
Year, month and day (with official seal)
Attachment 3:
certificate
(name or title of holder), valid ID number is, and the securities account held by (shareholder account number (Shenzhen)) has been used by (name or title of holder). Up to now, the following securities (the name of the holder) in the account were purchased in the sales department of our company.
Securities code name Securities number (share/share)
Hereby certify that
Year, month and day (with official seal)