1. In order to strengthen the management of enterprise annuity funds and standardize the operation procedures of enterprise annuity funds, this procedure is formulated according to the Trial Measures for Enterprise Annuity, the Trial Measures for the Management of Enterprise Annuity Funds and relevant laws and regulations.

ii. this procedure is applicable to the clients of enterprise annuity plans and trustees, account managers, custodians and investment managers engaged in enterprise annuity fund management.

the entrusted management contract mentioned in this process refers to the contract signed by the principal and the trustee, the account management contract refers to the contract signed by the trustee and the account manager, the custody contract refers to the contract signed by the trustee and the custodian, and the investment management contract refers to the contract signed by the trustee and the investment manager.

iii. the client shall submit the enterprise annuity plan information, enterprise account information and personal account information to the trustee according to the provisions of the entrusted management contract, and the trustee shall submit them to the account manager after confirmation.

the client can also submit the enterprise account information and personal account information to the account manager entrusted by the trustee according to the provisions of the entrusted management contract, and the account manager will review the authenticity, legality and completeness of the submitted information, and notify the trustee after the review is correct.

iv. the account manager shall establish independent enterprise accounts and personal accounts for the enterprise annuity fund, and record the enterprise annuity plan information, enterprise account information and personal account information in time.

5. when the information of enterprise annuity plan, enterprise account or personal account is changed, the client shall submit the change information to the trustee according to the provisions of the entrusted management contract, and the trustee shall submit it to the account manager after confirmation.

when the enterprise account information or personal account information is changed, the client can also submit the change information to the account manager entrusted by the trustee according to the provisions of the entrusted management contract, and the account manager will review the authenticity, legality and completeness of the change information and notify the trustee after the review is correct.

the account manager should adjust the account records according to the changed information.

VI. The account manager shall, according to the provisions of the account management contract, generate a payment bill according to the enterprise annuity plan and the payment information provided by the client before the payment date stipulated in the enterprise annuity plan, and submit it to the client and the trustee for confirmation.

the trustee shall send a notice of payment and collection to the custodian.

VII. The custodian shall separately open entrusted property custody accounts for each enterprise annuity plan under custody for the collection and payment of enterprise annuity funds.

on the payment date specified in the plan, the client shall transfer the enterprise payment and individual payment into the entrusted property custody account opened by the custodian, and notify the trustee and account manager.

VIII. The custodian shall check the paid-in payment amount according to the payment collection notice. When the verification is consistent, the custodian will notify the trustee and the account manager of the receipt of the payment funds, and the account manager will record the payment information in the enterprise account and personal account. If the verification is inconsistent, and the paid-in payment amount is more than the payment receivable notified by the payment receipt, the custodian shall notify the trustee, handle the overpayment according to the trustee's instructions, and notify the trustee and the account manager of the handling result; When the paid-in payment amount is less than the payment receivable notified by the payment receipt, the custodian shall notify the trustee, and the trustee shall notify the client to pay back the payment.

IX. The custodian shall open a capital account and a securities account for the enterprise annuity fund under custody, and be responsible for the capital settlement and settlement of the enterprise annuity fund under custody.

the custodian shall separately open investment management risk reserve accounts for the investment managers of the managed enterprise annuity funds, which are specially used to make up the investment losses of the enterprise annuity funds.

X. The trustee, custodian and investment manager shall reach an agreement on the procedures for issuing, confirming and executing the instructions. The trustee and investment manager shall notify the trustee of the personnel and authority to send instructions.

Xi. The trustee shall notify the trustee and the investment manager of the investment allocation instruction of the enterprise annuity fund.

the custodian shall review the authenticity, legality and completeness of the trustee's investment allocation instructions, transfer the funds from the entrusted property custody account to the fund account of the corresponding portfolio in time, and notify the trustee and the investment manager of the receipt of the funds.

XII. When the trustee adjusts the investment quota of the investment manager, it shall notify the trustee and the investment manager of the adjustment plan in advance.

after receiving the trustee's transfer instruction, the custodian shall review the authenticity, legality and completeness of the instruction, allocate funds in time after the review is correct, and notify the trustee and investment manager of the allocation of funds.

XIII. The custodian and the investment manager shall obtain the settlement data of securities transactions of enterprise annuity funds from the stock exchange and China Securities Depository and Clearing Corporation in time respectively. After the custodian and the investment manager check correctly, the custodian shall handle the capital settlement and settlement of the enterprise annuity fund with China Securities Depository and Clearing Corporation in time.

the custodian and investment manager shall, in accordance with the relevant provisions of the national inter-bank bond market, handle the bond trading, repurchase business and capital settlement of the enterprise annuity fund investment in the inter-bank bond market.

XIV. The custodian and the investment manager shall independently establish accounts and conduct independent accounting for the investment portfolio of the enterprise annuity fund, and complete the accounting and valuation of the investment portfolio of the enterprise annuity fund with reference to the Accounting Measures for Securities Investment Funds and other provisions. The custodian shall review and examine the net value of the portfolio calculated by the investment manager.

the custodian is responsible for the accounting of the enterprise annuity fund, evaluates the enterprise annuity fund every working day, and timely sends the accounting results such as the net asset value, net growth rate or net share value of the enterprise annuity fund to the trustee and account manager according to the provisions of the custody contract.

XV. The custodian and the investment manager shall prepare and check the balance sheet, profit and loss statement, statement of changes in net worth and notes of the investment portfolio of the enterprise annuity fund in time respectively, and the custodian shall submit them to the trustee.

the custodian shall timely prepare the balance sheet, profit and loss statement, statement of changes in net worth, notes and other accounting statements of the enterprise annuity fund property, and submit them to the trustee.

the investment manager shall regularly issue investment management reports such as investment performance and risk assessment of the enterprise annuity fund portfolio, and submit them to the trustee.

XVI. The custodian shall supervise the investment scope, investment proportion, accounting and valuation, expense accrual and payment, income distribution and other matters of the enterprise annuity fund in accordance with the Trial Measures for the Management of Enterprise Annuity Fund, the custody contract and relevant laws and regulations.

if the investment management caused by objective factors such as the fluctuation of the securities market and the merger of listed companies does not conform to the proportion stipulated in the Trial Measures for the Management of Enterprise Annuity Funds or the proportion stipulated in the investment management contract, the custodian shall promptly notify the investment manager and report to the trustee, and the investment manager shall make adjustments within a reasonable period.

XVII. The account manager shall distribute the investment income of the enterprise annuity fund according to the Trial Measures for the Management of Enterprise Annuity Fund and the provisions of the account management contract.

when the amount measurement method is adopted, the account manager shall calculate the investment income of the current period according to the net asset value and net asset growth rate of the enterprise annuity fund on the income distribution date provided by the custodian and the opening balance of the enterprise account and the personal account, and fully record it in the enterprise account and the personal account.

when the share measurement method is adopted, the account manager shall record the net share value of the enterprise annuity fund on the income distribution date provided by the custodian.

XVIII. After receiving the payment instruction issued by the trustee and the transaction instruction issued by the investment manager, the custodian shall review the authenticity, legality and completeness of the instruction, and execute it after it is verified to be correct.

XIX. When an employee retires, dies or goes abroad to settle down, the client shall submit an application to the trustee, and the trustee shall notify the account manager. The account manager calculates the personal account rights and interests, generates a personal account rights and interests payment table, and sends it to the principal and the trustee for confirmation.

after confirmation, the trustee issues the treatment payment instruction to the custodian and notifies the account manager. The custodian shall go through the formalities of fund transfer according to the instruction of treatment payment, and notify the trustee and account manager of the result of fund transfer. The account manager shall deduct the rights and interests of the personal account, and when the balance of the rights and interests of the personal account is zero, go through the formalities of closing the personal account and notify the trustee.

the trustee informs the client of the result of fund transfer.

2. when an employee leaves the enterprise and transfers to a new enterprise annuity plan, the client shall submit an application for personal account transfer to the trustee according to the relevant contract provisions, and the trustee will notify the account manager after confirmation. The account manager calculates the personal account rights and interests, generates a personal account transfer report, and sends it to the principal and the trustee for confirmation.

after confirmation, the trustee issues a fund transfer instruction to the custodian and notifies the account manager. The custodian shall go through the fund transfer formalities according to the fund transfer instruction, and notify the trustee and the account manager of the fund transfer result. The account manager shall handle the personal account transfer procedures and notify the trustee.

the trustee informs the client of the result of fund transfer.

XXI. If employees leave the enterprise and cannot be transferred to the new enterprise annuity plan, the account manager may transfer them to the reserved account and manage them separately.