上市开放式基金登记结算业务实施细则 Rules for the Implementation of the Registry and Clearance Business of Listed Open

conduct cash dividend allocation， TA system can conduct cash dividend allocation or dividend re-investing allocation as in the option of the investor.

　　7.2 The fund manager shall， before the announcement of the equity allocation， make equity allocation application to this Company in

advance.

　　7.3 The fund manager shall， before the prescribed time point in date R， inform this Company of the finally determined dividend allocation plan. Where the dividend allocation plan is amended after the prescribed time point， the equity registry date shall be re-determined.

　　7.4 The fund manager shall， before the prescribed time point in date R-2， appropriate the cash dividend to the bank account designated by this Company. This Company will appropriate the cash dividend to the clearance reserve account of the securities institution， fund manager and its best effort institution in date R-3.

　　Where the fund manager fails to appropriate fully the cash dividend before the prescribed time point， this Company will postpone the allocation of the cash dividend.

　　Chapter 8 Supplementary Provisions

　　8.1 This Implementation Rules apply， for the time being， to registry and clearance business of the open-end securities investment fund sold， listed and transacted in Shenzhen Stock exchange.

　　8.2 This Company is not liable to any damage to related parties caused by earthquake， typhoon， drought， fire， war and other force majeure factors， and such contingent incidents as unpredictable or uncontrollable failure of system， equipment and telecommunication， electricity power off， etc.

　　8.3 The meanings of the following wordings as used in this Rules are：

　　Purchase： The activity that within the raising period of open-end fund， the investor purchases fund unit in the Stock Exchange through securities institution， or purchases through fund manager and its best effort institution.

　　Application for purchase： The activity that beyond the raising period of open-end fund， an investor buys fund unit through fund manager and its best effort institution.

　　Transaction： The activity that after the open-end fund is listed in Stock Exchange， an investor buys or sells fund unit in Stock Exchange by way of collective transaction and through securities institution.

　　Securities account： It is divided into Shanghai securities account and Shenzhen securities account. Shanghai securities account is used to record the securities listed in Shanghai Stock exchange and other securities acknowledged by this Company； Shenzhen securities account is used to record the securities listed in Shenzhen Stock exchange and other securities acknowledged by this Company.

　　The registry of open-end fund account： The business process in that an investor holding securities account applies to this Company for opening the function of open-end fund business and gets the confirmation feedback from the TA system of this Company.

　　The confirmation of open-end fund account： The business process in that an investor who has registered to open open-end fund account applies for， in order to conduct fund subscribe， application and redemption through more than one best effort institutions， the registered open-end fund account through the proposed best effort institution and gets the confirmation feedback from the TA system of this Company.

　　The Shanghai， Shenzhen open-end fund account： The open-end fund account that comes into being following the registration of Shanghai， Shenzhen Securities Account.

　　Best effort institution： Such institutions as the commercial banks or securities institution etc. which have best effort institution qualification of open-end fund authorized by the China Securities Regulatory Commission， sell fund unit upon delegation of fund manager， and carry out the application and redemption of fund share.

　　Clearance participants： Securities institution， fund manager， best effort institution and other bodies which participate in the clearance business of this Company after the consent of this Company in the electronic securities registry and clearance system established and managed in this Company.

　　8.4 This company shall be

responsible for the amendments and interpretation of the present Implementation Rules.

　　8.5 The present Implementation Rules shall be implemented as of the promulgation date

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