Legal Representative: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Address: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Asset manager (hereinafter referred to as manager): _ _ _ _ _ _ _ _ _ _ _
Legal Representative: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Address: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Whereas:
The manager is a comprehensive securities company with asset management business qualification and securities investment professionals issued by China Securities Regulatory Commission, and has a good reputation in the securities industry;
The client is willing to entrust some of his assets to the manager for asset management, and the manager is also willing to accept the entrustment of the client.
Through equal consultation, both parties reached the following agreement on the entrusted matters:
1. Explanation
(1) Entrusted assets: refers to the assets owned by the client according to law and can be used for investment in national debt, namely the assets mentioned in Article 2 of this contract.
(2) Remaining assets: refers to the assets represented by the balance of the asset management account determined in Item 1 of Article 5 of this contract at the end of the entrustment period.
(3) Annual rate of return: refers to the ratio of annual investment income to entrusted assets at the beginning of the entrustment period.
(4) Management commission: refers to the service fee charged by the manager in proportion to the entrusted assets.
(5) Performance reward: refers to the bonus drawn by the manager from the income of entrusted assets according to the income of entrusted assets.
2. Entrusted assets and their evaluation
(1) The client is willing to deliver the following _ _ _ _ _ _ _ assets to the manager for treasury bond investment management.
A RMB funds: (in words) _ _ _ _ _ _ Yuan only (_ _ _ _ _ _).
B. Stock: (name) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _.
C. Bonds: (name) _ _ _ _ _ _, (code) _ _ _ _ _ _, (amount in words) _ _ _ _ _ _ _.
D Foreign exchange: (currency) _ _ _ _ _ _, (amount in words) _ _ _ _ _ _.
E. Others: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
3. Investment scope of entrusted assets
(1) The manager makes an investment plan according to the client's investment wishes, and after obtaining the client's consent, invests the entrusted assets in the listed and planned government bonds in Shenzhen and Shanghai.
(2) During the validity of this contract, if there are laws, regulations and policies that affect or restrict the asset management agreed by the manager, both parties shall immediately negotiate to modify the investment intention and investment plan.
4. Asset management period
(1) The term of entrusted asset management is the asset management term, counting from the date when the entrusted asset reaches the bank account designated by the manager and the principal effectively authorizes the asset management account.
(2) The asset management period of this contract is 12 months; If this contract is extended according to Article 13, the term shall be extended accordingly.
5. Account management
(1) Open an asset management account in the following _ _ _ _ _ _ _ _ way during the asset management period:
A. open treasury bonds accounts and capital accounts in the name of customers.
B. The manager shall open an asset management account.
(2) Within 3 days from the date of signing this contract, the client shall transfer the entrusted assets to the account specified in the preceding paragraph.
(3) The manager has complete trading operation authority for the account specified in item (1), but has no right to transfer funds except for normal trading settlement.
6. Customer statements and
(1) The client guarantees that the entrusted assets are the client's own assets, and the sources and uses of the assets comply with relevant state regulations. At the same time, it also ensures that there is no pledge or other third-party rights on the entrusted assets, and there are no restrictive conditions that hinder the ownership, monitoring rights and management rights of the client.
(2) The act of entrusting the assets to the manager for investment management does not violate the client's own business decision-making procedures, and is legal and effective.
(3) The client guarantees that all information provided to the manager is complete, accurate and legal, and there is no major omission or misleading.
7. Statement by the Administrator
(1) The manager will assign professionals with securities practice qualifications to be responsible for the management of entrusted assets, conduct effective investment operations within the scope permitted by relevant national laws, regulations and policies, follow the principle of good faith, make every effort to control market risks by scientific means, and strive to maintain and increase the value of entrusted assets.
(2) The manager shall ensure that its staff strictly abide by relevant laws and professional ethics, do not misappropriate the entrusted assets of customers, and do not buy or sell unnecessary securities for the purpose of obtaining commissions.
8. Rights and obligations of customers
(1) The client has the right to obtain the asset management report and other necessary materials issued by the manager, inquire about the operation of the entrusted assets at any time, and supervise the operation of the assets.
(2) The client has the right to obtain the remaining assets and income after the liquidation of the entrusted assets according to the provisions of this contract.
(3) The client shall hand over the entrusted assets to the manager for management in a timely and complete manner in accordance with this contract.
(4) The client shall provide the manager with the basic documents and materials of its own financial status and investment objectives, and bear all risks and relevant legal responsibilities of the entrusted assets before entrusting them to the manager for management.
(5) The client shall pay the management commission to the manager in full in accordance with the provisions of this contract, and bear the transaction costs incurred in the process of asset management and the relevant taxes and fees that may be levied on securities transactions according to law.
(6) The instructions and notices sent by the client to the administrator must be made in written form, and the client has the obligation to ensure that the signature and seal on the instructions or notices are legal, true and effective.
9. Rights and obligations of the administrator
(1) The manager shall keep the detailed information in asset management operation, provide accurate and complete asset management report and other necessary information to the client in accordance with this contract, and accept the client's inquiry;
(2) At the expiration of the asset management period stipulated in Article 4 of this contract, the manager has the right to collect management commission and performance remuneration according to Article 10 of this contract, and is obliged to return all the remaining assets and income after liquidation to the client in time.
(3) In order to ensure the safety of entrusted assets, the manager's self-operated business, brokerage business and asset management business should be strictly separated in personnel, finance and accounts, and mixed operations are not allowed.
10. Management Committee
(1) The client shall pay the entrusted asset management commission to the manager according to 1% of the total entrusted assets.
(2) When the annual rate of return of entrusted assets exceeds a certain index, the manager can get performance reward; Specific incentives and measures can be agreed by both parties separately.
(3) The management commission and performance reward shall be deducted from the remaining assets and income by the manager at the liquidation date negotiated by both parties or at the expiration of the asset management period.
1 1. liquidation of entrusted assets
(1) Before the expiration of the asset management period, both parties may agree on a specific liquidation date; If there is no agreement, the expiration date of the asset management period shall be the liquidation date.
(2) Within 3 working days after the liquidation date, the manager will transfer the remaining assets and income to the bank account designated by the client at one time according to the client's capital transfer instruction and after deducting the agreed management commission and performance reward.
12. Confidential matters
The client and the manager hereby strictly keep confidential all written and non-written information of the client's assets, operating conditions and entrusted assets, as well as all written and non-written information of the manager's asset management plan, investment strategy and company operating conditions, and instruct anyone who may come into contact with the above information to keep it confidential. Without the prior written consent of the other party, neither party may disclose it to a third party, except as required by the national judicial organ or the securities regulatory department.
13. Term and assignment of the contract
(1) This contract shall come into effect as of the date when both parties sign and seal it, and as of the date when the assets entrusted by the client reach the account designated by the administrator and the client effectively authorizes the asset management account. You can renew it after it expires.
(2) Both parties should start negotiations on whether to renew the contract one month before the expiration of the contract, so that the manager can arrange the ongoing transactions and determine the new investment strategy after the renewal.
(3) If both parties decide to extend the contract through consultation, a written supplementary agreement shall be signed before the termination of the contract to stipulate the extension.
(4) Without the written consent of the other party, neither party may assign all or part of the rights and obligations under this contract.
14. Modification and dissolution of the contract
(1) This contract shall not be modified without the written consent of both parties.
(2) If any clause of this contract is invalid because it is inconsistent with the existing laws, it will not affect the validity of other clauses of this contract. In this case, both parties shall immediately negotiate to amend this clause.
(3) If this contract cannot be performed due to force majeure or natural disasters, wars, strikes, major changes in national policies and legal environment, communication interruption caused by telecommunications departments, computer information system failure caused by exchanges and other unexpected circumstances, either party may terminate this contract, and neither party shall be liable for breach of contract. However, the affected party shall promptly notify the other party of the occurrence of the incident and take appropriate measures to prevent the loss from expanding.
(4) If the contract is terminated in accordance with the provisions of the preceding paragraph, it shall be deemed that the asset management period expires ahead of schedule, and both parties still enjoy and undertake the rights and obligations stipulated in this contract, but the management commission of the manager shall be calculated and charged according to the ratio of the fulfilled period to the agreed asset management period. The party that cancels the contract shall send a written notice to the other party and negotiate to determine the liquidation date of the entrusted assets, referring to Article 1 1 of this contract. The provisions of paragraph 2 of the liquidation.
(5) If the manager is suspended or disqualified from the asset management business by the China Securities Regulatory Commission due to major violations of laws and regulations, resulting in the inability to perform the contract, the contract will be automatically terminated, and the manager shall return all the remaining assets and income as of the termination date of the contract to the client, and shall not require to pay the management commission. If the remaining assets are less than the principal of the entrusted assets, the administrator shall compensate the principal for the losses, but the compensation is limited to making up the principal of the entrusted assets and paying the interest on the bank demand deposit for the same period as of the date of termination of the contract.
15. Default and compensation
(1) Except under the circumstances specified in Article 14 (3)(5), neither party shall terminate the contract ahead of time without the consent of the other party, otherwise it shall pay the other party a penalty equivalent to 5% of the entrusted assets, and the defaulting party will lose the right to claim investment income or asset management commission according to this contract.
(2) If the manager fails to hand over the remaining assets and income in time according to Article 1 1 (2) of this contract, he shall pay compensation equivalent to three ten thousandths of the entrusted assets to the entrusting party for each day of delay.
(3) If the entrusted assets are sealed up or detained by judicial organs or other government agencies, unless authorized by the client in writing, the administrator has no obligation to defend the entrusted assets on behalf of the client in judicial or administrative proceedings. The expenses arising from handling the above disputes on behalf of the entrusting party shall be borne by the entrusting party.
16. Law application and dispute settlement
(1) This contract shall be governed by the laws of People's Republic of China (PRC) and interpreted according to the laws of People's Republic of China (PRC).
(2) Any dispute arising from or related to this contract shall be settled by both parties through friendly negotiation. If negotiation fails, either party has the right to bring a lawsuit to the people's court where the administrator is located.
17. Supplementary clauses
(1) All annexes to this contract and any supplementary agreements signed by both parties in the future shall be an integral part of this contract and have the same legal effect.
(2) Unless a right is waived in writing, the failure of either party to exercise or timely exercise the right in accordance with the provisions of this contract does not constitute a waiver of the right.
(3) This contract is made in duplicate, each party holds one copy, which has the same legal effect.
Person in charge (seal): _ _ _ _ _ _ _ _ _ _ _
Legal representative (signature): _ _ _ _ _
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
Manager (seal): _ _ _ _ _ _ _
Legal representative (signature): _ _ _ _ _
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
attachment
supplementary agreement
In view of the existing good cooperative relationship between the two parties, we hereby reach a supplementary agreement on the Contract for Entrusted Purchase of Treasury Bonds signed on, and * * * agree to abide by the following terms.
1. According to the Contract for Entrusted Purchase of Treasury Bonds, the funds transferred by the trustor to the trustor's account for purchasing treasury bonds are RMB (in words) _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
2. The manager shall ensure the safety and integrity of the entrusted assets from the date of receipt of the above assets to the expiration date of entrustment. The annual rate of return of funds entrusted by customers is 8% (including the income from purchasing treasury bonds accounts). If the annual rate of return of entrusted funds is less than 8% (including the income from purchasing treasury bonds), the manager shall be responsible for making up for it, and the excess shall be returned to the manager as a performance reward.
3. During the period of entrusting the manager to manage the assets, the client agrees to entrust the national debt in the national debt account to the seat designated by the manager. The customer's national debt account is authorized to be managed by the administrator, and the national debt account and the corresponding fund account are not closed, and the designated transaction is cancelled or repurchased. Otherwise, the client shall pay the manager a penalty equivalent to 5% of the entrusted assets, and the client will lose the right to claim investment income according to Article 2 of this Agreement.
4. If the principal needs to recover the investment principal in advance due to special reasons, and this agreement is terminated in advance with the consent of the manager, the manager will not bear the benefits agreed in Article 2 of this agreement, but only give the principal, and pay the investment income of the principal at the deposit interest rate for the same period, calculated as 365 days a year.
5. The manager agrees not to charge the client the management commission as stipulated in Article 10 1 of the Contract for Entrusted Purchase of Treasury Bonds.
In case of any conflict between this agreement and the terms of the Contract for Entrusted Purchase of Treasury Bonds, this agreement shall prevail. Matters not covered in this agreement shall be implemented by both parties in accordance with the relevant provisions of the Contract for Entrusted Purchase of Treasury Bonds.
7. This agreement shall be established after the legal representatives or authorized agents of both parties sign and affix the official seal of the unit, and shall come into effect on the date when the entrusted assets agreed in Article 2 of the independent contract reach the designated account.
Eight. Matters not covered in this agreement shall be settled by both parties through consultation.
Nine. This Agreement is made in duplicate, each party holds one copy, and the client and the administrator signed it on _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _.
Client (official seal): _ _ _ _ _ _
Authorized representative (signature): _ _ _ _ _
Manager (official seal): _ _ _ _ _ _
Authorized representative (signature): _ _ _ _ _