投資金融基金JV

FundJVResearchCODE：SHFIN04018ItemMarketintroduceMarketCompetitionInvestStructureScheduleofset-upScheduleoffundissuanceBusiness ScopeCorporateGovernanceFinancialForecastItemMarketintroduceMarketCompetitionInvestStructureScheduleofset-upScheduleoffundissuanceBusiness ScopeCorporateGovernanceFinancialForecastMarketintroduce—proportionoffundFrom:Stat.YearbookofChinaMarketintroduce-growthofdepositUnit:1,000billionRMBFrom:Stat.YearbookofChinaMarketintroduce-growthofdepositUnit:1,000billionRMBFrom:Stat.YearbookofChinaMarketintroduce-growthofsocietyfundUnit:1,000billionRMBFrom:Stat.YearbookofChinaMarketintroduce-growthofsecurities’marketThetotalnetvalueoffundsjustaccountfor4.5%ofsecuritiesmarketvalueonlyUnit:100millionRMBFrom:CSRCItemMarketintroduceMarketCompetitionInvestStructureScheduleofset-upScheduleoffundissuanceBusiness ScopeCorporateGovernanceFinancialForecastCODE

NameOpen-endClose-endTotalsizeEstablishtime1HuaAnF.M.C3421019982ChinaA.M.C5420019983SouthernF.M.C4432019984GuotaiA.M.C3412019985PenghuaF.M.C4414019986ChangshengF.M.C2411019987DachengF.M.C2510019998BoshiF.M.C3527019989HarvestF.M.C42160199910BaoyingF.M.C121002001From:ChinaFundNetworkMarketCompetition-NumbersofFundChinafundmarket:38fundmanagementcompanies(including8JVfundmanagementcompanies)86Open-endedfunds54Close-infundsMorethan200billionRMBinthemarketMarketCompetition-JVF.M.CinChina

NameChinese-partnerForeign-partner1Guotai-allianzF.M.CGuotai-jun’anSecuritiesCo.AllianzGroup(Germany)2FortuneSGAMF.M.CHuabaoTrustCompanySGAM(France)3ChinaMerchantsF.M.CChinaMerchantsSecuritiesCo.ING(Netherlands)4ABNAMROXiangcaiF.M.CXiangcaiSecuritiesCo.ABNAMRO(Netherlands)5FullgoalF.M.CHaitong,Shenyin&Wanguo,HuataiSecuritiesCo.etc.BMOFinanceGroup(Canada)6FortiesHaitongInvestmentM.CHaitongsecuritiesCo.FortiesFMC(Japan)7INVESCOGreat-wallF.M.CGreat-wallSecuritiesCo.INVESCO(USA)8SYWGBNPParibasF.M.CShenyin&WanguoSecuritiesCo.BNPParibasA.M.C(France)From:ChinaFundNetworkMarketCompetition-JVF.M.CinChina

NameEstablishTimeAmountofFunds1Guotai-allianzF.M.CMay200322FortuneSGAMF.M.CFeb.200343ChinaMerchantsF.M.CDec.200244ABNAMROXiangcaiF.M.CJul.200235FullgoalF.M.CApr.199966FortiesHaitongInvestmentM.CApr.200327INVESCOGreat-wallFMCJun.200338SYWGBNPParibasJen.20040From:ChinaFundNetworkItemMarketintroduceMarketCompetitionInvestStructureScheduleofset-upScheduleoffundissuanceBusiness ScopeCorporateGovernanceFinancialForecastInvestStructure--CapitalRequirementofFundJVRegisteredCapital:RMB100,000,000InvestStructure--QualificationofDomesticPromoterRegisteredCapital–AtleastRMB300,000,000Goodachievementsandhighreputationinsecuritiesoperation,investmentsecuritiesconsultation,trustassetsmanagingoranyotherfinancialassetsmanagementNorecordsofillegalactionsincurrent3years.InvestStructure--QualificationofForeignPromoter

Paid-inCapital–AtleastRMB300,000,000ForeignFinancialInstitutionNosubstantialpunishmentfromsecurityadministrationandlawauthorityinrecent3years

Completelawandsupervisionsystemonsecuritiesinthecountryofthepromoter,andthecountry’ssecuritysupervisionauthorityhassignedontheMOUonthecooperationofsecuritysupervisionwithCSRC.ItemMarketintroduceMarketCompetitionInvestStructureScheduleofset-upScheduleoffundissuanceBusiness ScopeCorporateGovernanceFinancialForecastScheduleofset-upSelf-RegulationPromiseOpenApplytoestablishmentApplytoopenRegistrationbyGS>12months

inprinciple60workdays30workdays>OneweekGivethePromiselettertoCSRCApprovalof

establishmentbyCSRCGivethePromiseletterto

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