BOCHK EM Cover C · -1- Õb(iA=×2=\o'¢ay BOCHK INVESTMENT FUNDS '¢ayZR5¶6 óX í5/...

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中銀香港投資基金

基金說明書及條款概要

目錄

基金說明書之補充文件

中銀香港人民幣定息基金的第一份條款概要

中銀香港投資基金之基金說明書

- 1 -

BOCHK INVESTMENT FUNDS

1

- 1 -

( )

(

)

571 1047

70% (RMB)

30%

30% ( ) ( )

(i) (Moody’s Investor Services, Inc.) Baa3 (Standard

& Poor’s Corporation) (Fitch Ratings) BBB-( ) BBB−

(ii)

(iii)

LAP (i) LAC TLAC (ii)

QFII RQFII

(i) 10% ( LGFV )

LGFV

(ii) 20% ()

- 2 -

(iii) 10% ( )

(OTC) (1)( )

/ 7

12 28

FATCAFATCA

(i)(ii) ( )

(i) (ii)

(a)

(b)

( )

(c)

( ) (( ))

- 3 -

( CMU )CMU

CMU

CMU

(d) ( )

(CNH)

(e)

( LGFV ) LGFV

LGFVLGFV LGFV

(f) ( )

( )

(g)

( )

(h) /

/

/

- 4 -

/

(i)

(j) (i)

(ii)

(iii) CoCo

CoCoCoCo

(iv)

(k)

(l)

- 5 -

(m)

(n)

( )

10%

2018 11 22 2018 11 7[2018] 108 [2018] 108

[2018] 108 2018 11 7 2021 11 6

10%

[2016] 36 ( [2016] 36 ) 2016 5 12016 5 1

6%

[2016] 36

[2016] 70 ( [2016] 70 ) [2016] 36 [2016] 70

[2016] 70 ( ) (

) 2016 5 1

[2018] 108 2018 11 7 2021 11 6

12%

- 6 -

/

[2016] 70( )

(1)

(2) [2018] 108 2018 11 7 2021 11 6

(o)

/

- 7 -

(p)

28 32

/

10%

(i) 10%

25% (ii) 30% (iii) 1,000,000

A 11

A – A – A –

A (i) A – 10.00 (ii) A – (iii) A –

(ii) (iii) A – – CNH

( ) /

A 11

(www.boci-pru.com.hk)

- 8 -

A – A –A – A –

A – A –

A – A– A –

A – A – A – A –A –

WM/Reuters /A 11


43 44

A

A (i) A – 10,000 (ii) A – 10,000 (iii) A – 10,000

(i) A – 10,000 (ii) A – 10,000 (iii) A – 10,000

( )

“BOCI-Prudential Asset Management Ltd – Client A/C-UTD”

- 9 -

(i) A –

( ) 1

BOCI-Prudential Asset Management Ltd – Client A/C-UTD 012-875-9-251458-0

(ii) A –

( )

1 BOCI-Prudential Asset Management Ltd – Client A/C-UTD

012-875-0-044596-0

(iii) A –

( ) 1

BOCI-Prudential Asset Management Ltd – Client A/C-UTD 012-875-9-251458-0

(i) (ii)

(i)

(A) A – 10,000 (B) A – 10,000 (C) A – 10,000

(ii)

(A) A – 10,000 (B) A – 10,000 (C) A – 10,000


- 10 -

/

A

A – A –A –


(1)

(1)

- 11 -

( ) ( (i) (ii) )

12 (i) (ii) )(www.boci-pru.com.hk)

(1)

(i)

A 0.75%

A 2%

A

(ii)

A 3%

A

A – A – A –

A – A – A –

(

) 1% *

( A – A –A –

)

( )

*1%

(i)(ii)

( )

- 12 -

(iii)

1% - 2 0.125% - 2 0.10% - 0.0875%

20,000

30,000

(i) (ii)

(iii)

45 50 (iv)

100,000

49

( )

( CFETS ) ( ) () ( ) CMU ( )

CFETS

( CMU)

CMU CMUCMU

http://www.chinabondconnect.com/tc/index.htm

i

(BOCI-Prudential Asset Management Limited)

( )

(a) 1933

S (b) 1940 (c) ERISA ERISA

ERISA 19741986 4975

3 4

FATCA

(Foreign Account Tax Compliance Act) ( FATCA )? FATCA FATCA(Foreign Financial Institutions) ( FFI ) ( )

FFIFATCA FFI

30% ( FATCA )2015-66 1473

1471(Participating FFI)

(Registered Deemed Compliant FFI) FATCAFATCA

ii

FATCA

FATCA FFI

FATCA

(Non-Participating Foreign Financial Institutions) ( NPFFI )

FATCA

FATCAFATCA FATCA

FATCA FATCA www.irs.gov/FATCA

( FATCA ) 1.

(i) ( ) (ii)(a)

(b)

2. ( )

( )

3. ( )

4.

5. ( ( ) 1471 1474 FATCA

) ( )( Passive NFFE ) FATCA

FATCA10%

( 1 4 ) i)ii) 501(a) iii)

581 iv) 851

6. ( 1 ) ( )

FATCA

(i) (ii) ( )

FATCA a) ( )

b)

iii

c)

d)

FATCA

(a) (b) (c)

( )

2016 3

(http://www.ird.gov.hk/chi/tax/dta_aeoi.htm)

/

(i) (ii)

(iii) 2018(i)

(ii)

(a) (OECD) – (CRS)

(b)

(a)

(c) (a) (b)

iv

(1)

(a)

(b)

FATCA FATCA

(c)(d)

(e) (f)

(2) / /

(3) ( )

v

............................................................................................................................................................. 1

.................................................................................................................................................................... 2

.................................................................................................................................................. 4

.................................................................................................................................. 12

................................................................................................................................................ 28

....................................................................................................................................................... 33

....................................................................................................................................................... 34

....................................................................................................................................................... 38

................................................................................................................................................ 41

......................................................................................................................................... 42

................................................................................................................ 42

........................................................................................................................................................... 44

.................................................................................................................................................... 45

....................................................................................................................................................... 45

.................................................................................................................................................................. 50

vi

........................................................................................................................................................... 50

- 1 -

( )

1 14

1 27

18

12 25

1 22

- 2 -

( 622 )( )

AUD

GBP

HK$

8.2

CNH

- 3 -

http://www.hkex.com.hk/chi/csm/chinaConnect.asp?LangCode=tc

http://www.hkex.com.hk/chi/csm/chinaConnect.asp?LangCode=tc

180

380 HA

(a) (b)

http://www.hkex.com.hk/chi/market/sec_tradinfra/chinaconnect/EligibleStock_c.htm

( )

60 HA

(a) (b)

http://www.hkex.com.hk/chi/market/sec_tradinfra/chinaconnect/EligibleStock_c.htm

(a)

- 4 -

(b)

US$

(i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) (xii) (xiii) (xiv) (xv) (xvi) (xvii) (xviii) (xix) (xx)

A

(i)

/

- 5 -

(ii)

/

(iii)

/

(iv)

Baa3

LAP (i) LAC TLAC

(ii)

(a) A (i) A

/ (ii) ETFETF /

A / (b) B

ETF

ADR GDR

- 6 -

(v)

ETF Baa3

LAP (i)

LAC TLAC (ii)

ETF

ADR GDR

(vi)

Baa3

LAP (i)

LAC TLAC (ii)

(vii)

LAP (i)LAC TLAC (ii)

(viii)

LAP (i) LAC TLAC (ii)

- 7 -

(ix)

(a) A (i) A/ (ii) ETF

ETF /A / (b) B

A B

ADR GDR

(x)


ETF /A / (b) B

A B

ADR GDR

(xi)

/

- 8 -

REITs

(a) A (i) A

/ (ii) ETFETF /

A / (b) B

A B

ADR GDR

(xii)

H / ( )() / ( ETF ) ETF

(a) A ((i) A

/ (ii) QFII( ) ETF (

ETF) / ( ) A/ (b) B

A

QFII RQFIIA A

ETFA (Bloomberg)

(Reuters) QFIIOTC

ETF A ETF

A B

ADR GDR

- 9 -

(xiii)

A (i) A (ii)QFII

ETF ETF /A H

/ ( ) / ETF(ETF) B

ADRGDR

A QFII ( RQFII )

A A /ETF

A (Bloomberg) (Reuters) QFII

( ( OTC ) )

ETF A ETF

ETF /

AB

(xiv)

//

/

H / ( ) / ETF

ETF

(a) A (i) A / (ii) QFII (

) ETF( ETF) / () A / (b)

B

- 10 -

ADR GDR / ( )

A

QFII RQFII AA / ETF

A (Bloomberg) (Reuters)

QFII ( OTC)

ETF A ETF

A B

(xv)

(xvi)

ADR( )GDR( )

(xvii)


ETF /A / (b) B

A B

ADR GDR

- 11 -

(xviii)


(xix)

8.2

60

120 397


8.2

OTC (1)

(xx)

8.2

- 12 -

60 120 397


8.2

OTC (1)

(a)

(b)

(c)

(d)

(e)

- 13 -

(f)

(g)

(h)

(i)

(j)

(k)

(l)

(m)

(n)

- 14 -

(o)

(p)

// BB+

(q)

/

(r)

(s)

(t)

- 15 -

(u)

(v)

ETFETF

ETF

49 50

(w)

(i) (ii) (iii)

(iv) (v) (1) HK$40,000,000 (vi)

(x)

(y)

(i)

(ii)

(iii)

(z) FATCA

(i)(A)

FATCA (aa)/ (B)

(ii)(iii) FATCA

- 16 -

FATCA FATCAFATCA

FATCA

FATCAFATCA

(aa) FATCA

(i)/ (ii)

FATCA 30%(a) ( )

( ) ( ) (b)( )( ) FATCA

30%FATCA

FATCA

FATCA (

) FATCA30%

FATCA ( )()

FATCA 30%

FATCA

FATCA

(bb)

(a)

(i) (ii)

- 17 -

(b)

(a)

CNH CNY

CNH CNHCNH CNH CNY

CNH CNY CNH CNYCNH CNY CNH

CNY

(i) (ii)

(b)

(a)

- 18 -

(b)

(c)

A B AB A B

(d)

/

(e)

A

(a)

- 19 -

(b)

(c)

A A

(d)

A

(e)

A

(f)

(g)

- 20 -

(h)

A A (T+1)A

(i)

(j)

(k)

(l)

CNH CNH CNYQFII CNY

(a)

(b)

(c) CoCo

CoCo CoCo

(d)

ETF

- 21 -

ETF

ETF ETF ETF ETF ETF

ETF ETF ETF

ETFETF

ETF ETF ETF

ETF

ETF

(a)

(b)

:

(a)

(b)

(c)

(a)

(b)

- 22 -

(c)

(a)

(b)

(c)

(a)

A

A A

QFII

QFII QFII QFII

A

A

(i)

(ii)155 2(1)

- 23 -

QFII QFII A QFII QFII QFII

QFII A QFII

QFII QFII QFII

A

(b)

1 1.1 A a)

A

QFII

2014 11 14 [2014]79 QFII RQFII 79

2014 11 17 QFII RQFII A QFII RQFII

QFII RQFII 2014 11 17

[2014]81 81 [2016]127

127 2014 11 17 2016 12 5 A

A

81 127

A QFII A A

b)

10%QFII

QFII

A QFII QFII

A A

- 24 -

10%

1.2 B H a)

B H 10% B H

b)

A B H 10%

2

2016 5 1 [2016]36 [2016]70 QFII RQFII

81 127 A B

B H

12%

3

A B A B 0.1%

127 2016 12 5

4

A A

10%A 81 127

- 25 -

(a)

1 1.1 A a)

A

[2014]81 81[2016]127

127 2014 11 17 2016 12 5A A

81 127

/A A

b)

10%

81 127 A

A 10%A A

10%

1.2 B H a)

B H10% B H

b)

A B H10%

- 26 -

1.3 a)

QFIIQFII

-- 13 1 13 5

- 13 6- 13 6

b)

10%

2

2016 5 1 [2016]36[2016]70 QFII RQFII

81 127 / AB

B H

12%

3

A BA B 0.1%

1272016 12 5

4

- 27 -

AA

10%A 81 127

(a)

–

(b) ( REITs )

REITs

REITs

REITs

REITs

REITs

REIT ( )

REITs

REITs

(a)

(b)

- 28 -

(c)

(a) -

(a) (b) (c)

(d)

(i)

10%

(a)

(b) (xiii)

(c) (xiv)(c)

(ii) 10%

10% (iii) (i) (xiv)(c)

20% (a)

(b) (xiii)

- 29 -

(c) (xiv)(c)

(iv) 7.1B (1)

7.1A (1) 20%

(a)

(b)

(c)

(v) (i) (ii) (iii)

(viii)

(a)

10%

30%7

7

(b) (i) (ii)

(iii) (viii)

(c) 88.7

100%7

7.11 7.11A

(d) (i) (ii) (iii) (viii) (i) (ii) (iii) (viii) 7

10% (vi)

(vii)

(viii) 7.3

15% (ix) (a) (i) (ii) (iii)

7.5 (1) (2) 30%

(b) (ix)(a)

- 30 -

(x)

(xi)

(a)

(b)

(c)

(d)

(xii)

50% (m) (xii) (xiv)

(i) (iii) (iv)(v) (viii) (xxiii)

(n) (a)

(b) (c) (i) (iii)

10%

(d)

(o) (i) (iii) (xiv)(c)

(a)

(b)

(p)

(q) (xvi)

(a)

(b)

(r) (xi) (xvii)

- 31 -

(s)

(t) 100%

(u)

(v)

(xxiii)

REITsREITs (i) (ii) (iii)

(v) (viii) (i) (ii) (iii)REITs (v)(a) (viii)

REITs (xxiv) 10%

(xxv) (viii)

(xxvi) (xxvii) (xxviii)

0.5%5%

(xxix)

(xvi) (xvii)

(i) 8.2

(ii) 60 120

397 2

(iii) (i) (iv)

10%

(a) 10%25%

(b) 30% (c) 1,000,000

- 32 -

(iv) (iii) (iv)20%

1,000,000 10%

25% (v) 8.2

10% (vi) 15% (vii) (xix) (xxii) 7.36 7.38

(a) 10%

(b) 15%

(c)

(d) 8.2

(viii) (ix)

(x) 7.5% 15%

(xi)

10%

10%

- 33 -

Prudential Corporation Holdings Limited

116(1)

Prudential Corporation Holdings Limited PCHL( )

PCHL

4.7668

( )

(a)

( ) (b)

(a) (b)

/

(i)/ (ii)

(i) / () (ii) /

/

( )

( )

( ) ( )( )

- 34 -

( )28,206.84

( )( )

90

A

1. 2. 3. A – 4. A – 5. 6. 7. A – 8.

1. 2. 3. 4. 5. 6. 7. 8. A – 9. A – 10. 11. 12. A –

1. A – * 2. A – *

* ( )

A –

A – A – A – A

- 35 -

A 46 47

B

(a) A –

43 A – WM/Reuters

(b) (A – )

43 A – WM/Reuters

(c) (A – )

43 A – ) WM/Reuters

(d) (A - )

43 A -WM/Reuters

/ 42 44

A 46 47B

(http://www.boci-pru.com.hk)

45HK$10,000

HK$10,000

- 36 -


“BOCI-Prudential Asset Management Ltd – Client A/C-UTD”

1 BOCI-Prudential Asset Management Limited – Client A/C - UTD

A – A –

A – 012-875-0-044596-0

A – A –

A – A –

A – 012-875-9-251458-0

(A)

(i) (ii)

(iii)

- 37 -

(B)

(i) (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) (xi) (xii) (xiii) (xiv) (xv) (xvi) (xvii) (xviii)

(i) (ii)

A – A – A –

A –

A – A –

(A – ) (A – )

( )

( )

V 1

- 38 -

4344

B

B 4 B

A

46 47

(a) (b) (c) (d)


(a) A – 43

A – WM/Reuters

(b) A – 43A –

WM/Reuters

- 39 -

(c) A – ) 43A –

WM/Reuters

(d) A - 43A -

WM/Reuters

/ 42 44

(a)

(b)

A – A – A –

A –

A – A –

(A – ) (A – )

A –A –

40

(a) A – A –

A –

- 40 -

(b) A –

A – A –

(c) ;

(d)

(e) (A – ) (A –

42 44

43 44

10%

(i) HK$10,000

(ii) HK$10,000

A –

A – A –

(A – ) (A –

- 41 -

/ ()

(a) : (i) ( 1933

( ) S) (ii) FATCA (iii) ( 34 ) )

(b) /

FATCA FATCA ()

(c)

FATCA FATCA ()

(d) /

FATCA FATCA ()

(e)

FATCA FATCA ()

(i)

(ii)

/

(u)

38 41

39 4040 40

- 42 -

(i) (ii)


46 47 -

B

46 47 -

43 44

3540

(i) (ii) (vi)

(ii) (iii) (vi)

(iii) (ii)

- 43 -

(iv)

(v)

(vi)

(vii)

(i) (ii)

(iii)(iv)

(v) 0.00005

34 38 38

41

AA 46 47

B

BB 46 47

(a)

(b) (c)

(d)

- 44 -

(1)

( ) ( (i) (ii)

)

12 (i) (ii) )(www.boci-pru.com.hk)

(1)

- 45 -

(A – ) (A – A /

HK$1,000

21

/

AHK$1,000

42 A

46 47 -

B B

A B (i) 1% 1% (ii) 1.5% 1.5% (iii) 0.5% 0.5% (iv) 0.25% 0.25% (v) 0.25% 0.25% (vi) 1.5% (vii) 1.5% (viii) 0.75% (xi) 1% (x) 1% (xi) 1% (xii) 1% (xiii) 1% (xiv) 1.5% (xv) 1.5% (xvi) 1% (xvii) 1.2% (xviii) 1.5% (xix) 1.8% (xx) 1%

- 46 -

B ( ) BB B

1% A

A (i) 5% (ii) 5% (iii) 3% (iv) 0% (v) 0% (vi) 5% (vii) 5% (viii) 3% (xi) 5% (x) 5% (xi) 5% (xii) 5% (xiii) 5% (xiv) 5% (xv) 5% (xvi) 5% (xvii) 5% (xviii) 5% (xix) 5% (xx) 5%

A

B

B

4% 3% 2% 1% 0%

- 47 -

A B 1%

A (

)A *

*

1% (i)

(ii)

( )

/

(i)

(ii)

(iii) (a)

(b)

10,000 20,000 2,500

1,500

- 48 -

1%

(i)

2 0.125%

2 0.10%

0.0875%

20,000

(ii)

2,500 0.125%

2,5000.10%

0.0875%

2,500

(iii)

0.05%1,250

(iv)

3,500 0.125%

3,500 0.10%

0.0875%

15,000

(v)

1,400 0.125%

1,400 0.10%

0.0875%

1,500

1%

(i) (ii)

(iii)

- 49 -

REITs REITs

();

;

/

/

- 50 -

(a) (b)

(c) (d)

(e)

(a)

(a) (b) ; (c) ; (d)

(e) (f)

- 51 -

www.boci-pru.com.hk


(a)

(i)

(ii) 90

(iii) 90

(b) 90

(i)

(ii) (iii) 50%

(c)

1.

(a)

- 52 -

(b) (c)

(d) (e)

2. (a) HK$200,000,000 (b)

1.

(a) HK$40,000,000(

) (b)

2.

( )

(i) (ii)

(iii)

- 53 -

1 27

(i) (ii) (iii)


1 27 (852)2280 8615

(i) (ii)

BOCHK EM Cover C · -1- Õb(iA=×2=\o'¢ay BOCHK INVESTMENT FUNDS '¢ayZR5¶6 óX í5/...

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Transcript of BOCHK EM Cover C · -1- Õb(iA=×2=\o'¢ay BOCHK INVESTMENT FUNDS '¢ayZR5¶6 óX í5/...