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大北农:长城-公司智赢定向资产管理合同

公告日期:2014-08-29

                                                                                    定向资产管理合同

                            长城-大北农智赢定向资产管理合同                             

                                      合同编号:长城证券(2014)-ZG-xxx号       

                        委托人:北京大北农科技集团股份有限(代员工持股计划)            

                        管理人:长城证券有限责任公司      

                        托管人:国信证券股份有限公司      

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                                                                                    定向资产管理合同

                                                    目       录 

                 一、前言...........................................................................................................................................3

                 二、释义...........................................................................................................................................3

                 三、声明与承诺...............................................................................................................................4

                 四、当事人及权利义务...................................................................................................................5

                 五、委托财产.................................................................................................................................10

                 六、投资政策及变更.....................................................................................................................13

                 七、投资主办人的指定与变更.....................................................................................................14

                 八、投资指令的发送、确认和执行.............................................................................................14

                 九、交易及交收清算安排.............................................................................................................16

                 十、越权交易处理.........................................................................................................................18

                 十一、委托财产的估值.................................................................................................................19

                 十二、委托财产的会计核算.........................................................................................................21

                 十三、托管人对管理人的投资监督.............................................................................................22

                 十四、资产管理业务的费用与税收.............................................................................................22

                 十五、委托财产投资于证券所产生的权利的行使.....................................................................23

                 十六、信息披露义务.....................................................................................................................24

                 十七、资产管理合同的生效、变更与终止.................................................................................24

                 十八、保密.....................................................................................................................................25

                 十九、违约责任.............................................................................................................................26

                 二十、争议的处理.........................................................................................................................27

                 二十一、其他事项.........................................................................................................................27

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                                                                                    定向资产管理合同

                                                     一、前言  

                      为规范证券公司定向资产管理业务的运作,明确证券公司定向资产管理合同           

                 当事人的权利与义务,根据《中华人民共和国合同法》、《证券公司客户资产管                

                 理业务管理办法》、《证券公司定向资产管理业务实施细则》,以下简称《实施                 

                 细则》)等法律、行政法规和中国证监会的有关规定,委托人、管理人、托管人                 

                 在平等自愿、诚实信用原则的基础上订立本合同。         

                      订立本资产管理合同的原则是平等自愿、诚实信用、充分保护本合同各方当            

                 事人的合法权益。   

                      委托人保证委托财产的来源及用途合法,并已阅知本合同全文,了解相关权            

                 利、义务和风险,自行承担投资风险。         

                      管理人承诺以诚实守信、审慎尽责的原则管理和运用委托财产,但不保证委            

                 托财产一定盈利,也不保证最低收益。管理人对委托财产未来的收益预测仅供委             

                 托人参考,不构成管理人保证委托财产本金不受损失或取得最低收益的承诺。              

                      托管人承诺依照恪尽职守、诚实信用、谨慎勤勉的原则保管托管账户内资金,            

                 但不保证委托人委托财产本金不受损失或取得最低收益。         

                                                     二、释义  

                      在本合同中,除上下文另有规定外,下列用语应当具有如下含义:             

                      1、委托人:北京大北农科技集团股份有限公司员工持股计划