HFT Investment Management Co., Ltd. Public offering funds' securities trading and commission payment status through securities companies for the year 2025(

MaticHoleFiller · 2026-04-02T14:01:27+00:00

This article introduces the criteria and procedures for selecting securities firms to participate in trading, emphasizing that managers should consider financial status, compliance capabilities, research service abilities, and others during the selection process. Additionally, it provides a summary of trading volume and commission payments, and mentions that Guotai Junan Securities will absorb and merge Haitong Securities.

MaticHoleFiller

2026-04-02 14:01:27

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I. Standards and Procedures for Selecting a Securities Company to Participate in Securities Transactions

(1) The standards for the fund manager to select a securities company to participate in securities transactions are as follows:

1. Sound financial condition, qualified for brokerage business, and financial indicators meet requirements;

2. Regulated business conduct, with strong compliance and risk control capabilities;

3. Trading capabilities meet requirements. It has the communication facilities required for fund operations, and has strong securities trading service capabilities and保障 capabilities;

4. Strong research service capabilities. Analysts can promptly and comprehensively provide the required research services, with business capability ranking among the top in the industry.

(2) The procedures for the fund manager to select a securities company to participate in securities transactions are as follows:

1. The lead department conducts due diligence on candidate brokerages based on the above selection criteria and the company’s internal control system requirements, and comprehensively assesses their service capabilities such as financial status, business conduct, compliance and risk control capabilities, trading, research, and more.

2. After evaluation, the lead department submits related materials from brokerages that meet the company system requirements to the Director of Supervision for compliance review, and then submits them for deliberation by the executive meeting of the general manager.

3. The fund management company and the selected brokerage sign the “Securities Trading Unit Leasing Agreement” or the “Securities Brokerage Service Agreement.”

II. Annual Summary and Allocation of Trading Volume and Trading Commissions

(1) Securities investment using leased securities company trading units and commission payment

1. Securities investment and commission payment

Amount unit: RMB yuan

Note: Approved and approved by the China Securities Regulatory Commission on January 17, 2025, Guotai Junan Securities Co., Ltd. absorbs and merges Haitong Securities Co., Ltd. From the delivery date of this absorption and merger (i.e., March 14, 2025), the merged Guotai Junan Securities Co., Ltd. (subsequently renamed “Guotai Haitong Securities Co., Ltd.”, hereinafter referred to as “Guotai Haitong”) shall succeed to and assume all assets, liabilities, businesses, personnel, contracts, qualifications and all other rights and obligations of Haitong Securities Co., Ltd. The equity held by Haitong Securities in this company is also attributed to Guotai Haitong. That is, Guotai Haitong becomes the company’s major shareholder.

2. Payment and allocation of securities investment commissions

Amount unit: RMB yuan

(2) Commission payment related to securities investment handled by the brokerage company

Amount unit: RMB yuan

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