SNl?gˇt^N?P<|?选30pum;配置m?T?W?证R8
b?资W?金
2019^t{,3[c^?b￥TJ
2019^t9g?30e?
W?金{?t?N”：SNl?gˇt^W?金{?t?g?限QlS?
W?金bX{?N”：N-V?银行股N?g?限QlS?
b￥TJ送Q?e?g?：2019^t10g?22e?
SNl?gˇt^N?P<|?选30 m?T?2019 ^t{,3 [c^?b￥TJ
{, 2
页 Qq13
页
重要c—y:§1
W?金{?t?N”v?董N?O?S?董N?O?证g,b￥TJb@载资e?N?[XW(虚PG记载0?误[?‘’陈述b?重Y’遗o?，
^v[?QvQ?[?v?w?[?‘’0?Q?xn‘’T?[?et‘’b罢ˉN*R+S?连^&责N?0?
W?金bX{?N”N-V?银行股N?g?限QlS?h9cng,W?金T??规[?，N?2019^t10g?21e?Y?h8N?g,b￥TJN-
v?财R?c?h?0?Q?P<表s?T?b?资~?T?b￥TJ{IQ?[?，O?证Y?h8Q?[?N?[XW(虚PG记载0?误[?‘’陈述b?者
重Y’遗o?0?
W?金{?t?N”b?诺N?诚[?O?u(0?R?\=责v?S?R?{?t?T?运u(W?金资N§，OFN?O?证W?金N?[?v¨
R)0?
W?金v?过_?N?~?^vN?a表Qvg*ge表s?0?b?资g?风险，b?资者W(O\Q?b?资Q?{VRM^?N?~?阅读g,
W?金v?b?R?说f?Nf0?
g,b￥TJN-v?财R?资e?g*~ˇ[?计0?
g,b￥TJg?自2019^t7g?1e?起至2019^t9g?30e?kb0?
W?金N§T`i?Q?§2
W?金{?y? SNl?gˇt^N?P<|?选30m?T?
N?f?Nax? 003954
W?金运O\e?_? YQ~?W?_?e>_?
W?金T??u?eHe? 2017^t2g?3e?
b￥TJg?+W?金N?额‘;额 27,227,723.74N?
b?资v?h?
W(N%h
SNl?gˇt^N?P<|?选30 m?T?2019 ^t{,3 [c^?b￥TJ
{, 3
页 Qq13
页
N;要财R?c?h?T?W?金Q?P<表s?§3
N;要财R?c?h?3.1
SUOM：N”l?^?QC
N;要财R?c?h?
b￥TJg?（ 2019^t7g?1e? － 2019^t9g?30e? ）
1.g,g?]?[?s?e6v? 196,073.76
2.g,g?R)m? -1,268,977.77
3.R?gC^sWGW?金N?额g,g?R)m? -0.0383
4.g?+W?金资N§Q?P< 27,814,497.05
5.g?+W?金N?额Q?P< 1.0216
l?：10?N?述W?金N?~?c?h?N?S?b?c?g?N”认购b?N?f?W?金v?T?项费u(，计Qe费u(T?[?际e6v?l4^s
要ON?b@R?ep[W0?
20?g,g?]?[?s?e6v?c?W?金g,g?R)‘oe6Qe0?b?资e6v?0?QvN?e6Qe（N?T+QlQAN?P
自W?金T??u?eHN?geW?金}/计Q?P
页 Qq13
页
l?：V?y:e?g?N:2017^t2g?3e?至2019^t9g?30e?0?
{?t?N”b￥TJ§4
W?金~ˇt?（b?W?金~ˇt?\?~?）{?N? 4.1
Y?T? 职R? N?g,W?金v?W?金~ˇt?g?限 证R8N?N?^t限 说f?
N?职e?g? y?N?e?g?
ghfom?
g,W?金v?
W?金~ˇt?
2017^t2g?3
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- 15^t
N-\qY’[f~ˇmN[fxU
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（CFA），金融风险
{?t?^?
（FRM）0?2004^t
至2006^tN?^s[?资N§
{?t?g?限QlS?，N?b?
资R?g?^?；2006^t
至2009^t9g?N?u?T}
N”[?O?险QlS?，S?N?
b?连b?资~ˇt?0?b?资
~ˇt?0?W?金b?资部负
SNl?gˇt^N?P<|?选30 m?T?2019 ^t{,3 [c^?b￥TJ
{, 5
页 Qq13
页
责N”0?2009^t10g?R?
Qeg,QlS?，N?N?b7b?
资部b?资~ˇt?0?2014
^t6g?至2015^t4g?N?
x?zv部‘;v?R'
t?0?2015^t4g?
至2018^t4g?N?SNl?
gˇt^e?R)pum;配置m?
T?W?证R8b?资W?金v?
W?金~ˇt?0?2015^t5
g?至2017^t12g?N?SN
l?gˇt^‘?R)pum;配置
m?T?W?证R8b?资W?金
v?W?金~ˇt?0?2016
^t8g?至2017^t12g?
N?SNl?gˇt^|?选V?b￥
pum;配置m?T?W?证R8
b?资W?金v?W?金~ˇ
t?0?2016^t9g?
至2018^t11g?N?SNl?
gˇt^r1R)pum;配置m?
T?W?证R8b?资W?金v?
W?金~ˇt?0?2016^t9
g?起N?SNl?gˇt^Y?{V
uepum;配置m?T?W?证
R8b?资W?金v?W?金~ˇ
t?0?2016^t11g?
至2017^t12g?N?SNl?
gˇt^w?R)pum;配置m?
T?W?证R8b?资W?金v?
W?金~ˇt?0?2016^t12
g?至2018^t4g?N?SN
l?gˇt^鼎R)pum;配置
m?T?W?证R8b?资W?金
v?W?金~ˇt?0?2016
^t12g?起N?SNl?gˇt^
N?R)pum;配置m?T?W?
证R8b?资W?金v?W?金
~ˇt?0?2016^t12g?
至2019^t3g?N?SNl?
gˇt^QtR)pum;配置m?
T?W?证R8b?资W?金v?
W?金~ˇt?0?2017^t1
g?至2018^t3g?N?SN
l?gˇt^l?R)pum;配置
m?T?W?证R8b?资W?
金0?SNl?gˇt^锦R)pu
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资W?金T?SNl?gˇt^裕
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R8b?资W?金v?W?金~ˇ
t?0?2017^t2g?起N?
SNl?gˇt^N?P<|?选30
pum;配置m?T?W?证R8
b?资W?金v?W?金~ˇ
t?0?2017^t2g?
至2018^t3g?N?SNl?
gˇV?R)pum;配置m?T?
W?证R8b?资W?金v?W?
SNl?gˇt^N?P<|?选30 m?T?2019 ^t{,3 [c^?b￥TJ
{, 6
页 Qq13
页
金~ˇt?0?2017^t3g?
至2018^t10g?N?SNl?
gˇt^v?R)pum;配置m?
T?W?证R8b?资W?金v?
W?金~ˇt?0?2017^t9
g?起N?SNl?gˇt^[?R)
pum;配置m?T?W?证R8
b?资W?金v?W?金~ˇ
t?0?2018^t3g?起N?
SNl?gˇt^e?金融W0N§
pum;配置m?T?W?证R8
b?资W?金v?W?金~ˇ
t?0?2018^t6g?起N?
SNl?gˇt^V?O?etT?|?
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金v?W?金~ˇt?0?
{?t?N”[?b￥TJg?Q?g,W?金运O\遵规[?O?‘ˉQ?v?说f?4.2
b￥TJg?Q?g,W?金v?运O\{&T?v?Qsl?_?0?l?规N?S?W?金T??v?~?[?，N?[XW(c_[?W?金c?g?N”R)
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Ql^sN?f?N?项说f? 4.3
Ql^sN?f?R6^?v?bg行‘ˉQ?4.3.1
b￥TJg?Q?，g,W?金{?t?N”h9cn0?证R8b?资W?金{?t?QlS?Ql^sN?f?R6^?c?[?a?见0?v?要lB，通
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b￥TJg?Q?W?金b?资{VueT?运O\R?g?4.4
g,W?金2019^tN?[c^?,采S?进S?v?{Vue,O?c?gCv?资N§v?高N?OM,N?gCv?N:N;要获R)bKk?,N?~?
表s?N?般0?\Ug?2019^tV?[c^?,随w@N-美Q?z?~?0?3[c^?~ˇmNepcnR?Q?e?ON?S?^?W:~?g?R?S?趋
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^8识0?N?l?N?w?[?N?P
页 Qq13
页
~?N?l?N?gCv?^?W:，[?aNb?资，|?选N*股，降ON风险，R“R?W(2019^tV?[c^?N:b?资者^&gev?[?f?
Y}v?Q?P<表s?0?
b￥TJg?Q?W?金v?N?~?表s?4.5
b*至g,b￥TJg?+g,W?金N?额Q?P
- -
资N§e/c?证R8
- -
4 贵金\^b?资 - -
5 金融衍u?T`b?资 - -
6 NpQe返U.金融资N§ - -
QvN-：Npe?_?V?购v?NpQe返U.
金融资N§
- -
7 银行[Xk>T?~?{?Y?N?金T?计 1,686,314.29 6.01
8 QvN?资N§
21,283.40 0.08
9 T?计
28,052,981.01
100.00
b￥TJg?+c?行N?R?|{v?股yhb?资~?T? 5.2
b￥TJg?+c?行N?R?|{v?X?Q?股yhb?资~?T?
5.2.1
Nax? 行N?|{R+ QlQAN?P<（QC）
S‘W?金资N§Q?P
页 Qq13
页
D
u5R?0?p?R?0?q?l?S?l4u?N§T?O?
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E ^?{QN? 4,270,468.00 15.35
F byS?T?零U.N? 1,412,010.00 5.08
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7,181,075.00 25.82
K
b?W0N§N?
7,689,147.32 27.64
L
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M
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N l4R)0?sflX?T?QlQq设e‰{?t?N?
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R e?S?0?OS育T?Z1NPN?
1,511,042.00 5.43
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T?计 26,345,383.32 94.72
b￥TJg?+c?行N?R?|{v?n/股通b?资股yhb?资~?T?5.2.2
l?：g,W?金g,b￥TJg?+g*c?g?n/股通b?资股yh0?
b￥TJg?+c?QlQAN?P
b￥TJg?+c?P:R8T`y?R?|{v?P:R8b?资~?T?
5.4
l?：g,W?金g,b￥TJg?+g*c?g?P:R80?
b￥TJg?+c?QlQAN?P
SNl?gˇt^N?P<|?选30 m?T?2019 ^t{,3 [c^?b￥TJ
{, 9
页 Qq13
页
b￥TJg?+c?QlQAN?P
页 Qq13
页
b￥TJg?Q?W?金b?资v?RMSAT?证R8v?QvN?S?行N;OS，l?g?Q?s?被v?{?部门z?hH调g?，b?W(b￥TJ
编R6e?RMN?^tQ?S?R0Ql_?谴责0?Y?罚v?‘ˉ_b0?
W?金b?资v?RMSAT?股yh超Q?W?金T??规[?v?Y?选股yh^?‘ˉQ?v?说f?5.11.2
W?金b?资v?RMSAT?股yhN-，l?g?b?资N?超Q?W?金T??规[?Y?选股yh^?NKY?v?0?
QvN?资N§g?b?5.11.3
^?S? T?y? 金额（QC）
1 [XQ?O?证金 20,737.22
2 ^?e6证R8n?{?k> -
3 ^?e6股R) -
4 ^?e6R)‘o 347.96
5 ^?e6u3购k> 198.22
6 QvN?^?e6k> -
7 _?dJ费u( -
8 QvN? -
9 T?计 21,283.40
b￥TJg?+c?g?v?Y?N?转股g?v?S?转cbP:R8f?~?5.11.4
l?：g,W?金g,b￥TJg?+g*c?g?Y?N?转股g?v?S?转cbP:R80?
b￥TJg?g+RMSAT?股yhN-[XW(mA通S?限‘ˉQ?v?说f?5.11.5
l?：g,W?金g,b￥TJg?+RMSAT?股yhN-N?[XW(mA通S?限‘ˉQ?0?
_?e>_?W?金N?额S?R¤§6
SUOM：N?
b￥TJg??R?W?金N?额‘;额
43,349,738.84
b￥TJg??间W?金‘;u3购N?额 6,350,180.63
Qˇ:b￥TJg??间W?金‘;赎V?N?额 22,472,195.73
b￥TJg??间W?金b?R?S?R¤N?额（N?额Qˇ\?N?"-
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b￥TJg??+W?金N?额‘;额
27,227,723.74
SNl?gˇt^N?P<|?选30 m?T?2019 ^t{,3 [c^?b￥TJ
{, 11
页 Qq13
页
W?金{?t?N”运u(V?g?资金b?资g,W?金‘ˉQ?§7
W?金{?t?N”c?g?,W?金N?额S?R¤‘ˉQ?7.1
SUOM：N?
b￥TJg??R?{?t?N”c?g?v?g,W?金N?额
15,292,160.43
b￥TJg??间NpQe/u3购‘;N?额 0.00
b￥TJg??间SVQ?/赎V?‘;N?额 0.00
b￥TJg??+{?t?N”c?g?v?g,W?金N?额 15,292,160.43
b￥TJg??+c?g?v?g,W?金N?额S‘W?金‘;N?
额k?O?（%）
56.16
W?金{?t?N”运u(V?g?资金b?资g,W?金N?f??~?7.2
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SNl?gˇt^N?P<|?选30 m?T?2019 ^t{,3 [c^?b￥TJ
{, 12
页 Qq13
页
_qT?b?资者Q?{Vv?QvN?重要O?‘o§8
b￥TJg?Q?SUN?b?资者c?g?W?金N?额k?O?达R0b?超过20%v?‘ˉQ?8.1
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2 20190701-20190930 15,292,160.43 0.00 0.00 15,292,160.43 56.16%
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30?g,W?金v?0?b?R?说f?Nf0?
40?g,W?金v?0?bX{?SO议0?
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T¤询W?金{?t?N”SNl?gˇt^W?金{?t?g?限QlS?0? [￠b7g?R?p?~?：400-888-0001（QM长途费） 021-
3878 4638 QlS?网W@：www.huatai-pb.com
SNl?gˇt^W?金{?t?g?限QlS?
2019^t10g?22e?
