2007 2
[2004]37 2004 3 19 2004 6 25
2007
6 25 2007 6 30
1
..........................................................................2
..........................................................................2
......................................................................4
.....................................................................13
...................................................................15
...............................................................20
.......................................................25
.....................................................................26
.....................................................................29
.....................................................................31
...................................................................32
.................................................................33
...............................................................35
...............................................................36
.............................................................38
...............................................................39
.....................................................................42
.............................................................43
...........................................................45
.......................................................54
.....................................................60
.............................................................61
.................................................61
...................................................................61
2
5 < >
:
2003 10 28 2004 6 1
3
3
10%
T
T+n
T n T
4
www.sse.com.cn www.sse.org.cn
1093 16
2003 76
2003 6 12
1093 16
0755 82370388
4008888606, (0755) 82370688
0755 25987356
2003 76 ( ) 2003 6 9 1.3 49% 49% 1% 1% 5
82 41
1
Babson Capital House 1992 1996 1996 1997 1997 2000 1997 2001
1975 (BA) 1999 (MBA) 1990 1998 (LGT Asset Management Asia Ltd.) 1998 (INVESCO) (LGT Asset
Mangement)
1995 9
1972 HKSA6
ACCA CPA CMA 1972-1977 [KPMG]
1982 1987
C1yde
Co. 1993
2
Mr. Dean Chisholm London School of Economic (Institute of Chartered Accountants in England
and Wales) (PwC) Hong Kong Securities Industry Group Omgeo Hong Kong Advisory Board
1989 1992
3
9 2003 10 2005 5
1989 1992 2003 6 2005 5
2005
9 2006 2
7
4
1989 1998
5
9 1998 7
2002 5 2002 11 2005 9
6
2003 8 2005 9
7
8
2004 6 25 2005 6 14
2005 6 15 2005 12 15
9
10
1
1
2
3 8
4
5
6
7
8
9
10
11
12
13
14
15
2
1
2
3
4
5
6
7
8
9
10
11
129
13
14
15
16
17 15
18
19
20
21
22
23
24
25
26
27
28
1
2
1
2
3
4
5
(i)
10
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
3
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
4
1
2
3
4
1 11
1
2
3
4
2
1
2
3
4
5
6
3
1
2
3
4
5
4
I
1
2
312
4
5
II
:
(1)
(2)
(3)
(4)
(5)
1
2
3
4
III
13
5
1
23
23
1979 2 23
361
68424199
14
500 1979
2004 2007 SAS70 SAS70
1998 5 2004 9
2
77 42 10 20
3
2007 6 30 51 LOF 300 10015
1524
1
2
3
1
2
3
1
1093 16
2003 76
0755 82370388 289 16
0755 25987239
2
1
23
010 68298560
010 68297268
95599
2
55
2005 10 28
2480
55
95588
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3
25
95533
www.ccb.com
4
154
95561
0591-7845504
0591-7844211
5
5047
17
95501
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6
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188
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: 400-8888-108
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98
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8
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9
618
021-62580818-213
021-62569400
4008888666
www.gtja.com
10
24 25
0755-26936019
0755-26936223 18
www.ehantang.com
11
6008 14 16 17
0755-83516094
0755-83516199
www.cc168.com.cn
12
26 2611
36 38 41 42
020-87555888
020-87557985
www.gf.com.cn
13
5047 10 24 25
0755-82492000
0755-82492062
400-8888-555 0755-25125666
www.lhzq.com
14
0755- 82943296
0755-82960141
www.newone.com.cn
15
7088
102.72
95555 19
www.cmbchina.com
16
83
35
020-38322730 38322974
www.gdb.com.cn
17
45
010-64482828-390
010-64482090
800-810-8809
www.guodu.com
18
171
171
021-54033888
021-54038844
021-962505
www.sw2000.com.cn
19
6
95595
www.cebbank.com
1093 16
20
0755 82370388 285
0755 25987239
22 11
010 85237766
010 65185057
325
333 12
Kent Watson
021-63863388
021-63863300
2004 3 19 2004 37
1
2
2004 6 25 2004 7 14 2004 8 27
21
3
1
2
3
4 3
1 1 000 50
2 1000
3 3
4
5
1
2
3
T T+2 22
4
T+5 T 7
5 T T+1
1
M
M 100 1.5%
100 M 500 1.2%
500 M 1000 0.6%
M 1000 ,1000 /
2
1 0.5
1 2 0.25%
2 0
1 365 2 730
2
3 25%
4 3
5 ( )
1
= / 1+
= - 23
= /T
5 000 1.5% 1.128
=5000/ 1+1.5% =4926.11
=5000-4926.11=73.89
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2
=
=
=
10 000 1 6 0.25% 1.148
= 10,000 1.148 = 11,480
= 11,480 0.25% = 28.70
= 11,480-28.70 = 11,451.30
T+1 T+2
T+1
3
1
10%
2
1
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3
3 20
( )
1
1
2
3
4
2
1
2
3
25
1
1 1
3
1
2
2007 1 9
2007 2 27
3
26
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/ /
27
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95% 70% 30%
1
2
= 80% 20%
1 80%
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3 10% 28
4 80%
5 5
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7 10%
8
9
3 6
1
2
3
4
5
6
7
8
1
2
3
4
29
2007 6 30
( )
512,537,800.76 8.00%
5,760,950,774.06 89.98%
0.00 0.00%
0.00 0.00%
129,258,067.84 2.02%
6,402,746,642.66 100.00%
( )
A
0.00 0.00%
B
17,444,906 351,380,477.26 5.57%
C
72,616,839 1,890,116,572.47 29.94%
C0
6,457,443 504,396,974.40 7.99%
C1
0.00 0.00%
C2
0.00 0.00%
C3
0.00 0.00%
C4
0.00 0.00%
C5
0.00 0.00%
C6
54,164,434 1,011,896,476.35 16.03%
C7
7,929,421 228,276,753.92 3.62%
C8
4,065,541 145,546,367.80 2.31%
C99
0.00 0.00%
D
0.00 0.00%
E
0.00 0.00%
F
21,714,822 288,179,778.45 4.56%
G
9,226,086 327,050,412.30 5.18%
H
11,113,386 506,544,387.12 8.02%
I
81,178,977 2,301,759,317.84 36.46%
J
0.00 0.00%
K
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L
3,663,859 95,919,828.62 1.52%
M
0.00 0.00%
216,958,875 5,760,950,774.06 91.25%
( )
30
( )
600036
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600000
13,874,263 507,659,283.17 8.04%
601628
10,026,000 412,168,860.00 6.53%
601318
5,721,904 409,173,355.04 6.48%
000825
17,721,665 355,496,599.90 5.63%
600519
2,811,969 336,536,449.92 5.33%
600016
25,941,810 296,514,888.30 4.70%
600694
3,883,760 239,045,428.00 3.79%
600100
6,794,461 233,050,012.30 3.69%
000709
18,190,141 232,470,001.98 3.68%
( )
2007 6 30
( )
2007 6 30
( )
1
2
3
1,287,131.52
127,857,748.76
108,495.56
4,692.00
129,258,067.84
4
5
6
7
31
2007 6 30
1
1
2 3 4
1 - 3 2 - 4 2004 6 25 2004 12 31 2.20% 0.72% -9.59% 1.11% 11.79% -0.39%
2005 1 1 2005 12 31 6.47% 0.98% -5.27% 1.12% 11.74% -0.14%
2006 1 1 2006 12 31 182.27% 1.41% 92.74% 1.07% 89.53% 0.34%
2007 1 1 2007 6 30 51.02% 2.05% 39.40% 1.92% 11.62% 0.13%
2004 6 25 2007 6 30 363.85% 1.33% 130.00% 1.27% 233.85% 0.06%
2
2004 6 25 2007 6 30
-120.00%
0.00%
120.00%
240.00%
360.00%
480.00%
2004 6 25 2005 4 25 2006 2 25 2006 12 25
2004 6 25 3
32
1
2
3
4
5
6
7
8
9
33
1
2
1
2
3
4
5
6
7
8
9
34
0.5%
1
2
1
2
3
4
5
635
7
3
1
2
3
4
5 0.5%
1
2
3
1
2
3
4 36
5
1
2
3
4
5 4
6
7
1
2
1
1
2
3
4
5
6
7
8
2
1 37
1.5%
H=E
H
E
2
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H E
H
E
3
4 1 3 8
3
4
1
(1)
M
M 100 1.5%
100 M 500 1.2%
500 M 1000 0.6%
M 1000 ,1000 /
2 38
= / 1+
= -
= /T
2
1
1 0.5
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2 0
1 365 2 730
2
=
=
=
3 25%
1
2 1 1 12 31 3
3 39
4
5
6
7
1
2
3 5
3
40
1
2
3
4
5
6
7
8
9 41
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
42
(www.invescogreatwall.com)
1
2
3
4
5
85%
43
BARRA
1
2
3
4
5
6
7
1
2
3
4
5
6 44
1
1 30
2 15
3
2
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
3
4
(1)
(2)
(3)
(4)
1 3
5
5 345
6
15
1
1
2
3
4
5
6
7
8
9
10
11
12
13
2
1
2
3
4
5
6 46
7
8
9
10
11
12
13
14
15
16 15
17
18
19
20
21
22
23
24
25
3
1
2
3
4
5
47
4
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15 15
16
17
18
19
20
21
22
23
48
5
1
2
3
4
5
6
7
8
9
10
6
1
2
3
4
5
1
2
1
2
3
4
5
6
49
7
8
9
10
1
2
3
4
5
6
3
1
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50
6
7
4
1
2
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4
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6
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1
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6
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52
7
1
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3
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1
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53
1
1
2
3
4
5
6
2
1 30
2 15
3
3
1
2
3
4
5
6
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9 54
4
5
1
2
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( )
1
1093 16
:
1 55
2
23
[1998]23
1338.65
( )
1
1
2
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1
2
3
3
( )
1
1
2
3
457
5
6
7
2
2 2
3
1
2
3
4
4
1
2
358
4
5
5
6
7
1
2
( )
1
1
2
2
159
2
3
1 5 15 1 30 60 60 90
2 30
60
3
( )
( )
1
2 6060
( )
1
2
1
2
3
4
1
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www.invescogreatwall.com
61
Call Center
4008888606, 0755 82370688
2007 4 18 2007
2007 4 11
2007 3 31 2006
2007 3 10
2007 2 27
2007 2 27
2007 2 2 2007 1
2007 2 1
2007 1 27
2007 1 20 2006
2007 1 6
2006 12 14 LOF LOF
62
