2009 1
2008 4 25 [2008]595
2008 10 23
30% 80%
2009 4 23 2009 3 31 2008 12 31
i
.......................................................................................................................................................1
.......................................................................................................................................................1
...........................................................................................................................................4
.........................................................................................................................................10
.....................................................................................................................................14
.........................................................................................................................................35
.................................................................................................................................36
.........................................................................................................36
.........................................................................46
.........................................................................................................................................47
.....................................................................................................................................56
.........................................................................................................................56
.....................................................................................................................................56
.............................................................................................................................57
.........................................................................................................................60
.........................................................................................................................61
.........................................................................................................................62
.............................................................................................................................63
.........................................................................................................................................65
.................................................................................68
.................................................................................................................70
.........................................................................................................82
.........................................................................................................89
.........................................................................................................................91
.....................................................................................................91
.....................................................................................................................................91
1
( “ ”)
( “ ”) ( “ ”) ( “ ”) ( “ ”) ( “ ”)
2
2003 10 28 2004 6 1
2004 6 25 2004 7 1
2004 6 29 2004 7 1
2004 6 8 7 1
1998 12 29
3
3
4
T
T+n T ( T ) n n
( )
A
33 B 3
5
1998 4 9
400-818-6666
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13800
100%
100%
( )
1
6
2
1998
1998 4 28 2002 1 8 2001 12 18 2005 4 12 2005 12 31 2008 10 23
3
LOF
4
( )
1
2
3
4
7
5
6
7
8
9
10
11
12
( )
1
2
3
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
4
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(2)
(3)
(4)
8
(5)
5
(1)
(2)
(3)
( )
1
(1) 3
(2)
(3)
2
3
9
(1)
( )
( )
( )
(2)
10
(3)
(4)
(5)
4
5
6
(1)
(2)
(3)
“ ”
1
1983 10 31
2004 8 26
11
1998 24
010-66594977
010-66594942
“ ”
2008 10,789 9,983 806 37 284 9,659
2008 69,556.94 64,617.93 4,682.72 16.01% 16.63% 10.24% 650.73
4.93% 635.39 13.00% 0.25 0.03 3.12% 2.65% 6,699.97
2008 1990 500 2004 2008 “ ” 2008 2008 “ 1000
” 10 2008 2008
12
2008 2008 2008 “ Universum ” “ ”
2004 8 2003 3 1996 10 1989 10 1996 10 1958 8 1981 1996
2004 8 2002
9 2004 8 1994 7 2002 9 1988 1994 7 1952 5 1977 1999
2004 8 2000 11 1980 11 2000 11 1978 2002 6
2007 11 27 2005 9 1983 7 2005 9 1962 11
1998 2005 3 23 90
13
2008 12 LOF 2020 300 (LOF) 300 (LOF) 100ETF (LOF) (LOF) (QDII) (QDII) (QDII-FOF) 67
1998
,
14
,
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1
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400-818-6666
010-88066511
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2
1
55
55
15
95588
010-66107914
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2
69
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95599
010-85109219
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3
1
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010-66596688
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95566
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25
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5
16
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021-58781234
021-58408842
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021-61618888
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95501
10
4
4
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11
131
131
95580
010-66415194
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18
12
17
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010-66223251
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www.bankofbeijing.com.cn
010-96169
13
19 B
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010-66045522
010-66045500
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010-66045678
14
618
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021-38676666
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021-962588 400-888-8666
15
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400-888-8111 95565
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400-888-8888
21
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021-962503 400-888-8001
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021-962505
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021-68419393 1098
25
8
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021-51062920
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4008-888-999 027-85808318
26
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400-800-1001
27
2 22-25
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023-63786397
023-63786312
www.swsc.com.cn
28
11 A
11 A
0571-85783715
0571-85783771
www.bigsun.com.cn
23
0571-96598
29
63 12
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021-68634518
021-68865680
www.xcsc.com
400-888-1551
30
18 36-37
18 36-37
020-37865026
020-37865008
www.wlzq.com.cn
400-888-8133
31
179
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0551-2207938
0551-2634400-1171
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400-888-8777 96888
32
42 101
24
3
022-28451861 13388022259 022-28451650 13702028181
022-28451892
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400-651-5988
33
90
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025-84457777-893
025-84579879
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400-888-8168 025-84579897
34
69
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0351-8686703
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400-666-1618
35
29 15 1507-1510
28
0532-85022026
25
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www.zxwt.com.cn
0532-96577
36
28
28
0512-65581136
0512-65588021
www.dwzq.com.cn
0512-96288 0512-65588066
37
318 2 22 -29
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021-63325888
021-63326173
www.dfzq.com.cn
95503
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6008 14 16 17
6008 14 16 17
0755-83516289
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www.cc168.com.cn
26
0755-33680000 400-666-6888
39
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021-68816000
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69
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020-87322668
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020-961303
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0431-96688 0431-85096733
42
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43
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021-51539888
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400-886-6338
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400-888-8100 96100
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50
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0371-65585670
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0371-967218
51
4028 26 11 12
3 9
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400-818-8118
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59 18 19
989 17
021-50586660
30
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0519-8166222 0379-64912266
53
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021-50372474
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54
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33 B 3
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( )
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19 B
010-66575888
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( )
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2008 4 25 [2008]595
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2008 10 20
1,583,765,847.96 15,427
2008 10 23
( )
1
1
33 B 1 100140
010-88087226/27/28
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11 100081
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4
29 B 100027
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5
37
9 100190
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010-82523196
6
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7
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8
35 100089
010-68460370/0639/0796
010-68460232
9
103 A 100101
010-84871036/37/38/39
010-84871035
10
122 F-36 100102
010-64743055/2505/0335/5375
010-64746885
11
115 200135
021-68547366/7586/7566
021-68547277
12
108 518026
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13
569 510630
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2
“ “ ”
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1
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2009 1 22
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2
39
3
4
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2 1,000.00 ( ) 1,000.00
3 3
( )
1
( )
2
T T+1 T+2 T T+1
T T+2
3
3
40
7
( )
1
( )
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500 ( 500 )-1000 0.8%
1000 ( 1000 ) 1000
2 0.5% 25%
3 3
4 ( )
( )
1
/(1 )
/T
=
/T
41
T 1.200 1,000.00 100 500
1000
1 2 3 4
( A) 1,000.001,000,000.005,000,000.0010,000,000.00
(B) 1.5% 1.2% 0.8% -
(C=A/(1+B))
985.22 988,142.29 4,960,317.46 9,999,000.00
(D=A-C) 14.7811,857.7139,682.54 1,000.00
(=C/1.200) 821.02823,451.914,133,597.88 8,332,500.00
2
×T
×
= -
T 10,000.00 1.250
=10,000.00×1.250=12,500.00
=12,500.00×0.5%=62.50
=12,500.00-62.50=12,437.50
3 T T+1 3 4
( )
1
( ) ( ) 10%
2
42
(1)
(2) 10%
(3) 3
(4) 2 20
( )
1
(1)
(2)
(3)
(4)
(5)
(6)
(7)
43
2
(1)
(2)
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(5)
3
4
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( )
1
2
44
1
2
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5 1,000 1,000
6
7
2
3
1
2
3
4
5
6
45
4
1
2
3
A
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B
a
b
0
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46
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( )
“ ”
“ ”
“ ”
( ) 2
( )
47
20
( ) ( )
( )
( )
( )
( )
30% 80% 0 70% 0 20% 0 3% 1 5%
( )
1
2
48
(1)
(2)
49
(3)
(4)
3 12
3
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50
4
( )
( )
1
2
3
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4
5
6
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( )
( )
1
(1)
52
(2)
(3)
(4)
(5)
(6)
(7)
(8)
2
(1) 10%
(2) 10%
(3)
(4) 0.5%
(5) 3%
(6) 10%
(7) ( ) 10%
(8) 10%
(9) 10%
(10) 20%
(11)
3
( )
53
6 10
10 10 10 3
( )
1
2
2009 4 16
2009 3 31
1
(%)
1
750,642,216.29 39.96
750,642,216.29 39.96
2
321,924,739.50 17.14
321,924,739.50 17.14
--
3
--
4
--
--
5
779,896,586.46 41.52
6
26,028,920.54 1.39
7
1,878,492,462.79 100.00
2
(%)
A
27,746,594.77 1.48
54
B
60,030,000.00 3.21
C
312,245,893.97 16.69
C0
24,625,125.00 1.32
C1
--
C2
--
C3
--
C4
43,239,756.28 2.31
C5
26,399,804.20 1.41
C6
9,099,625.60 0.49
C7
93,090,266.47 4.98
C8
96,526,000.00 5.16
C99
19,265,316.42 1.03
D
--
E
61,393,401.00 3.28
F
16,250,000.00 0.87
G
21,825,533.00 1.17
H
21,458,913.84 1.15
I
38,328,348.24 2.05
J
72,392,358.20 3.87
K
9,740,000.00 0.52
L
15,591,408.30 0.83
M
93,639,764.97 5.01
750,642,216.29 40.13
3
(%)
1 600252
5,952,702 70,122,829.56 3.75
2 000623
2,000,000 67,800,000.00 3.62
3 600970
1,304,300 61,393,401.00 3.28
4 601088
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5 000563
3,509,922 38,328,348.24 2.05
6 000965
2,577,778 31,371,558.26 1.68
7 600261
1,867,030 26,399,804.20 1.41
8 600216
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9 600702
3,097,500 24,625,125.00 1.32
10 000407
2,653,012 24,381,180.28 1.30
4
(%)
1
69,441,141.50 3.71
2
--
3
153,510,000.00 8.21
153,510,000.00 8.21
4
98,973,598.00 5.29
55
5
--
6
--
7
--
8
321,924,739.50 17.21
5
(%)
1 080218 08 18 1,500,000 153,510,000.00 8.21
2 010110 21 526,190 54,118,641.50 2.89
3 126001 06 237,930 22,960,245.00 1.23
4 112006 08 G2 150,000 16,204,500.00 0.87
5 010004 20 150,000 15,322,500.00 0.82
6
7
8
1
2
3
1
-
2
21,797,530.49
3
-
4
4,231,390.05
5
-
6
-
7
-
8
26,028,920.54
4
5
6
56
2008 10 23 2008 12 31
3.20% 0.49% 1.21% 1.67% 1.99% -1.18%
( )
( )
( )
( )
1
2
3
57
4
( )
( )
( )
( )
1
(1)
(2)
(3) (1) (2) (1) (2)
(4)
2
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58
(2)
(3)
(4)
(5)
(6)
(7) (1)-(6) (1)-(6)
(8)
3
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(3)
4
( )
59
( )
1
2
3
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( )
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3
( )
1 ( ) 1 (3) 2 (7) 3 (2)
2
60
( )
1
2
3
( )
1
2
3
4
5 12 20%
6 ( )
7
( )
( )
( )
1
2 ( )
61
( )
1
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H
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H
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( )
1 1 1 12 31
2
3
4
5
6
63
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6 45 15
( )
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( )
64
( )
1 90
2 60
3 15
2
( )
2
1
2
3
4
5
6
7
8 50%
65
9 30%
10
11
12
13
14
15
16 0.5%
17
18
19
20
21
22
23
24
25
26
27
( )
“ ”
66
“ ” “ ”
1.00 1.00 1.00
( )
1
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(2)
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(1)
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67
(3)
2
3
(1)
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4
IT
5
6
68
( )
1
2
“ ”
( )
1 ( )
2
3 ( )
( )
1
2
3 6
4
( )
1
2
69
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(2)
(3)
3
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
4
5
(1)
(2)
(3)
(4)
(1) (2) (3)
6
70
7 15
“
( )
1
A
33 B 3
1998 4 9
[1998]16
1.38
100
2
(1)
(2)
(3)
(4)
(5)
(6)
71
(7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
3
(1)
(2)
(3)
(4)
(5)
(6)
(7)
72
(8)
(9)
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
(21)
(22)
( )
1
1
1983 10 31
1998 24
73
2
(1)
(2)
(3)
(4)
(5)
(6)
3
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
74
(10)
(11)
(12)
(13)
(14)
(15)
(16)
(17)
(18)
(19)
(20)
( )
1
2
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
3
75
(1)
(2)
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7
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1998 24
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( )
86
( )
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2
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87
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5 3 3 0.25% 0.5%
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2009 1 9
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