1、第十一条第三款指出“执行资金划拨指令，办理托管资产的资金清算及证券交收事宜”；

2、 第二十条指出“托管银行应根据有关法律法规规定和托管合同约定，办理托管账户资金清算和证券交割业务，托管银行不得非法擅自动用托管资产。托管银行应规范资金清算和证券交割业务操作，严格岗位授权制度，对管理人的划款指令进行形式审核。”

3、第二十二条指出“托管银行提供投资监督服务的，应根据法律法规规定和托管合同约定的监督内容和监督方式，对托管资产的投资运作等进行监督。相关当事人应提供监督所必需的交易材料等信息，并确保所提供的业务材料完整、准确、真实、有效，托管银行对提供材料是否与合同约定的监督事项相符进行表面一致性审查。”

2

证券类私募管理人使用托管券商平台的流程如下：

1、私募管理人通过托管券商客户服务平台注册认证后，下设经办岗和审核岗。托管券商同样下设指定经办岗和审核岗，跟进私募产品划款指令的审核和线上划款工作；

2、管理人经办岗需要先上传一份线下用印的划款指令预留印鉴；

3、有实际划款需要时，经办岗在平台“划款指令”模块中填写划款指令要素并提交内部审核；

4、私募管理人审核岗对提交的划款指令进行审核，审核无误后将申请提交至托管人经办岗；

5、托管券商经办岗人员跟进划款指令流程，按照管理人提交的划款指令内容完成线上划款的准备工作，并提交托管券商审核岗进行最终审核；

6、托管券商审核岗对划款指令及线上划款操作进行最终审核，确认无误后完成线上划款。

1、要求私募管理人提交《投资协议》并设置专门的审核岗进行审核；

2、在基金合同或托管协议中设置投资监督条款和投资监督表。

3

1、Instructions. Unless otherwise explicitly indicated herein, the Custodian shall perform its duties pursuant to Instructions. As used herein, the term Instruction shall mean a directive initiated by the Fund, acting through its board of directors or trustees or other Authorized Person, which directive shall conform to the requirements of this Section 4.

原文翻译：4.支付指令。 除非本文另有明确规定，否则托管人应依照指示履行其职责。 如本文所用，“支付指令”一词是指由基金通过其董事会或受托人或其他授权人发起的指令，该指令应符合本第4节的要求。

4.1 Authorized Persons. For purposes hereof, an Authorized Person shall be a person or entity authorized to give Instructions to the Custodian by written notices or otherwise for or on behalf of the Fund in accordance with procedures delivered to and acknowledged by the Custodian. The Custodian may treat any Authorized Person as having the full authority of the Fund to issue Instructions hereunder unless the notice of authorization contains explicit limitations as to said authority. The Custodian shall be entitled to rely upon the authority of Authorized Persons until it receives appropriate written notice from the Fund to the contrary.

原文翻译:

4.1授权人员。 就本协议而言，授权人应为有权根据托管人交付并承认的程序，通过书面通知或以其他方式为基金或代表基金向托管人发出支付指令的个人或实体。 托管人可以将任何授权人视为拥有基金的全权，以发布本协议下的支付指令，除非授权通知包含对所述权限的明确限额限制。 托管人有权依赖授权人的授权，直至其收到基金的适当书面注销通知为止。

4.2 Form of Instruction. Each Instruction shall be transmitted by such secured or authenticated electro-mechanical means as the Custodian shall make available to the Fund from time to time unless the Fund shall elect to transmit such Instruction in accordance with Subsections 4.2.1 through 4.2.3 of this Section.

原文翻译

4.2支付指令的模式。 每笔支付指令均应经过安全认证或者授权认证电子方式传送，同时托管人从始至终的可以接触到基金资产，除非基金根据本节第4.2.1至4.2.3节约定，发送支付指令。

4.2.1 Fund Designated Secured-Transmission Method. Instructions may be transmitted through a secured or tested electro-mechanical means identified by the Fund or by an Authorized Person entitled to give Instruction and acknowledged and accepted by the Custodian, it being understood that such acknowledgment shall authorize the Custodian to accept such means of delivery but shall not represent a judgment by the Custodian as to the reasonableness or security of the means utilized by the Authorized Person.

原文翻译：

4.2.1基金指定的安全传输方法。 支付指令可通过基金或授权人认定的安全或经过测试的电子方式传输发出支付指令，该基金或者授权人被托管人承认和接受。这个被理解为，此类确认应为授权托管人接受此类交付方式，但并不代表托管人对被授权人使用这种方式的合理性或安全性的判断。

4.2.2 Written Instructions. Instructions may be transmitted in a writing that bears the manual signature of Authorized Persons.

原文翻译：

4.2.2书面说明。 支付指令可以带有授权人手工签名的书面形式传送。

4.2.3 Other Forms of Instruction. Instructions may also be transmitted by another means determined by the Fund or Authorized Persons and acknowledged and accepted by the Custodian (subject to the same limits as to acknowledgements as are contained in Subsection 4.2.1, above) including Instructions given orally or by SWIFT or telefax (whether tested or untested).

原文翻译：

4.2.3其他形式的支付指令。 支付指令也可以通过基金或授权人确定并由托管人确认和接受的其他方式传送（受与上述第4.2.1小节中所述的确认相同的限制），包括口头或SWIFT或 传真（无论是经过测试还是未经测试）

When an Instruction is given by means established under Subsections 4.2.1 through 4.2.3, it shall be the responsibility of the Custodian to use reasonable care to adhere to any security or other procedures established in writing between the Custodian and the Authorized Person with respect to such means of Instruction, but the Authorized Person shall be solely responsible for determining that the particular means chosen is reasonable under the circumstances. Oral Instructions shall be binding upon the Custodian only if and when the Custodian takes action with respect thereto.

原文翻译：

当通过第4.2.1至4.2.3小节规定的方式发出支付指令时，托管人有责任采取合理的谨慎措施，遵守托管人与授权人之间以书面形式确立的任何安全保证或其他程序。 对于此类指示，但授权人应自行负责确定所选择的特定方法在当时情况下是否合理。口头支付指令，只有于特定的托管人结合，且同意就口头支付指令采取行动时，才对该托管人具有约束力。

With respect to telefax instructions, the parties agree and acknowledge that receipt of legible instructions cannot be assured, that the Custodian cannot verify that authorized signatures on telefax instructions are original or properly affixed, and that the Custodian shall not be liable for losses or expenses incurred through actions taken in reliance on inaccurately stated, illegible or unauthorized telefax instructions. The provisions of Section 4A of the Uniform Commercial Code shall apply to Funds Transfers performed in accordance with Instructions. The Funds Transfer Services Schedule and the Electronic and Online Services Schedule to this Agreement shall each comprise a designation of a means of delivering Instructions for purposes of this Section 4.2.

原文翻译：

对于传真支付指令，双方同意并承认无法保证收到清晰的指示，托管人无法核实传真指令上的授权签名是否为原件或正确贴上，且托管人不承担由此产生的损失或费用 通过依赖不准确陈述，难以辨认或未经授权的传真指令采取的行动。 “统一商法典”第4A条的规定适用于按照“支付指令”进行的资金转移。 本协议的资金转账服务时间表和电子及在线服务时间表均应包含为本4.2节的目的而发送指令的方式的指定。

4.3 Completeness and Contents of Instructions. The Authorized Person shall be responsible for assuring the adequacy and accuracy of Instructions. Particularly, upon any acquisition or disposition or other dealing in the Fund’s Investments and upon any delivery and transfer of any Investment or moneys, the person initiating the Instruction shall give the Custodian an Instruction with appropriate detail, including, without limitation:

原文翻译：

4.3指令的完整性和内容。 授权人应负责确保支付指令的充分性和准确性。 特别是，在基金投资的任何收购或处置或其他交易以及任何投资或款项的交付和转让时，发起支付指令的人应向托管人提供具有适当细节的指示，包括但不限于：

4.3.1 The transaction date and the date and location of settlement;

原文翻译：4.3.1交易日期和结算日期和地点;

4.3.2 The specification of the type of transaction;

原文翻译：4.3.2交易类型的规范;

4.3.3 A description of the Investments or moneys in question, including, as appropriate, quantity, price per unit, amount of money to be received or delivered and currency information. Where an Instruction is communicated by electronic means, or otherwise where an Instruction contains an identifying number such as a CUSIP, SEDOL or ISIN number, the Custodian shall be entitled to rely on such number as controlling notwithstanding any inconsistency contained in the Instruction, particularly with respect to Investment description; and

原文翻译：4.3.3有关投资或款项的说明，包括数量，每单位价格，收到或交付的金额以及货币信息。 如果指令是通过电子方式传达的，或者如果指令包含诸如CUSIP，SEDOL或ISIN号码之类的识别号码，则尽管指令中包含任何不一致，托管人仍有权依赖控制数字，特别是尊重投资说明; 和

4.3.4 The name of the broker or similar entity concerned with execution of the transaction.If the Custodian determines that an Instruction is either unclear or incomplete, the Custodian may give prompt notice of such determination to the Fund, and the Fund shall thereupon amend or otherwise reform the Instruction. In such event, the Custodian shall have no obligation to take any action in response to the Instruction initially delivered until the redelivery of an amended or reformed Instruction.

原文翻译：

4.3.4与执行交易有关的经纪人或类似实体的名称。如果托管人确定指令不清楚或不完整，托管人可以立即通知基金，并且基金随即修改或以其他方式修正指示。 在这种情况下，托管人没有义务对最初交付的指令采取任何行动，直至重新修订或改革指令为止

4.4 Timeliness of Instructions. In giving an Instruction, the Fund shall take into consideration delays which may occur due to the involvement of a Subcustodian or agent, differences in time zones, and other factors particular to a given market, exchange or issuer. When the Custodian has established specific timing requirements or deadlines with respect to particular classes of Instruction, or when an Instruction is received by the Custodian at such a time that it could not reasonably be expected to have acted on such instruction due to time zone differences or other factors beyond its reasonable control, the execution of any Instruction received by the Custodian after such deadline or at such time (including any modification or revocation of a previous Instruction) shall be at the risk of the Fund.

原文翻译：

4.4支付指令的及时性。 在发出支付指令时，基金应考虑因子客户或代理人的参与而可能发生的延误，时区的差异以及特定市场，交易所或发行人特有的其他因素。 当托管人针对特定类别的指令制定了具体的时间要求或截止日期，或者当托管人收到指令时，由于时区差异或者由于时区差异而无法合理地预期对该指令采取行动时 超出其合理控制范围的其他因素，托管人在截止日期之后或在此时间（包括对先前指示的任何修改或撤销）收到的任何指令的执行应由基金承担风险。

9.责任限制。托管人不对因以下原因引起的任何损失，索赔，损害或其他责任承担责任：

9.2.1第三方的失败。任何第三方的失败，包括：（a）任何投资或账面记录代理的发行人或发行人的其他代理人; （b）任何投资的对手方，包括任何交易所买卖或其他期货，期权，衍生工具或商品合约的发行人; （c）投资顾问，外国托管经理或基金其他代理人的失败;或（d）同样超出托管人控制或选择的其他第三方的失败。

9.2.2信息来源。托管人可以依赖从投资发行人或此类发行人的代理人收到的信息，从Subcustodians收到的信息以及商业数据库等其他商业上合理的来源，但不对此类信息的具体不准确性负责，前提是托管人本着诚信或任何商业上合理的信息提供者的失败依赖此类信息。

9.2.3依赖指令。托管人或子托管人根据指示采取的行动，即使此类行为与基金的信托声明，公司注册证书或章程或其他组成文件，适用法律或其他任何规定相冲突或相抵触，基金的受托人，董事或股东采取的行动。

9.2.4限制性证券。基金投资的权利，可转让性或类似投资特征所固有的局限性。

In accordance with Section 4.2 of the Custodian Agreement, the Fund acknowledges the following terms and conditions in respect of all funds transfers effected by the Custodian. References to UCC 4A shall mean Article 4A of the Uniform Commercial Code as currently in effect in the State of New York. Terms not otherwise defined herein shall have the meanings accorded to them in the Custodian Agreement.

1、Transmission of Payment Orders.支付指令的传递，两种方式，一个是托管人认定的安全方式，一个是管理人认定的安全方式。

2、Custodian Designated Security Procedure. The Custodian will make the following Custodian Designated Security Procedures available to the Fund for use in communicating FT Instructions to the Custodian:

托管人指定的安全程序。 托管人将向基金提供以下托管指定安全程序，用于安排管理人向托管人传达FT指令：

以下以BBH worldview为例:

BBH Worldview? Payment Products. The Custodian offers to   the Fund use of its BBH Worldview Payment Products (“BBH Worldview”), which   are Custodian proprietary on-line payment order authorization facilities with   built-in authentication procedures. The Custodian and the Fund shall each be   responsible for maintaining the confidentiality of passwords or other codes   used by them in connection with BBH Worldview. The Custodian will act on FT   Instructions received through BBH Worldview without duty of further   confirmation unless the Fund notifies the Custodian that its password is not   secure. The Fund agrees that access to, and use of, BBH Worldview shall be   governed by an Electronic and On-line Services Schedule, which the Fund will   execute prior to access to BBH Worldview.

原文翻译：

BBHWorldview?支付方式。 托管人向基金使用其BBH Worldview支付产品（“BBH Worldview”），这些产品是托管专有的在线支付订单授权设施，具有内置的认证程序。 托管人和基金均应负责维护他们与BBH Worldview相关的密码或其他用户代码的机密性。 除非基金通知托管人其密码不安全，否则托管人将根据BBH Worldview收到的FT指令行事，无需进一步确认。 基金同意BBH Worldview的访问和使用受电子和在线服务时间表的约束，基金将在访问BBH Worldview之前执行.

SWIFT Transmission. The Custodian and the Fund   shall comply with SWIFT’s authentication procedures. The Custodian will act   on FT Instructions received via SWIFT provided the instruction is   authenticated by the SWIFT system.

原文翻译：

SWIFT传输。 托管人和基金应遵守SWIFT的认证程序。 如果指令由SWIFT系统验证，托管人将根据通过SWIFT收到的FT指令采取行动

Written Instructions. Instructions may be   transmitted in an original writing that bears the manual signature of an   Authorized Person(s).

原文翻译：

书面指示。 指示可以带有授权人手工签名的原始书面形式传送

3、Fund Designated Security Procedure. 基金指定安全程序。

4、Rejection of Payment Orders; Rescission of Designated Security Procedure.

拒绝付款订单; 撤销指定的安全程序

5. Cancellation of Payment Orders. 指令的取消

6. Preauthorized Repetitive Payment Orders. 指令的提前授权，适用于重复的定向指令

The Fund may establish with the Custodian a process to preauthorize certain repetitive payments or transfers. The Fund will execute all documentation required by the Custodian, including a separate Preauthorized Repetitive Payment Order (PPO) form. The PPO shall be delivered to the Custodian in writing or by another Custodian Designated Security Procedure or Fund Designated Security Procedure, and will become effective after the Custodian shall have had a reasonable opportunity to act thereon (or if later, two (2) banking days after receipt by the Custodian). The PPO may take the form of either:

(i)

A standing instruction in   which the Fund provides in the PPO all required information for a FT   Instruction (except for the transfer date and amount) on a “standing   instructions” basis. The Fund may from time-to-time instruct the Custodian to   make a payment under the PPO, in writing or another Custodian Designated   Security Procedure or Fund Designated Security Procedure, which instruction   shall reference the repetitive line number (a number assigned to it by the   Custodian after execution of the PPO), details of the payment, the transfer   date and the amount of the transfer; or

基金的常设定向支付指令，其中PPO在“常规定向支付指令”的基础上提供FT指令的所有必要信息（转让日期和金额除外）。 基金可不时指示托管人根据PPO以书面形式或其他托管人指定的安全程序或基金指定的安全程序付款，该指示应参考重复的行号（由其指定的编号）。 执行PPO后的托管人，付款细节，转账日期和转账金额; 要么

(ii)

A recurring instruction in   which the Fund supplies all required information for a FT Instruction with an   instruction to process such payments with a specific frequency.

一种经常性定向支付指令，其中基金为FT指令提供所有必需信息，并指示以特定频率处理此类支付。

7. Responsibility for the Detection of Errors in Payment Orders; Liability of the Parties. 检测付款订单错误的责任; 各方责任

4

（1）在划款指令预留印鉴中写明原基金合同编号；

（2）使用海合信平台的自动生成的合同编号，并填入划款指令预留印鉴正文中。

5

6