1.Policy Basis

1.1 TheseApplicationGuidelines are prepared to facilitate the application for the innovation and pilot scale trial funds according toClause4.3 of theSupport Measures for Scientific Research, Innovation and Startups in the Shenzhen Park of Hetao Shenzhen-Hong Kong Science and Technology Innovation Cooperation Zone.

2.Policy Content

2.1 For the sub-funds with contribution from Futian District Government’s guiding funds, the ratio of investment-back duty could be lowered if the investment back is conducted in the Shenzhen Park. As to those projects in the Shenzhen Park, in principle, the guiding funds will merely collect proceeds equal to the interest of theinvestment backat the lending rate in effect for the same time period, and then leave the rest part of the capital gains to the sub-fund management organization.

3. Time of Application

3.1 Applications shall be accepted throughout the year. 

4.Applicants and Conditions for Application

4.1 Sub-fund managers who intend to apply for the guiding funds shall conduct compliance self-check and satisfy all the requirements set in the compliance self-check form for sub-funds. 

5.Application Materials

5.1 Application Form of Shenzhen Futian Guiding Fund Investment Co., Ltd. for Contributing Capital to Sub-funds.

5.2 Applications of Shenzhen Futian XX Investment Fund.

5.3 Business licenses, articles of association/partnership agreements and registration/filing certificates of the applicants, the ID certificates of the applicants’ legal representatives or executive partners or their nominees, the financial reports of the applicants orsubstantial shareholders/general partners for the past three (3) accounting years, and the audited financial reports of the funds managed by the applicants for the past three (3) accounting years.

5.4 Letters of commitment to contribute, materials proving the ability to contribute, business licenses (if any) affixed with seals, and ID card copies of private contributors. 

5.5 Letters of commitment pledging the genuineness of the application materials.

5.6 Sub-fund compliance self-check form.

6.Application Procedures

6.1 Application submission 

6.1.1 The applicants shall submit applications and relevant materials and theguidingfund pre-examines the submissions. Those approved after the pre-examination will be referred to the Investment Management Committee of Futian District Government Guiding Fund for deliberation and approval. 

6.2 Due diligence investigations and expert reviews

6.2.1 Theguidingfund entrusts the third-party organizations to conduct due diligence investigations into sub-fund management organizations and applications and organize expert reviews at the same time. 

6.3 Public notification 

6.3.1 Theguidingfund notifies the initial plans of proposed sub-funds on its official website. Those without objections will be forwarded to the Investment Management Committee for Futian District Government Guiding Fund for decision-making. 

6.4 Investment decisions

6.4.1 The Investment Management Committee for Futian District Government Guiding Fund examines the materials and makes decisions based on them. 

7.Others

7.1 These guidelines shall be effective as of December11,2021, for a period of one (1) year.

7.2 Please contact Shenzhen Futian Guiding Fund Co., Ltd. via the telephone number366-765-81.