UTS Application Kit

Businessmen discussing with documents

1) Submission of Application for Registration of UTMC / Admission of Membership

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover letter signed by an authorised signatory specifying the registration that is being sought and the appointment of AR
2 Printed online application Click here
3 Board of Directors’ Resolution approving the application of membership and appointment of the AR
Sample
4 Declaration signed by a director of the applicant
UTS 002
5 Latest Form 8 Or 9, Form 13, Form 24 and Form 49 certified true copy by the Company Secretary
6 Certified true copy of relevant CMSL and approval that verify the eligibility of the applicant
7 Payment of application and annual fees
UTS Fees Table 1
8 Such other information and/or documents as requested by FIMM
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2) Submission of Application for Registration as Institutional UTS Adviser (“IUTA”) / Corporate UTS Adviser (“CUTA”)

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover letter signed by the AR specifying the registration that is being sought. If the AR appointed for the registration as IUTA is not the same as the AR appointed for the registration as UTMC / PRS Provider / IPRA / CPRA, the cover letter shall be signed by an authorised signatory specifying the registration that is being sought and the appointment of AR
2 Printed online application Click here
3 Duly completed and signed Application Form and Distribution Points / Mobile Distribution Points
UTS 001 P1
UTS 001 P2
4 Board of Directors’ Resolution approving the appointment of the AR
Sample
5 Declaration signed by a director of the applicant
UTS 002
6 Latest Form 8 Or 9, Form 13, Form 24 and Form 49 certified true copy by the Company Secretary
7 Certified true copy of relevant CMSL and approval that verify the eligibility of the applicant (if applicable)
8 A copy of unexpired license (e.g banking lisence issued by Ministry of Finance) which has been certified true copy by the company secretary, advocate & solicitor or notary public (if applicable)
9 Proposal for the marketing and distribution of Unit Trust Scheme
Template (UTS)
10 A copy of the company’s profile and organisational structure depicting related, subsidiary, associate and holding companies with percentage of shareholding in each category
11 A copy of Company’s latest audited accounts of draft/management accounts (for CUTA only)
12 A copy of the applicant’s professional indemnity insurance (for CUTA only)
13 Payment of application and annual fees
UTS Fees Table 1
14 Such other information and/or documents as requested by FIMM
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3) Submission for Continuous Registration of UTMC, IUTA or CUTA

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Confirmation of AUM as at 31 December of the year (for UTMC)
UTS 003 (1)
2 A copy of System NAV Report as at 31 December of the year (for UTMC)
UTS 003 (2)
3 Confirmation of Total Gross Sales for the year ended 31 December (for IUTA)
UTS 004 (1)
4 A copy of System Total Gross Sales Report for the year ended 31 December (for IUTA)
UTS 004 (2)
5 Such other information and/or documents as requested by the FIMM
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4) Submission of Notification for Commencement of Operations

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter duly signed by Authorised Representative
2 Form – Notification on Marketing and Distribution of Unit Trust Scheme (“UTS”)
UTS 005
3 Form – Distribution Point(s) / Mobile Distribution Points(s)
UTS 001 P2
4 A certified true copy of the relevant pages of the valid distribution arrangement
5 A certified true copy of an appointment letter / supplemental arrangement for subsequent list of UTS for distribution (if applicable)
6 A copy of the consent letter from the UTMC to allow for sub-distribution of their UTS (if applicable)
7 Such other documents as requested by the FIMM
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5) Submission of Notification for Marketing and Distribution of Unit Trust Scheme (“UTS”)

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter duly signed by Authorised Signatory
2 Form – Notification on Marketing and Distribution of UTS
UTS 005
3 A certified true copy of the relevant pages of the valid distribution arrangement
4 A certified true copy of an appointment letter / supplemental arrangement for subsequent list of UTS for distribution (if applicable)
5 A copy of the consent letter from the UTMC to allow for sub-distribution of their UTS (if applicable)
6 Such other documents as requested by the FIMM
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6) Submission of Notificaton for Withdrawal or Cessation of UTMC / IUTA / CUTA

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover letter duly signed by the AR
2 Form – Notification for Withdrawal of Registration or Cessation of Operations of UTMC, IUTA or CUTA
UTS 006
3 A copy of Form 18 from SC (for CMSL Holder only)
4 Such other documents as requested by the FIMM
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7) Submission of Notification for Merger and Acquisition by UTMC / IUTA / CUTA

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover letter duly signed by the AR
2 Form – Notification for Withdrawal of Registration or Cessation of Operations of UTMC, IUTA or CUTA
UTS 006
3 A copy of the order made by the High Court for transfer of assets
4 A certified true copy of Form 13 certified by company secretary
5 A copy of Form 18 from SC (for CMSL Holder only)
6 Such other documents as requested by the FIMM
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8) Submission of Application for CUTE

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 001
2 List of Candidates
3 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)
U001
4 One (1) copy of Identity Card (front and back) or passport
5 Two (2) Malaysia passport-sized colour photographs (name written at the back of the photographs) Sample
6 A duly executed Statutory Declaration
SD 001
7 A certified true copy of the relevant certificate and qualification
8 A certified true copy of the relevant Capital Market Services Representative License (“CMSRL”) (if applicable)
9 A certified true copy of the result slip that indicates the candidate has passed Module 1of CFP or IFP or RFP or Shariah RFP (applicable to FIMM Apprenticeship Program for CUTA only) (w.e.f. 1/1/2017)
10 Evidence of document as a proof of memberships with the relevant bodies
11 Fees
UTS Fees Table 2
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9) Submission of application for Registration of Former UTS Consultant / Variation of Registration of UTS Consultant

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 002
2 List of Consultants
3 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)
U001
4 One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) Sample
5 A duly executed Statutory Declaration
SD 001
6 Letter of release from previous UTS Distributor (if applicable)*
7 A certified true copy of the relevant Capital Market Services Representative License (“CMSRL”) (if applicable)
8 A letter of Undertaking for merger exercise (if applicable)
CL 003
9 A certified true copy of the result slip that indicates the candidate has passed Module 1of CFP or IFP or RFP or Shariah RFP (applicable to FIMM Apprenticeship Program for CUTA only) (w.e.f. 1/1/2017)
10 Evidence of document as a proof of memberships with the relevant bodies
11 Fees
UTS Fees Table 2

*Not require to submit to FIMM.

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10) Submission of application for Exemption of CUTE – Chief Executive of a UTMC, IUTA or CUTA

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)
U001
3 One (1) copy of Identity Card (front and back) or passport
4 Two (2) Malaysia passport-sized colour photographs (name written at the back of the photographs) Sample
5 A duly executed Statutory Declaration
SD 001
6 Evidence of approval by the Securities Commission / relevant authority for the appointment of Chief Executive of a UTMC, IUTA or CUTA
7 A certified true copy of the result slip that indicates the candidate has passed Module 1of CFP or IFP or RFP or Shariah RFP (applicable to FIMM Apprenticeship Program for CUTA only) (w.e.f. 1/1/2017)
8 Evidence of document as a proof of memberships with the relevant bodies
9 Fees
UTS Fees Table 2
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11) Submission of application for Exemption of CUTE – Director of a UTMC, IUTA or CUTA who has a minimum of 10 years experience in unit trust or fund management industry

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)
U001
3 One (1) copy of Identity Card (front and back) or passport
4 Two (2) Malaysia passport-sized colour photographs (name written at the back of the photographs) Sample
5 A duly executed Statutory Declaration
SD 001
6 Evidence of approval by Securities Commission / relevant authority for the appointment of Director of a UTMC, IUTA or CUTA
7 Resume or Curriculum Vitae with details describing the Director’s scope of work and specific job description
8 A certified true copy of the result slip that indicates the candidate has passed Module 1of CFP or IFP or RFP or Shariah RFP (applicable to FIMM Apprenticeship Program for CUTA only) (w.e.f. 1/1/2017)
9 Evidence of document as a proof of memberships with the relevant bodies
10 Fees
UTS Fees Table 2
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12) Submission of application for Exemption OF CUTE – Fund Manager who holds a Capital Market Services Representative License (“CMSRL”) to carry out the regulated activity of fund management as defined in the Capital Markets and Services Act 2007 (“CMSA”)

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)
U001
3 One (1) copy of Identity Card (front and back) or passport
4 Two (2) Malaysia passport-sized colour photographs (name written at the back of the photographs) Sample
5 A duly executed Statutory Declaration
SD 001
6 A certified true copy of Capital Market Services Representative License (“CMSRL”) for fund management
7 Fees
UTS Fees Table 2
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13) Submission of application for Exemption of CUTE – an individual who fulfils any of the following qualifications:
(a) Certified Financial Planner (CFP) /  Islamic Financial Planner (IFP)
(b) Registered Financial Planner (RFP) / Shariah Registered Financial Planner (Shariah RFP)
(c) Chartered Financial Consultant (ChFC)
(d) Relevant modules of CFP, IFP, RFP or Shariah RFP

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)
U001
3 One (1) copy of Identity Card (front and back) or passport
4 Two (2) Malaysia passport-sized colour photographs (name written at the back of the photographs) Sample
5 A duly executed Statutory Declaration
SD 001
6 A certified true copy of the relevant certificate for certified holders of CFP/IFP/RFP/Shariah RFP/ChFC (if applicable)
7 Evidence of result slip that indicates the candidate has passed:
a) Module 1, 4 & 5 (before 30/3/2015) or Module 1 & 3 (effective from 30/3/2015) of CFP
b) Module 1, 3 & 5 (before 6/08/2015) or Module 1 & 3 (effective from 6/08/2015) of IFP
c) Module 1, 3 & 6 of RFP
d) Module 1, 3 & 6 of Shariah RFP
8 Evidence of document as a proof of memberships with the relevant bodies
9 Certified true copy of the certificate of proficiency in financial planning issued by the MFPC
10 Fees
UTS Fees Table 2
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14) Submission of Application for Renewal of Registration of UTS Consultant

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 005
2 List of UTS Consultants
LIST 001
3 A duly executed Statutory Declaration For Renewal of Registration – on a biennially basis*
SD 002

*Not require to submit to FIMM.

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15) Submission of Application for Replacement of FIMM Authorisation Card or CUTE Certificate

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 006
2 One (1) Malaysia passport-sized colour photograph (for replacement of FIMM Authorisation Card only)
3 Fees
UTS Fees Table 2
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16) Submission of Notification for Resignation/Termination of UTS Consultant

The applicant is required to submit the following duly completed documents:

NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter
CL 007
2 List of UTS Consultants
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Updated on 01/06/2016