Circulars for Members (≤2023)

MEMBERS

Archived circulars up to 2023. For latest circulars click here.

2023
Date Circular Number Circular Title
26/12/2023 ID/UTMC&PRSP/FMS/JW-TQ/010-23 Survey on Suitability Assessment Form incorporating Behavioural Finance
06/12/2023 ID/UTMC/JW-TQ/009-23 Data Collection for the Purpose of Presenting Empirical Unit Trust Data to the MOF for the Reinstatement of Section 61 of Income Tax Act
01/12/2023 SRV/AL/SM-AS-SI/353-23 Requirement to Conduct Annual Compliance Review as Stipulated under Rule 3.4.6 of FIMM’s Consolidated Rules (FCR)
01/12/2023 PDS/ALL/SNZ-AN/019-23 FIMM Virtual Examination (iFVE) Schedule
(January, February and March 2024)
23/10/2023 ID/Members/ID-JW-PV/018-23 Fund Volatility Rating Methodology Survey
18/10/2023 ID/UTMC&PRSP/FMS/JW-TQ/008-23 Funds Malaysia System (FMS): Review and Update Funds Information
16/10/2023 RD/ALL/SM/SO/CC-af/017-23 Year 2024 Renewal and Annual Membership Subscription Fee (ASMF) / Annual Fee
09/10/2023 LRA/ALL/SM-AB-HY/015-23 Amendments to FIMM’s Consolidated Rules dated 1 June 2016
06/10/2023 LRA/ALL/SM-AB-HY/016-23 Amendments to FIMM Code of Ethics
29/09/2023 ISRV/Distributors/SM-AS-az/267-23 Invitation to FIMM’s Regulatory Briefing – 10 October 2023
01/09/2023 PDS/ALL/SNZ-AN/011-23 FIMM Virtual Examination (iFVE) Schedule
(October, November and December 2023)
24/08/2023 ID/Members/ID-JW-PV/013-23 FIMM 2023 Investment Management Survey
06/06/2023 PDS/ALL/SNZ-AN/007-23 FIMM Virtual Examination (iFVE) Schedule
(July, August and September 2023)
08/05/2023 R&A/EPF/LFY-IEO/002-23 Industry Briefing on the Enhancement of e-PPA Agreement
01/03/2023 PDS/ALL/SNZ-AN/003-23 FIMM Virtual Examination (iFVE) Schedule
(April, May and June 2023)
17/02/2023 ID/Members/ID-JW-PV/002-23 Issuance of Funds Malaysia System (“FMS”) User Manual and Revision of Request Forms Pertaining to FMS
2022

 

Date Circular Number Circular Title
5/12/2022 IT/ALL/CSD/RY-lh/027-22 Update on Migration of FIMM Integrated System (FIS) and Fund Malaysia System (FMS) to Cloud
2/12/2022 ID/Nominee/KLR-DL-JW-EK/026-22 Responsibilities of UTMCs and IUTAs to Ultimate Beneficial Owners under the Nominee System
1/12/2022 PDS/ALL/SNZ/021-24 FIMM Virtual Examination (IFVE) Schedule (January, February, and March 2023)
30/11/2022 ISRV/AL/SM-AS-llt/022-22 Requirement to Conduct Annual Compliance Review as Stipulated under Rule 3.4.6 of FIMM’s Consolidated Rules
25/11/2022 PDS/ALL/SNZ-SA/018-23 FIMM Virtual Examination – Examination Cancellation on 28 November 2022
22/11/2022 PDS/ALL/SNZ/021-22 FIMM Virtual Examination – Examination Reschedule from 3 December 2022 to 2 December 2022
15/11/2022 IT/ALL/CSD/RY-lh/020-22 Migration of FIMM Integrated System (FIS) and Fund Malaysia System (FMS) to Cloud
1/11/2022 ISRV/Distributors/SM-AS-ha/017-22 Invitation to FIMM’s Regulatory Briefing, 22 November 2022
21/10/2022 PDS/ALL/SNZ-SA/018-22 FIMM Virtual Examination – Examination Cancellation on 19 November 2022
06/10/2022 RD/AL/SM/SO/CC-af/014-22 Year 2023 Renewal and Annual Membership Subscription Fee (AMSF)/ Annual Fee
28/09/2022 ID/FMS/KLR-DL-JW-sf/006-22 Funds Malaysia System (FMS): Review and Update Funds Information
24/08/2022 RD/ALL/SM/SO-af/012-22 BACKGROUND SCREENING FOR NEW CONSULTANTS
04/08/2022 PDS/ALL/SNZ-ms/011-22 FIMM Virtual Examination (ifVE) Schedule (September – December 2022)
26/07/2022 R&A/EPF/DL-LFY-YYY-WNB/005-22 EPF MEMBERS INVESTMENT SCHEME (EPF-MIS)
26/05/2022 PDS/ALL/SNZ-ms/009-22 FIMM Virtual Examination (iFVE) Schedule (June, July and August 2022)
15/04/2022 PDS/ALL/SNZ-ms/008-22 Misconducts during Interim FIMM Virtual Examination (IFVE)
01/04/2022 PDS/ALL/SNZ-ms/007-22 FIMM Virtual Examination (iFVE) Schedule – Q2 2022 (April- June 2022) – Amendment
10/03/2022 PDS/ALL/SNZ-ms/006-22 FIMM Virtual Examination Schedule – Q2 2022 (April- June 2022) – Amendment
02/03/2022 PDS/ALL/SNZ-ms/004-22 FIMM Virtual Examination Schedule – Q2 2022 (April- June 2022)
12/01/2022 ISRV/AL/SM-AS-ha/002-22 Sharing of Federation of Investment Managers Malaysia’s (FIMM) Supervisory Observations
2021
Date Circular Number Circular Title
01/12/2021 ISRV/AL/SM-AS-llt/066-21 Requirement to Conduct Annual Compliance Review (ACR) as Stipulated Under Rule 3.4.6 Of FIMM’s Consolidated Rules (FCR)
01/12/2021 PDS/AL/SNZ-ms/067-21 FIMM Virtual Examination Schedule – Q1 2022 (January- March 2022)
25/10/2021 ISRV/Distributors/KLR-SM-AS-ha/064-21 FIMM’s Regulatory Industry Briefing 2021
14/10/2021 PDS/AL/SNZ /063-21 FIMM e-Learning Portal
07/10/2021 BR/AL/SM/SO/VAL-af/061-21 YEAR 2022 RENEWAL AND ANNUAL MEMBERSHIP SUBSCRIPTION FEE (AMSF)/ ANNUAL FEE FOR: PRP, IUTA/IPRA, CUTA/CPRA AND UTS/PRS
04/10/2021 CCD/IEWG/RMY-MMR/057-21 Invitation to Participate as Industry Education Working Group Members for the Development of an Industry Education and Media Engagement Plan
01/10/2021 RD/AL/KLR/SM/SO-cc/060-21 REGISTRATION REQUIREMENTS FOR EXPERIENCED UTS CONSULTANTS AS PRS CONSULTANTS
24/09/2021 PDS/AL/KOH-SNZ /056-21 Interim FIMM Virtual Examination (iFVE) – iFVE Schedule for Q4 2021
12/08/2021 PDS/AL/SNZ-ms/053-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – NATIONWIDE 2 – 28 SEPTEMBER 2021
11/08/2021 PDS/AL/KOH-SNZ /052-21 Interim FIMM Virtual Examination (iFVE) – Additional Sessions Dedicated for Bahasa Malaysia (BM)
09/08/2021 RD/AL/KLR/SM/SO-cc/051-21 Operational Change – Cessation in Issuance of Physical FIMM Authorisation Cards for Unit Trust Schemes and Private Retirement Schemes Consultants
23/07/2021 PDS/AL/KOH-SNZ /049-21 Interim FIMM Virtual Examination (iFVE) – Expansion of iFVE capacity and Additional iFVE Schedule for the Months of August and September 2021
09/07/2021 PDS/AL/SNZ-ms/048-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – NATIONWIDE 13 – 29 JULY 2021
29/06/2021 PDS/AL/SNZ-ms/046-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – NATIONWIDE 28 JUNE – 12 JULY 2021
25/06/2021 IT/AL/CEO/LH-ah/045-21 PREPARATION FOR FIMM ONLINE PORTAL GO-LIVE
18/06/2021 PDS/AL/SNZ-ms/039-21 FIMM EXAMINATION SCHEDULE – JULY & SEPTEMBER 2021 (CENTRE-BASED)
14/06/2021 PDS/AL/SNZ-ms/041-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – NATIONWIDE 15 – 28 JUNE 2021
10/06/2021 PDS/AL/KOH-SNZ /040-21 Interim FIMM Virtual Examination (iFVE) – New Sessions in July and August 2021
01/06/2021 IT/AL/CEO/LH-ah/034-21 INDUSTRY BRIEFING ON FIMM ONLINE PORTAL
01/06/2021 PDS/AL/SNZ-ms/035-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – NATIONWIDE 1 UNTIL 14 JUNE 2021
17/05/2021 PDS/AL/KOH-SNZ /030-21 Interim FIMM Virtual Examination (iFVE)-New Sessions in June 2021
11/05/2021 PDS/AL/SNZ-ms/025-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – NATIONWIDE 12 MAY UNTIL 7 JUNE 2021
10/05/2021 PDS/AL/SNZ-ms/024-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – PULAU PINANG AND IPOH 10 UNTIL 23 MAY 2021
06/05/2021 PDS/AL/SNZ-ms/023-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – KUALA LUMPUR AND JOHOR BAHRU – 7 UNTIL 20 MAY
05/05/2021 PDS/AL/SNZ-ms/022-21 CANCELLATION OF FIMM EXAMINATION SESSIONS – SELANGOR 6 UNTIL 17 MAY 2021
28/04/2021 PDS/AL/SNZ-ms/020-21 Cancellation of FIMM Examination Session in Tawau (8 May 2021)
18/03/2021 PDS/AL/SNZ-ms/015-21 FIMM EXAMINATION SCHEDULE – APRIL TO JUNE 2021 KOTA KINABALU
10/03/2021 PDS/AL/SNZ-ms/012-21 FIMM EXAMINATION SCHEDULE – APRIL TO JUNE 2021
09/03/2021 PDS/AL/SNZ-ms/011-21 FIMM EXAMINATIONS: RE-OPENING OF REMAINING EXAMINATION CENTRE
04/03/2021 ISRV/Distributors/KLR-SM-AS/034-21 Sharing of The Federation of Investment Managers Malaysia’s (FIMM) Supervisory Observations
04/03/2021 PDS/AL/SNZ-ms/010-21 FIMM EXAMINATIONS: RE-OPENING OF SELECTED EXAMINATION CENTRE NATIONWIDE AND SESSION CANCELATION
02/03/2021 PDS/AL/SNZ-ms/009-21 Cancellation of FIMM Examination Sessions – Sarawak
17/02/2021 PDS/AL/SNZ-ms/008-21 Cancellation of FIMM Examination Session Nationwide (20 February – 4 March 2021)
10/02/2021 PDS/AL/KOH-SNZ /007-21 Interim FIMM Virtual Examination (iFVE)
03/02/2021 PDS/AL/SNZ-ms/006-21 Cancellation of FIMM Examination Sessions Nationwide (6 – 18 February 2021)
26/01/2021 PDS/AL/KOH-SNZ/005-21 2021 FIMM Regulatory Training on Code of Ethics (2021 FIMMCOE) – First Series
22/01/2021 PDS/AL/SNZ-ms/004-21 Cancellation of FIMM Examination Sessions – Nationwide
12/01/2021 PDS/AL/SNZ-ms/003-21 Cancellation of FIMM Examination Sessions – Nationwide
07/01/2021 PDS/AL/KOH-SNZ-ms/002-21 Cancellation of FIMM Examination Sessions – Kota Bharu & Ipoh
05/01/2021 PDS/AL/KOH-SNZ-ms/001-21 CHANGES IN EXAMINATION CENTRE-IPOH, PERAK
2020
Date Circular Number Circular Title
30/12/2020 R&A/KOH-LFY-IEO/014-20 Employees Provident Fund Members Investment Scheme (EPF-MIS) – EPF-MIS Fund Evaluation 2021
29/12/2020 PDS/AL/KOH-SNZ-ms/052-20 Cancellation of FIMM Examination Sessions – Kuala Lumpur, Petaling Jaya, Bayan Lepas, Johor Bahru, Kota Kinabalu, Sandakan, Tawau & Seremban
11/12/2020 PDS/AL/KOH-SNZ-ms/051-20 Cancellation of FIMM Examination Sessions – Ipoh
07/12/2020 PDS/AL/KOH-SNZ-ms/050-20 Cancellation of FIMM Examination Sessions – Kuala Lumpur, Petaling Jaya, Bayan Lepas & Johor Bahru
03/12/2020 PDS/AL/KOH-SNZ-ms/048-20 FIMM EXAMINATION SCHEDULE – JANUARY TO MARCH 2021
30/11/2020 ISRV/AL/SM-AS-llt/049-20 REQUIREMENT TO CONDUCT ANNUAL COMPLIANCE REVIEW (ACR) AS STIPULATED UNDER RULE 3.4.6 OF FIMM’S CONSOLIDATED RULES (FCR)
25/11/2020 PDS/AL/KOH-SNZ-ms/047-20 FIMM EXAMINATION CENTRE RE-OPENING – MELAKA, JOHOR BAHRU, ALOR SETAR AND KUALA TERENGGANU
20/11/2020 PDS/AL/KOH-SNZ-ms/046-20 Cancellation of FIMM Examination Sessions on 21 November and 12 December 2020 – Kota Bharu
09/11/2020 PDS/AL/KOH-SNZ-ms/045-20 Cancellation of FIMM Examination Sessions – Kuching and Other Centres in Peninsular Malaysia except Kuantan and Kota Bharu
05/11/2020 PDS/AL/KOH-SNZ-ms/044-20 Cancellation of FIMM Examination Sessions on 7 to 19 November 2020 – Bayan Lepas
04/11/2020 PDS/AL/KOH-SNZ-ms/043-20 Cancellation of FIMM Examination Sessions on 7 November 2020 – Seremban
28/10/2020 BR/AL/KLR/SM/SO-cc/040-20 Industry Consultation – Amendments to FIMM’s Registration Manual
28/10/2020 PDS/AL/KOH-SNZ-MS/041-20 Cancellation of FIMM Examination Sessions on 7 November 2020 – OUM Sandakan, Sabah
27/10/2020 PDS/AL/KOH-SNZ-MS/039-20 Cancellation of FIMM Examination Sessions from 27 October to 9 November 2020 – Kuala Lumpur and Selangor and Invitation to Organise FIMM Examination at Members/Distributors’ Premises
14/10/2020 PDS/AL/KOH-SNZ-MS/037-20 Cancellation of FIMM Examination Sessions on 17 October 2020 – Kota Bharu, Kelantan
13/10/2020 PDS/AL/KOH-SNZ-MS/036-20 Cancellation of FIMM Examination Sessions from 14 to 27 October 2020 – Kuala Lumpur and Selangor
13/10/2020 BR/AL/SM/SO/VAL-af/035-20 YEAR 2021 RENEWAL AND ANNUAL MEMBERSHIP SUBSCRIPTION FEE (“AMSF”)/ANNUAL FEE FOR PRP, IPRA, CUTA, CPRA, UTS AND PRS
12/10/2020 ISRV/AL/SM-AS-llt-034-20 REVISED ANNUAL COMPLIANCE REVIEW (ACR) CHECKLISTS FOR 2020
09/10/2020 PDS/AL/KLR-KOH-MS/032-20 FIMM EXAMINATION: ADDIONAL EXAMINATION SESSIONS FOR MIRI, SARAWAK
09/10/2020 PDS/AL/KOH-SNZ-ms/033-20 Cancellation of FIMM Examination Sessions on 24 October 2020 – OUM Sandakan, Sabah
05/10/2020 PDS/AL/KOH-SNZ-MS/031-20 Cancellation of FIMM Examination Sessions on 15 October 2020 – Kedah
17/09/2020 PDS/AL/KOH-SNZ-ms/029-20 FIMM EXAMINATION AD-HOC EXAMINATION CENTRE
11/09/2020 PDS/AL/KLR-KOH-MS/030-20 Cancellation of FIMM Examination Sessions on 26 September 2020 – Kedah
10/09/2020 ISRV/Distributors/KLR-SM-AS-ha/190-20 FIMM 2020 Industry Briefing on Regulatory Activities & Initiatives
07/09/2020 PDS/AL/KOH-SNZ-ms/028-20 FIMM EXAMINATION CENTRE RE-OPENING OF ADDITIONAL EXAMINATION CENTRES
28/08/2020 PDS/AL/KOH-SNZ-ms/027-20 FIMM EXAMINATION SCHEDULE – OCTOBER TO DECEMBER 2020
30/03/2020 ISRV/ALL/SM/AS/081-20 Extension Of Submission Deadline For Quarterly Complaints Report And Trend Analysis
17/03/2020 PDS/AL/KLR-KOH-MS/005-20 FIMM Examination Cancellation on 19 & 21 March 2020
24/02/2020 SEC/OM/CEO/COM(AA)/003-20 IMPLEMENTATION OF AMENDMENTS TO FIMM’S CONSTITUTION (ARTICLES OF ASSOCIATION)
2019
Date Circular Number Circular Title
17/12/2019 LRA/ALL/JG/SM/022/19 FIMM’s REVISED CODE OF ETHICS
23/08/2019 PDS/2019COE/KLR-KOH-SNZ/013-19 2019 FIMM Regulatory Training on Code of Ethics (2019 FIMMCOE)
01/03/2019 BR/AL/SO-val/003-19 FIMM EXAMINATION CANCELLATION – RELOCATION OF STAMFORD COLLEGE, MELAKA
28/02/2019 R&A/EPF/KOH-FY/002-19 Draft Revised Guidelines on EPF-MIS
26/02/2019 PDS/CPDTRACKER/KLR-KOH-SNZ/002-19 Briefing and Training on FIMM Continuing Professional Development (CPD) Tracker System
2016
Date Circular Number Circular Title
04/10/2016 PDS/FH/KOH/SNZ-ay/037-16 2016 FIMM ANNUAL CONVENTION – 20 OCTOBER 2016, SIME DARBY CONVENTION CENTRE
09/09/2016 PDS/2016Seminars/FH-KOH-SNZ-275-16 2016 FIMM SEMINARS: SECOND SERIES
28/06/2016 PDS/2016Seminars/NO-KOH-SNZ/199-16 2016 FIMM SEMINARS – FIRST SERIES
2015
Date Circular Number Circular Title
30/11/2015 I&SP/M/NO-Koh-za/015-15 Issuance of the FIMM Guidance on Simple Language and Effective Drafting Practices for Prospectus
03/11/2015 I&SP/M/NO-Koh-za/064-15 Notification to the Securities Commission Malaysia (SC)
14/07/2015 I&SP/AL/NO-KOH-jw/040-15 DUTIES AND RESPONSIBILITIES OF MEMBERS AND REGISTERED PERSONS IN HELPING INVESTORS TO MAKE INFORMED INVESTMENT DECISIONS UNDER SWTICHING TRANSACTIONS
08/07/2015 I&SP/M/NO-Koh-za/037-15 REMINDER: Notification to the Securities Commission Malaysia (SC) on Huge Redemptions
05/06/2015 PDS/2015Seminars/NO-KOH-jes268-15 and PDS/2015Seminars/NO-KOH-hzn/308-15 2015 FIMM SEMINARS : SECOND AND THIRD SERIES
12/05/2015 CC/AL/ZAI-hk/023-15 FIMM PUBLIC SEMINARS 2015
05/05/2015 PDS/2015Seminars/NO-KOH-jes/219-15 2015 FIMM SEMINARS
19/03/2015 I&SP/M/NO-Koh/005-15 LODGE AND LAUNCH FRAMEWORK
09/02/2015 ISRV/M/NO-aj/003-15 AMENDMENTS TO BURSA MALAYSIA SECURITIES BERHAD MAIN MARKET AND ACE MARKET LISTING REQUIREMENT IN VARIOUS AREAS
2014
Date Circular Number Circular Title
07/10/2014 BR/AL/MN/TLK-af/050-14 PAYMENT OF: a) ANNUAL MEMBERSHIP SUBSCRIPTION FEE (“AMSF”) OR ANNUAL FEE PF MEMBERS, IUTA OR CUTA FOR THE YEAR 2015 b) ANNUAL RENEWAL FEE FOR UNIT TRUST CONSULTANTS (UTC) FOR THE YEAR 2015
03/10/2014 BR/AL/MN/SC-yy/052-14 SUBMISSION OF APPLICATION FOR RE-SIT OF COMPUTERISED UNIT TRUST EXAMINATION (CUTE)
25/09/2014 BR/AL/MN-sc/049-14 NOTIFICATION ON THE MARKETING AND DISTRIBUTION OF UNIT TRUST SCHEMES (“UTS”) AND PRIVATE RETIREMENT SCHEMES (“PRS”)
21/08/2014 PDS/AL/MN-sa/021-14 REVISED CONTINUING PROFESSIONAL DEVELOPMENT (CPD) GUIDELINES VERSION 2.1
18/08/2014 CC/AL/MN-zn/036-14 FIMM’S 2014 ANNUAL CONVENTION. 8 OCTOBER 2014, SIME DARBY CONVENTION CENTRE
14/08/2014 PDS/AL/2014Seminar/MN-KOH-jn/384-14 2014 FIMM SEMINARS
07/07/2014 BR/AL/TLK-yy/030-14 REPLACEMENT DATE FOR COMPUTERIZED UNIT TRUST EXAMINATION (CUTE) SESSION IN AUGUST 2014 – STAMFORD COLLEGE MELAKA
20/06/2014 BR/AL/MN-VAL/021-14 Computerized Unit Trust Examination (CUTE) Schedule for Tawau, Sabah (July-September 2014)
17/06/2014 PDS/AL/2014Seminar/MN-jn/311-14 CANCELLATION OF FIMM SEMINARS
22/05/2014 PDS/AL/2014Seminar/MN-jn/244-14 2014 FIMM SEMINARS – REVISED SCHEDULE
07/05/2014 PDS/AL/2014Seminar/MN-jn/225-14 2014 FIMM SEMINARS
03/04/2014 LSRA/AL/MN-nh/012-14 FEEDBACK ON PROPOSAL PAPER UNDER PERSONAL DATA PROTECTION ACT (PDPA) 2010
03/03/2014 LSRA/AL/MN-nh/009-14 FEEDBACK ON PROPOSAL PAPERS: (i) 2/2014 – GUIDE ON COMPLIANCE OF PERSONAL DATA PROTECTION ACT (PDPA) 2010 (ii) 3/2014 – GUIDE ON THE MANAGEMENT OF EMPLOYEE DATA UNDER PERSONAL DATA PROTECTION ACT (PDPD) 2010
29/01/2014 CC/AL/SC/AKK-zn/036-14 The Malaysian Code for Institutional Investors 2014 (CODE)
29/01/2014 BR/AL/SS-yy/002-14 Replacement Date for Computerized Unit Trust Examination (CUTE) Session in March 2014 – Kota Bahru, Kelantan
28/01/2014 Chairman Office/M/AKK-KOH-LIM/003-14 Goods and Services Tax (GST): 1) Awareness Session; and 2) Additional Queries and Concerns
2013
Date Circular Number Circular Title
21/11/2013 BR/AL/TLK-yy/054-13 Computerized Unit Trust Examination (CUTE) – CUTE Schedule from Jan – Mar 2014
19/11/2013 CC/AL/ALFI/AKK-ZN/053-13 Invitation: ALFI GLOBAL FUND INDUSTRY SEMINAR
15/11/2013 CC/AL/SC/AKK-ZN/052-13 ASEAN Capital Market Forum (ACMF) – Industry Briefing
2012
Date Circular Number Circular Title
18/06/2012 LSRA/OM/AZ-BG/009-12 Industry Feedback to The Law Harmonisation Committee
31/05/2012 LSRA/OM/AZ-ck/008-12 Eighteenth (18th) Annual General Meeting

Regulations

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