CONSULTANT APPLICATION KIT (UTS)
“Unit Trust Scheme Consultant” or “UTS Consultant” means an individual who is duly registered with the Federation of Investment Managers Malaysia to market and distribute UTS .
REGISTRATION OF UTS CONSULTANT
For individual applicant:
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Application Form | Download |
| 2 | Copy of NRIC | Download |
| 3 | Certified True Copy of Academic Certificate | Download |
| 4 | Statutory Declaration | Download |
| 5 | Photo Resolution | Download |
| 6 | FIMM Consent Form | Download |
For submission by Distributor:
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 Note: For any changes on the name, please provide the supporting document as proof of the changes |
|
| 5 | One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) | 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) | |
| 10 | Evidence of document as a proof of memberships with the relevant bodies | |
| 11 | FIMM Consent Form | Download |
| 12 | Fees | UTS Fees Table 2 |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter | CL002 |
| 2 | List of Consultants | |
| 3 | Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) | U001 |
| 4 |
One (1) copy of Identity Card (front and back) or passport Note: For any changes on the name, please provide the supporting document as a proof of the changes |
|
| 5 | One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) | SAMPLE |
| 6 | A duly executed Statutory Declaration | SD 001 |
| 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) | CL003 |
| 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) | |
| 10 | Evidence of document as a proof of memberships with the relevant bodies | |
| 11 | FIMM Consent Form | Download |
| 12 | Fees | UTS Fees Table 2 |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter | CL004 |
| 2 | Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) | U001 |
| 3 |
One (1) copy of Identity Card (front and back) or passport Note: For any changes on the name, please provide the supporting document as a proof of the changes |
|
| 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 | Evidence of approval by the Securities Commission / relevant authority for the appointment of Chief Executive of a UTMC, IUTA or CUTA | |
| 7 | Evidence of document as a proof of memberships with the relevant bodies | |
| 8 | FIMM Consent Form | Download |
| 9 | Fees | UTS Fees Table 2 |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter | CL004 |
| 2 | Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) | U001 |
| 3 |
One (1) copy of Identity Card (front and back) or passport Note: For any changes on the name, please provide the supporting document as a proof of the changes |
|
| 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 | 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 | Evidence of document as a proof of memberships with the relevant bodies | |
| 9 | FIMM Consent Form | Download |
| 10 | Fees | UTS Fees Table 2 |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter | CL004 |
| 2 | Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) | U001 |
| 3 |
One (1) copy of Identity Card (front and back) or passport Note: For any changes on the name, please provide the supporting document as a proof of the changes |
|
| 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 | A certified true copy of Capital Market Services Representative License (“CMSRL”) for fund management | |
| 7 | FIMM Consent Form | Download |
| 8 | Fees | UTS Fees Table 2 |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter | CL004 |
| 2 | Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) | U001 |
| 3 |
One (1) copy of Identity Card (front and back) or passport Note: For any changes on the name, please provide the supporting document as a proof of the changes |
|
| 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 | A certified true copy of the relevant certficate and qualification | |
| 7 | A certified true copy of the relevant certificate for certified holders of CFP/IFP/RFP/Shariah RFP/ChFC | |
| 8 | Evidence of result slip that indicates the candidate has passed: a) Module 1 & 3 of CFP b) Module 1 & 3 of IFP c) Module 1, 3 & 6 of RFP d) Module 1, 3 & 6 of Shariah RFP |
CL004 |
| 9 | Evidence of document as a proof of memberships with the relevant bodies | |
| 10 | Certified true copy of the certificate of: a) Associate of Financial Planner by FPAM (applicable for item 8(a) and 8(b) above) b) Proficiency in Financial Planning issued by the MFPC (applicable for item 8(c) and 8(d) above) |
UTS Fees Table 2 |
| 11 | FIMM Consent Form | Download |
| 12 | Fees | UTS Fees Table 2 |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter | CL 005 |
| 2 | List of ACTIVE UTS Consultant as at December for CPD Fulfillment | LIST 001 |
| 3 | A duly executed Statutory Declaration For Renewal of Registration – on a biennially basis* | SD 002 |
*Not required to be submitted to FIMM
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter | CL006 |
| 2 | Fees | UTS Fees Table 2 |
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 |