Consultant Application Kit (UTS)

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

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
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 relevant Capital Market Services Representative License (“CMSRL”) dealing in securities e.g. remisiers (applicable for Investment Bank only)
10 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)
11 Evidence of document as a proof of memberships with the relevant bodies
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) Malaysia passport-sized colour photograph (name written at the back of the photograph) SAMPLE
5 A duly executed Statutory Declaration

SD 001

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 certified true copy of the relevant Capital Market Services Representative License (“CMSRL”) dealing in securities e.g. remisiers (applicable for Investment Bank only) CL003
9 A letter of Undertaking for merger exercise (if applicable) CL003
10 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)
11 Evidence of document as a proof of memberships with the relevant bodies
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
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 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
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 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 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  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 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 & 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
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 (applicable for item 7(c) and 7(d) above)
10 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
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