UNIT TRUST APPLICATION KIT

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

NODOCUMENTS REQUIREDDOWNLOAD
1 Cover letter signed by an authorised signatory specifying the registration that is being sought and the appointment of AR
2Printed online applicationClick here
3Board of Directors’ Resolution approving the application of membership and appointment of the ARSample
4Declaration signed by a director of the applicantUTS 002
5Latest Form 8 Or 9, Form 13, Form 24 and Form 49 certified true copy by the Company Secretary
6Certified true copy of relevant CMSL and approval that verify the eligibility of the applicant
7Payment of application and annual feesUTS Fees Table 1
8Such other information and/or documents as requested by FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover 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
2Printed online applicationClick here
3Duly completed and signed Application Form and Distribution Points / Mobile Distribution PointsUTS 001 P1
UTS 001 P2
4Board of Directors’ Resolution approving the appointment of the ARSample
5Declaration signed by a director of the applicantUTS 002
6Latest Form 8 Or 9, Form 13, Form 24 and Form 49 certified true copy by the Company Secretary
7Certified true copy of relevant CMSL and approval that verify the eligibility of the applicant (if applicable)
8A 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)
9Proposal for the marketing and distribution of Unit Trust SchemeTemplate (UTS)
10A copy of the company’s profile and organisational structure depicting related, subsidiary, associate and holding companies with percentage of shareholding in each category
11A copy of Company’s latest audited accounts of draft/management accounts (for CUTA only)
12A copy of the applicant’s professional indemnity insurance (for CUTA only)
13Payment of application and annual feesUTS Fees Table 1
14Such other information and/or documents as requested by FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Confirmation of AUM as at 31 December of the year (for UTMC)UTS 003 (1)
2A copy of System NAV Report as at 31 December of the year (for UTMC)UTS 003 (2)
3Confirmation of Total Gross Sales for the year ended 31 December (for IUTA)UTS 004 (1)
4A copy of System Total Gross Sales Report for the year ended 31 December (for IUTA)UTS 004 (2)
5Such other information and/or documents as requested by the FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover Letter duly signed by Authorised Representative
2Form – Notification on Marketing and Distribution of Unit Trust Scheme (“UTS”)UTS 005
3Form – Distribution Point(s) / Mobile Distribution Points(s)UTS 001 P2
4A certified true copy of the relevant pages of the valid distribution arrangement
5A certified true copy of an appointment letter / supplemental arrangement for subsequent list of UTS for distribution (if applicable)
6A copy of the consent letter from the UTMC to allow for sub-distribution of their UTS (if applicable)
7Such other documents as requested by the FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover Letter duly signed by Authorised Signatory
2Form – Notification on Marketing and Distribution of UTSUTS 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)
5A copy of the consent letter from the UTMC to allow for sub-distribution of their UTS (if applicable)
6Such other documents as requested by the FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover letter duly signed by the AR
2Form – Notification for Withdrawal of Registration or Cessation of Operations of UTMC, IUTA or CUTAUTS 006
3A copy of Form 18 from SC (for CMSL Holder only)
4Such other documents as requested by the FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover letter duly signed by the AR
2Form – Notification for Withdrawal of Registration or Cessation of Operations of UTMC, IUTA or CUTAUTS 006
3A copy of the order made by the High Court for transfer of assets
4A certified true copy of Form 13 certified by company secretary
5A copy of Form 18 from SC (for CMSL Holder only)
6Such other documents as requested by the FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 001
2List of Candidates
3Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)U001
4One (1) copy of Identity Card (front and back) or passport
5One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph)Sample
6A duly executed Statutory DeclarationSD 001
7A certified true copy of the relevant certificate and qualification
8A 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)
10A 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)
11Evidence of document as a proof of memberships with the relevant bodies
12FeesUTS Fees Table 2

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 002
2List of Consultants
3Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)U001
4One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph)Sample
5A duly executed Statutory DeclarationSD 001
SD 001
6Letter of release from previous UTS Distributor (if applicable)*
7A certified true copy of the relevant Capital Market Services Representative License (“CMSRL”) (if applicable)
8A certified true copy of the relevant Capital Market Services Representative License (“CMSRL”) dealing in securities e.g. remisiers (applicable for Investment Bank only)CL 003
9A letter of Undertaking for merger exercise (if applicable)CL 003
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)
11Evidence of document as a proof of memberships with the relevant bodies
12FeesUTS Fees Table 2

* not required to be submitted to FIMM

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 004
2Application 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
5A duly executed Statutory DeclarationSD 001
6 Evidence of approval by the Securities Commission / relevant authority for the appointment of Chief Executive of a UTMC, IUTA or CUTA
7Evidence of document as a proof of memberships with the relevant bodies
8FeesUTS Fees Table 2

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 004
2Application 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
5A duly executed Statutory DeclarationSD 001
6 Evidence of approval by the Securities Commission / relevant authority for the appointment of Chief Executive of a UTMC, IUTA or CUTA
7Evidence of document as a proof of memberships with the relevant bodies
8FeesUTS Fees Table 2

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 004
2Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)U001
3One (1) copy of Identity Card (front and back) or passport
4One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph)Sample
5A duly executed Statutory DeclarationSD 001
6A certified true copy of Capital Market Services Representative License (“CMSRL”) for fund management
7FeesUTS Fees Table 2

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 004
2Application Form for Registration of Unit Trust Consultant (“UTS Consultant”)U001
3One (1) copy of Identity Card (front and back) or passport
4One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph)Sample
5A duly executed Statutory DeclarationSD 001
6A certified true copy of the relevant certificate for certified holders of CFP/IFP/RFP/Shariah RFP/ChFC (if applicable)
7Evidence 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
8Evidence of document as a proof of memberships with the relevant bodies
9Certified true copy of the certificate of proficiency in financial planning issued by the MFPC
10FeesUTS Fees Table 2

Submission of Application for Renewal of Registration of UTS Consultant

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 005
2List of UTS ConsultantsLIST 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:

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 006
2One (1) Malaysia passport-sized colour photograph (for replacement of FIMM Authorisation Card only)Sample
3FeesUTS Fees Table

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

NODOCUMENTS REQUIREDDOWNLOAD
1Cover LetterCL 007
2List of UTS Consultants

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

NODOCUMENTS REQUIREDDOWNLOAD
1Application FormDownload
2Copy of NRICDownload
3Certified True Copy of Academic Certificate Download
4Statutory Declaration Download
5Photo Resolution Download