Guidelines and Regulations

Industry Standards

The Industry Standards are FIMM rules for all UTMC, IUTA, CUTA and UTC to uphold the good image of the industry.

FIMM GUIDANCE ON SIMPLE LANGUAGE AND EFFECTIVE DRAFTING PRACTICES FOR PROSPECTUS
FIMM Guidance on Simple Language and Effective Drafting Practices for Prospectus
(Date Revised : 19 August 2016)
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Summary of amendments
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Investment Management Standards
All Investment Management Standards must be complied by all members and registered persons in their operations, unless exemption is given by the SC.
IMS-1
“Dealing Cut-Off Time For Unit Purchases and Redemptions”.
(Date Issued : 8 September 2005)
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IMS-2
” Forward Pricing To Be Adopted By New Unit Trust Schemes”
(Date Issued : 22 September 2006)
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IMS-3
“Unit Trust Schemes With Foreign Portfolio : For The Purpose of Determining Unit Trust Scheme’s Net Asset Value,Foreign Portfolio Should Be Valued Based On Last Done Prices At The Close Of The Business Day Of The Respective Markets On The Same Calendar Day” (Date Issued : 22 September 2006)
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IMS-4 (2nd Edition)
“Unit Trust Schemes With Foreign Portfolio: Bid Foreign Exchange Rate For Valuation Of Unit Trust Schemes”
(Date Issued : 23 June 2010)
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IMS-5
“Unit Trust Schemes With Foreign Portfolio: T+2 Publication of Scheme Prices, Fees and Charges in Newspapers”
(Date Issued : 17 October 2006)
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IMS-6
“Single Pricing Regime: Minimum Disclosure Standard In The Unit Purchase And Redemption Confirmation Statements”
(Date Issued : 17 May 2007)
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IMS-7
“Incorrect Pricing Of Scheme Units: Correction And Reimbursement”
(Date Issued : 30 August 2007)
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IMS-9
“Measuring and Disclosure of Volatility for Unit Trust Schemes and Recognized Funds”
(Date Issued : 27 February 2009)
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PROFESSIONAL STANDARDS
Code of Ethics and Rules of Professional Conduct (Unit Trust Funds)
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FIMM’s CONSOLIDATED RULES
FIMM’s Consolidated Rules – Effective date 01 June 2016
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REGISTRATION MANUAL
Registration Manual – Effective date 01 June 2016
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SC’s GUIDELINES
Collective Investment Schemes
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