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FEDERATION OF INVESTMENT MANAGERS MALAYSIA (272577-P)
(formerly known as Federation of Malaysian Unit Trust Managers)
19-07-3, 7th Floor, PNB Damansara, No. 19, Lorong Dungun,
Damansara Heights, 50490 Kuala Lumpur.
Tel: 03-2093 2600 Fax: 03-2093 2700
Website: www.fimm.com.my E-mail: [email protected]
SECOND SCHEDULE
PART ONE – APPLICATION FORM
APPLICATION FOR REGISTRATION OF INSTITUTIONAL UNIT TRUST ADVISERS
(IUTA) / CORPORATE UNIT TRUST ADVISERS (CUTA)
(Kindly type or print in BLOCK LETTER and tick (√) where applicable)
1. APPLICATION TYPE DETAILS
CATEGORY:
Institutional Unit Trust Advisers (IUTA)
TYPE OF APPLICANT:
Company (Sdn Bhd)
TYPE OF MARKETING APPROACH:
Direct
Corporate Unit Trust Advisers (CUTA)
Company (Bhd)
Nominee
2. PARTICULARS OF APPLICANT (* applicable to companies incorporated under Companies Act 1965)
NAME OF APPLICANT: _____________________________________________________________________________
REGISTRATION NO.: ___________________________
DATE OF INCORP: _______________________________
REGISTERED ADDRESS: ____________________________________________________________________________
__________________________________________________________________________
__________________________
POSTCODE: ______________________________
CORRESPONDENCE ADDRESS: ______________________________________________________________________
______________________________________________________________________
______________________
POSTCODE: ______________________________
TEL. NO.: ___________________
FAX NO.: __________________
WEBSITE: ________________________
TYPE OF OWNERSHIP:
M’sian Bumi Controlled Company
Foreign Controlled Company
M’sian Non-Bumi Controlled Company
Others: _________________________
(Please specify)
PAID UP CAPITAL: _________________________ NATURE OF BUSINESS: _________________________________
3. CONTACT DETAILS
(a) NAME OF PRIMARY CONTACT PERSON (AS PER NRIC): ____________________________________________
DESIGNATION: _________________________
DEPARTMENT: _________________________________
TEL. NO.: _________________
FAX NO.: __________________
E-MAIL: ________________________
(b) NAME OF ANOTHER CONTACT PERSON (AS PER NRIC): ____________________________________________
DESIGNATION: ________________________
DEPARTMENT: _________________________________
4. DISTRIBUTION POINTS
NUMBER OF PROPOSED DISTRIBUTION POINTS INVOLVED IN THE MARKETING AND DISTRIBUTION OF
UNIT TRUST FUNDS IN THIS APPLICATION: __________________________________________________________
5. UNIT TRUST CONSULTANTS
NUMBER OF UNIT TRUST CONSULTANTS APPOINTED IN THIS APPLICATION: __________________________
(Include only persons who have passed the Computerised Unit Trust Examination)
6. PARTICULARS OF DISTRIBUTION POINTS & UNIT TRUST CONSULTANTS
Please provide a hardcopy of the particulars of each Distribution Point with the respective appointed Unit Trust Consultants
as per the format attached (IUTA/CUTA Second Schedule – Part Two – Distribution Point)
7. CHECKLIST OF ALL NECESSARY DOCUMENTATION (Kindly tick (√) where applicable
(a) Applicable fees payable to FlMM as stipulated in First Schedule of these Regulations
(b) A certified copy of each of Form 8, 9 or 13 whichever is applicable, Form 24 and Form 49 (latest copies) of the
Companies Act 1965
(c) A certified copy of prior approval from the relevant authorities for this application. (if applicable)
(d) A copy of the Financial Planning license issued by SC which has been certified as true copy by the company
secretary, advocate & solicitor or notary public. (if applicable)
(e) A copy of the unexpired license which has been certified as true copy by the company secretary, advocate &
solicitor or notary public confirming the eligibility within the classes of Eligible Person under Clause 3.3 of the
Guidelines For Registration Of Institutional Unit Trust Advisers (IUTA) for the Marketing And Distribution Of
Unit Trusts. (if applicable)
(f) A copy of the company’s profile and organisational structure depicting related, subsidiary, associate and
holding companies with percentage of shareholding in each category. (if applicable)
(g) A copy of the applicant’s professional indemnity. (if applicable)
(h) A copy of the applicant’s proposal for the Marketing and Distribution of Unit Trust.
(i) A duly completed and signed Second Schedule (Part One and Two) of the Regulations.
(j) A declaration by a director that the Company will maintain a minimum paid up capital of RM 100,000
unimpaired by loss at any time for CUTA application and a minimum of RM 5 million of shareholders funds
for IUTA application.
(k) A copy of the Company’s latest audited accounts and draft/management accounts (CUTA only).
8. DECLARATION BY THE INSTITUTIONAL UNIT TRUST ADVISERS (IUTA)/CORPORATE UNIT TRUST
ADVISERS (CUTA)
We confirm that all the information given above and in the attached documents (if any) is true and correct and will form the
basis of our application for registration pursuant to the FIMM Guidelines.
In the event of our application as an Institutional Unit Trust Advisers (IUTA)/Corporate Unit Trust Advisers (CUTA) of
the Federation of Investment Managers Malaysia (FIMM) is being approved, we hereby undertake and agree:
(a)
(b)
(c)
to be bound in all respects
by and to comply with, but not limited to
the Securities Commission’s
Guidelines on Unit Trust and all other relevant Guidelines with regard to unit trusts, and FIMM’s IUTA/CUTA
Guidelines which now are or may hereafter be in force
and all directives, rulings and guidelines issued
thereunder and by the Memorandum of Association and
Articles of Association of the FIMM insofar as they
are applicable to or affect an IUTA/CUTA;
to renew our IUTA/CUTA registration on a timely manner prior to the expiry of the registration and fully settle
all applicable
registration fees and charges such as IUTA/CUTA Annual Fee or any other incidental fees before
or by due date, failing which we will
not hold the FIMM office bearers and Secretariat staff responsible for any
inconveniences and financial
losses as a result of our failure to renew the registration or pay the outstanding
amount(s); and
to ensure at all times that all persons registered as unit trust consultants of the applicant are not a tied agent to any
unit trust management companies.
Name of company: _________________________________________________________________________________
Name of authorised signatory: __________________________________
Signature: _________________________
Name of authorised signatory: __________________________________
Signature: _________________________
Dated this _______________ day of ____________________, ______________________
(month)
(year)
__________________________________
Please affix Company Common Seal/
Rubber Stamp whichever is applicable
Director
________________________________
Director/ Secretary