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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