MEMBER & DISTRIBUTOR APPLICATION KIT (UTS)
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover letter signed by an authorised signatory specifying the registration that is being sought and the appointment of AR | |
| 2 | Printed online application | Click here |
| 3 | Board of Directors’ Resolution approving the application of membership and appointment of the AR | Sample |
| 4 | Declaration signed by a director of the applicant | UTS 002 |
| 5 |
Certified true copy of the latest Form 8 or 9 or 13 by the Company Secretary
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| 6 |
Certified true copy of the SUPERFORM (Section 14) by the Company Secretary (for companies incorporated from 1 Feb 2017 onwards)
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| 7 |
Certified true copy of the latest Form 24 or Section 78 and/or Section 51 by the Company Secretary (where applicable)
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| 8 |
Certified true copy of the latest Form 49 and/or Section 58 by the Company Secretary (where applicable)
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| 9 | Certified true copy of relevant CMSL and approval that verify the eligibility of the applicant | |
| 10 | Payment of application and annual fees | UTS Fees Table 1 |
| 11 | Such other information and/or documents as requested by FIMM |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover 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 | |
| 2 | Printed online application | Click here |
| 3 | Duly completed and signed Application Form and Distribution Points / Mobile Distribution Points |
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| 4 | Board of Directors’ Resolution approving the appointment of the AR | Sample |
| 5 | Declaration signed by a director of the applicant | UTS 002 |
| 6 |
Certified true copy of the latest Form 8 or 9 or 13 by the Company Secretary
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|
| 7 |
Certified true copy of the SUPERFORM (Section 14) by the Company Secretary (for companies incorporated from 1 Feb 2017 onwards)
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|
| 8 |
Certified true copy of the latest Form 24 or Section 78 and/or Section 51 by the Company Secretary (where applicable)
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| 9 |
Certified true copy of the latest Form 49 and/or Section 58 by the Company Secretary (where applicable)
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| 10 | Certified true copy of relevant CMSL and approval that verify the eligibility of the applicant (if applicable) | |
| 11 | A 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) | |
| 12 | Proposal for the marketing and distribution of Unit Trust Scheme | Template (UTS) |
| 13 | A copy of the company’s profile and organisational structure depicting related, subsidiary, associate and holding companies with percentage of shareholding in each category | |
| 14 | A copy of Company’s latest audited accounts of draft/management accounts (for CUTA only) | |
| 15 | A copy of the applicant’s professional indemnity insurance (for CUTA only) | |
| 16 | Payment of application and annual fees | UTS Fees Table 1 |
| 17 | Such other information and/or documents as requested by FIMM |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Confirmation of AUM as at 31 December of the year (for UTMC) | UTS 003 (1) |
| 2 | A copy of System NAV Report as at 31 December of the year (for UTMC) | UTS 003 (2) |
| 3 | Confirmation of Total Gross Sales for the year ended 31 December (for IUTA) | UTS 004 (1) |
| 4 | A copy of System Total Gross Sales Report for the year ended 31 December (for IUTA) | UTS 004 (2) |
| 5 | Such other information and/or documents as requested by the FIMM |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter duly signed by Authorised Representative | |
| 2 | Form – Notification on Marketing and Distribution of Unit Trust Scheme (“UTS”) | UTS 005 |
| 3 | Form – Distribution Point(s) / Mobile Distribution Points(s) | UTS 001 P2 |
| 4 | A certified true copy of the relevant pages of the valid distribution arrangement | |
| 5 | A certified true copy of an appointment letter / supplemental arrangement for subsequent list of UTS for distribution (if applicable) | |
| 6 | A copy of the consent letter from the UTMC to allow for sub-distribution of their UTS (if applicable) | |
| 7 | Such other documents as requested by the FIMM |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover Letter duly signed by Authorised Signatory | |
| 2 | Form – Notification on Marketing and Distribution of UTS | UTS 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) | |
| 5 | A copy of the consent letter from the UTMC to allow for sub-distribution of their UTS (if applicable) | |
| 6 | Such other documents as requested by the FIMM |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover letter duly signed by the AR | |
| 2 | Form – Notification for Withdrawal of Registration or Cessation of Operations of UTMC, IUTA or CUTA | UTS 006 |
| 3 | A copy of Form 18 from SC (for CMSL Holder only) | |
| 4 | Such other documents as requested by the FIMM |
The applicant is required to submit the following duly completed documents:
| NO | DOCUMENTS REQUIRED | DOWNLOAD |
|---|---|---|
| 1 | Cover letter duly signed by the AR | |
| 2 | Form – Notification for Withdrawal of Registration or Cessation of Operations of UTMC, IUTA or CUTA | UTS 006 |
| 3 | A copy of the order made by the High Court for transfer of assets | |
| 4 | A certified true copy of Form 13 certified by company secretary | |
| 5 | A copy of Form 18 from SC (for CMSL Holder only) | |
| 6 | Such other documents as requested by the FIMM |