FEDERATION OF INVESTMENT MANAGERS MALAYSIA (272577-P)
19-06-1, 6th 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: info@fimm.com.my
NOTIFICATION ON MARKETING AND DISTRIBUTION OF UNIT TRUST SCHEME (UTS) OR
PRIVATE RETIREMENT SCHEMES (PRS) FUND
Please print in BLOCK LETTERS.
1. CATEGORY OF APPLICANT
Please choose one (1) category only.
Institutional UTS Adviser
Corporate UTS Adviser
Institutional PRS Adviser
Corporate PRS Adviser
2. NOTIFICATION DETAILS
Is this the first notification of UTS/PRS submitted by your company?
(Kindly () where applicable)
YES
NO
If yes, please confirm on the following:
Registration of minimum two (2) UTS Consultants/PRS Consultants* at each Distribution Point(s) is completed.
Your company has at least one (1) Distribution Point. Please provide a hardcopy and softcopy of the particulars of
each Distribution Point with the respective appointed UTS Consultants/PRS Consultants as per the format attached
(Institutional UTS Adviser/Corporate UTS Adviser/Institutional PRS Adviser/Corporate PRS Adviser Second
Schedule – Part Two – Distribution Point)
A certified true copy of the relevant pages of distribution agreement between your company and the Unit Trust
Management Company/Institutional UTS Adviser/PRS Provider/Institutional PRS Adviser* is enclosed herewith.
The effective date of commencement of operation is on __________________________
Please provide the name(s) of the UTS/PRS fund and the intended date of distribution which your company will be
marketing and distributing on behalf of the Unit Trust Management Company/Institutional UTS Adviser/PRS
Provider/Institutional PRS Adviser. If the space in this form is insufficient, kindly use separate annexure.
Unit Trust Management
Company / Institutional UTS
Adviser / PRS Provider /
Institutional PRS Adviser
Name of Fund
Related
Party (/)
Third
Party (/)
Date of
Distribution
3. DECLARATION
We confirm that all the information given above and the attached documents (if any) is true and correct and will form the
basis of our notification of UTS/PRS fund(s) pursuant to Guidelines For Registration of Institutional Unit Trust Advisers
(IUTA) for the Marketing and Distribution Of Unit Trusts, Guidelines For Registration of Corporate Unit Trust Advisers
(CUTA) for the Marketing and Distribution Of Unit Trusts or Guidelines on Registration of Private Retirement Scheme
Distributors and Consultants.
We further acknowledge that we are fully aware of the said Guidelines and agree to comply with the same.
Name of company: ____________________________________________________________________________________
Name of authorised signatory: ________________________________________
Date: ____________________
__________________________________
Please affixed rubber stamp / company seal
Note: *strike off which ever not applicable.
Signature: ___________________