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Consultant Application Kit (UTS)

CONSULTANT APPLICATION KIT (UTS)

“Unit Trust Scheme Consultant” or “UTS Consultant” means an individual who is duly registered with the Federation of Investment Ma𒀰nagers Malaysia to mar𓃲ket and distribute UTS .

REGISTRATION OF UTS CONSULTANT

For individual applicant:

The applicant is required to submit the following duly completed documents:
NO DOCUMENTS REQUIRED DOWNLOAD
1 Application Form Download
2 Copy of NRIC Download
3 Certified True Copy of Academic Certificate Download
4 Statutory Declaration Download
5 Photo Resolution Download
6 FIMM Consent Form Download

For submission by Distributor:

The applicant is required to submit the following duly completed documents:  
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL 001
2 List of Candidates
3 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) U001
4 One (1) copy of Identity Card (front and back) or passport

Note: For any changes on the name, please provide the supporting document as proof of the changes

5 One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) SAMPLE
6 A duly executed Statutory Declaration SD 001
7 A certified true copy of the relevant certificate and qualification
8 A certified true copy of the relevant Capital Market Services Representative License (“CMSRL”) (if applicable)
9 A certified true copy of the result slip that indicates the candidate has passed Module 1of CFP or IFP or RFP or Shariah RFP (applicable to FIMM Apprenticeship Program for CUTA only)
10 Evidence of document as a proof of memberships with the relevant bodies
11 FIMM Consent Form Download
12 Fees UTS Fees Table 2
The applicant is required to submit the following duly completed documents:
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL002
2 List of Consultants
3 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) U001
4 One (1) copy of Identity Card (front and back) or passport

Note: For any changes on the name, please provide the supporting document as a proof of the changes

5 One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) SAMPLE
6 A duly executed Statutory Declaration SD 001
7 A certified true copy of the relevant Capital Market Services Representative License (“CMSRL”) (if applicable)
8 A letter of Undertaking for merger exercise (if applicable) CL003
9 A certified true copy of the result slip that indicates the candidate has passed Module 1of CFP or IFP or RFP or Shariah RFP (applicable to FIMM Apprenticeship Program for CUTA only)
10 Evidence of document as a proof of memberships with the relevant bodies
11 FIMM Consent Form Download
12 Fees UTS Fees Table 2
The applicant is required to submit the following duly completed documents:
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) U001
3 One (1) copy of Identity Card (front and back) or passport

Note: For any changes on the name, please provide the supporting document as a proof of the changes

4 One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) SAMPLE
5 A duly executed Statutory Declaration SD 001
6 Evidence of approval by the Securities Commission / relevant authority for the appointment of Chief Executive of a UTMC, IUTA or CUTA
7 Evidence of document as a proof of memberships with the relevant bodies
8 FIMM Consent Form Download
9 Fees ali bet 99:UTS Fees Table 2
The applicant is required to submit the following duly completed documents:
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) U001
3 One (1) copy of Identity Card (front and back) or passport

Note: For any changes on the name, please provide the supporting document as a proof of the changes

4 One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) SAMPLE
5 A duly executed Statutory Declaration SD 001
6 Evidence of approval by Securities Commission / relevant authority for the appointment of Director of a UTMC, IUTA or CUTA
7 Resume or Curriculum Vitae with details describing the Director’s scope of work and specific job description
8 Evidence of document as a proof of memberships with the relevant bodies
9 FIMM Consent Form Download
10 Fees ali bet 99:UTS Fees Table 2
The applicant is required to submit the following duly completed documents:  
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) U001
3 One (1) copy of Identity Card (front and back) or passport

Note: For any changes on the name, please provide the supporting document as a proof of the changes

4 One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) SAMPLE
5 A duly executed Statutory Declaration SD 001
6 A certified true copy of Capital Market Services Representative License (“CMSRL”) for fund management
7 FIMM Consent Form Download
8  Fees ali bet 99:UTS Fees Table 2
The applicant is required to submit the following duly completed documents:  
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL004
2 Application Form for Registration of Unit Trust Consultant (“UTS Consultant”) U001
3 One (1) copy of Identity Card (front and back) or passport

Note: For any changes on the name, please provide the supporting document as a proof of the changes

4 One (1) Malaysia passport-sized colour photograph (name written at the back of the photograph) SAMPLE
5 A duly executed Statutory Declaration SD 001
6 A certified true copy of the relevant certficate and qualification
7 A certified true copy of the relevant certificate for certified holders of CFP/IFP/RFP/Shariah RFP/ChFC
8 Evidence of result slip that indicates the candidate has passed:
a) Module 1 & 3 of CFP
b) Module 1 & 3 of IFP
c) Module 1, 3 & 6 of RFP
d) Module 1, 3 & 6 of Shariah RFP
CL004
9 Evidence of document as a proof of memberships with the relevant bodies
10 Certified true copy of the certificate of:
a) Associate of Financial Planner by FPAM (applicable for item 8(a) and 8(b) above)
b) Proficiency in Financial Planning issued by the MFPC (applicable for item 8(c) and 8(d) above)
UTS Fees Table 2
11 FIMM Consent Form Download
12 Fees UTS Fees Table 2
The applicant is required to submit the following duly completed documents:
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL 005
2 List of ACTIVE UTS Consultant as at December for CPD Fulfillment LIST 001
3 A duly executed Statutory Declaration For Renewal of Registration – on a biennially basis* SD 002
*Not required to be submitted to FIMM
The applicant is required to submit the following duly completed documents:
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL006
2 Fees ali bet 99:UTS Fees Table 2
The applicant is required to submit the following duly completed documents:
NO DOCUMENTS REQUIRED DOWNLOAD
1 Cover Letter CL 007
2 List of UTS Consultants
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