Foreign Mutual Fund

Documents to submit:

• Prospectus filed in home jurisdiction with Disclaimer Statement worded as stipulated in Policy Guideline 11.1, Section 5.1 (i) and printed on outside front cover.
• Checklist for Prospectuses of Collective Investment Schemes
• Copy of Receipt for Prospectus filed in home jurisdiction
• Prospectus filing fee of TT$10,000 per fund
• Addendum to Prospectus (Policy Guideline 11.1, Section 5.2 (1))
• Certificate declaring full, true and plain disclosure (Policy Guideline 11.1, Section 5.2 (2) )
• Certificate confirming that the Prospectus for which the receipt was issued in the home jurisdiction may be legally used and will be used for the distribution in Trinidad and Tobago of securities of the mutual fund. (Policy Guideline 11.1, Section 5.2 (2) and Appendix B)
• Submission to Jurisdiction and Appointment of Agent for Service Process form (Policy Guideline 11.1, Section 5.3 (2)(i) and Appendix C)
• Fresh Submission to Jurisdiction and Appointment of Agent for Service of Process form, if required (Policy Guideline 11.1, Section 5.3 (2)(ii) and Appendix C)
• Appointment of Agent by a Foreign Mutual Fund for the purpose of the distribution of securities of the foreign mutual fund in Trinidad and Tobago form Policy Guideline 11.1, Section 5.3 (3)(i) and Appendix D)
• Fresh Appointment of Agent by a Foreign Mutual Fund for the purpose of the distribution of securities of the foreign mutual fund in Trinidad and Tobago form Policy Guideline 11.1, Section 5.3 (3)(ii) and Appendix D)
• All Legal Documents/Agreements for Service constituting the fund (e.g. Trust Deed, Declaration of Trust, Investment Management Agreement, Administration Agreement etc.);
• If constituted in:
  • Corporate form – The Fund must be registered as a Reporting Issuer
  • Trust Form –  A party to the trust must be registered as a Reporting Issuer (e.g. Sponsor, Investment Manager/Adviser)

Note – The required submissions for registration include but are not limited to the above

October 18, 2006