Rules for Retail Collective Investment Schemes

Introduction to the Investment Services Rules for Retail Collective Investment Schemes

  Introduction

  Table of Contents

Part A – The Application Process

  Part A – The Application Process

  Application for a Licence to operate as a Malta based Retail Collective Investment Scheme

Application for a Licence to operate as an Overseas based Retail Collective Investment Scheme

  Summary Application

  Retail AIF Prospectus Checklist

  UCITS Depositary Agreement Checklist

  Model Notification Letter to be submitted by a Maltese UCITS Scheme wishing to market its units in a host Member State

  National Rules for Marketing of European UCITS Schemes in Malta

  Personal Questionnaire

Part B – Standard Licence Conditions

  Part B I – Malta based Retail Non-UCITS Collective Investment Schemes

  Part B II – Malta based Retail UCITS Collective Investment Schemes

  Appendix I – Contents of the Prospectus

  Appendix II – Contents of the Financial Statements

  Appendix III – Contents of the Constitutional Documents

Appendix IV – Distribution of Income

Appendix V – Monthly Statistical Return – Deleted

  Appendix VI – Supplementary Licence Conditions on Risk Management, Counterparty Risk Exposure and Issuer Concentration applicable to Maltese Retail Collective Investment Schemes set up as Maltese UCITS

Appendix VIII – Supplementary Licence Conditions Applicable to Schemes setup as Money Market Funds – Deleted

  Appendix VIII – Supplementary Licence Conditions Applicable to Self-Managed Schemes

  Appendix IX AIF-Specific Information to be provided

  Appendix X – Complaints Handling

Glossary

  Glossary to the Investment Services Rules for Retail Collective Investment Schemes

Guidance

  Fund Managers, Collective Investment Schemes and Recognised Persons Documentation Timetable