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

  Appendix XI – Annual Fund Return

Glossary

  Glossary to the Investment Services Rules for Retail Collective Investment Schemes

Guidance

  Fund Managers, Collective Investment Schemes and Recognised Persons Documentation Timetable

  Guidelines on the compilation of the Annual Fund Return applicable to Collective Investment Schemes