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Unit Trust Funds - Excel

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					INSTRUCTIONS

1.   Form A is to be filled up by the company that carries out the regulated activity of fund
     management.

2.   Any subsequent changes made to this submission must be disclosed to SC within one month of
     the change.

3.   Please provide the exchange rate used for conversion purposes as at the end of the semi
     annual period.

4.   If the space provided is insufficient, please insert additional information in the 'Exhibits'
     spreadsheet.

5.   Shariah adviser will be required if there are amounts reported under shariah mandates.


6.   Input figures under 'RM million' column. % columns are formulated. Ensure that the total %
     equals to 100%.

7.   Proprietary trading relates to investment done using the company's own funds/
     shareholders funds.

8.   Money Market Placements include fixed deposit and short term deposit (excludes cash in
     saving account and current account).

9.   Derivatives include amongst others, options and swap unless specified otherwise.

10. Uninvested funds are funds that are in current accounts and savings accounts.

11. Number of funds specified under Breakdown of FUM of section 2 should consist of the
    number of mandates secured under each category.

12. Conventional Unit Trust under item no (iii) of Breakdown of FUM refer to unit trust funds
    and mutual funds excluding Restricted Investment Scheme and Islamic Unit Trusts.

13. Government Funds under item no (ix) of Breakdown of FUM includes funds managed on
    behalf of federal, state and local governments (e.g. Education Fund). However it excludes
    Government Linked Companies, and funds in the form of unit trust
14. Total amount of FUM delegated relates to amounts that have been allocated to another fund
    management company (locally or overseas).

15. Local fund management companies refer to holder of CMSL.

16. Foreign fund management companies refer to overseas fund managers

17. CMSRL requirement under section 3 requires listing of all CMSRL(s) in the company. To state
    so if there is no trading limit assigned, no specific amount of funds under management given
    individually or if there is combined limit amongst the CMSRL(s).
18. Details for source of revenue under section 4 should spell out Performance Fee/Management
    Fee/Advisory Fee/Referral Fee/Other (please specify).

19. Dealing in securities under section 5 should include dealing with financial institutions for fixed
    income securities. To state range of brokerage rate if more than one rate applies.


20. Total amount under custodian under section 6 should equal to total amount reported under
    "Source of clients' FUM" (cell no H73) excluding unit trust funds. Reason for any variance is to
    be stated under (b). To state range of custodian fee if more than one rate applies.


21. A fund manager must submit to the Commission an unaudited semi-annual financial statement
    together with every semi-annual report. The period for unaudited semi-annual financial
    statement should tally with period for semi-annual report. (E.g. 1st Jan – 30th June or 1st July -
    31st Dec)
                                                                                                                                FORM A

Name of Company
Name and Designation of Contact Person
Semi Annual Report for the period
Compliance Officer


            Exchange rate used                                   USD 1 = RM

1 INVESTMENTS

  (a)       Investment Committee

   (i) Do you have an Investment Committee in your company?                YES / NO

   (ii) If yes, state the number of times the Committee meets in a year.


   (iii) The Investment Committee members are as follows:

                                   Name                                                 Designation
        1
        2
        3
        4
        5
  Please indicate (*) for independent member(s)

  (b)       Shariah Adviser

    (i) Do you have Shariah Adviser in your company?                       YES / NO

    (ii) The Shariah Adviser members are as follows:

                                   Name                                                 Designation
        1
        2
        3
        4
        5


2 FUNDS UNDER MANAGEMENT

  For the purpose of section 2, please specify the Funds Under Management (FUM) for the following section:-

  PROPRIETARY TRADING

   (a) Amount of funds managed for the company’s own account:                                             RM million
       Total

   (b) Amount and percentage of Proprietary Investments in:                                     RM million             %
        (i) Fixed Income Securities                                                                                    0
        (ii) Equities                                                                                                  0
          (iii) Money Market Placements                                                                                0
        (iv) Unit Trust                                                                                                0
        (v) Private Equity / Unquoted Stocks                                                                           0
        (vi) Derivatives*                                                                                              0
        (vii) Cash                                                                                                     0
        (viii) Others (please specify)
           (1)                                                                                                        0
           (2)                                                                                                        0
       Total                                                                                                  0 PLEASE CHECK!
            *include amongst others, option, futures and swaps
FUNDS MANAGED ON BEHALF OF CLIENTS
(includes Shariah Mandates)

 (a) Source of clients' FUM                                                 RM million          %
     Local sourced funds                                                                         0
     Foreign sourced funds                                                                       0
     Total                                                                               0 PLEASE CHECK!

(b) Amount and percentage of clients' funds invested:
    (i) Amount and percentage of clients' investment in Malaysia            RM million          %
      (1) Fixed Income Securities                                                               0
      (2) Equities                                                                              0
        (3) Money Market placements                                                             0
      (4) Unit Trust                                                                            0
      (5) Private Equity / Unquoted Stocks                                                      0
      (6) Derivatives (exclude Futures)                                                         0
      (7) Futures                                                                               0
      (8) Others (please specify)
        (a)                                                                                      0
        (b)                                                                                      0
    Total                                                                                0 PLEASE CHECK!

    (ii) Amount and percentage of Clients' investment outside of Malaysia   RM million          %
      (1) Fixed Income Securities                                                               0
      (2) Equities                                                                              0
        (3) Money Market Placements                                                             0
      (4) Unit Trust                                                                            0
      (5) Private Equity / Unquoted Stocks                                                      0
      (6) Derivatives (exclude Futures)                                                         0
      (7) Futures                                                                               0
      (8) Others (please specify)
        (a)                                                                                      0
        (b)                                                                                      0
    Total                                                                                0 PLEASE CHECK!

 (c) Amount and percentage of clients' funds uninvested                     RM million          %
     In Malaysia                                                                                0
     Outside Malaysia                                                                           0
     Total                                                                               0      0


SHARIAH MANDATES

 (a) Source of clients' FUM                                                 RM million          %
     Local sourced funds                                                                        0
     Foreign sourced funds                                                                      0
     Total                                                                               0      0

(b) Amount and percentage of clients' funds invested:                       RM million          %
    In Malaysia                                                                                 0
    Outside Malaysia                                                                            0
    Total                                                                                0      0
    Amount and percentage of clients' investments in :                      RM million          %
       (i) Fixed Income Securities                                                              0
      (ii) Equities                                                                             0
      (iii) Money Market Placements                                                             0
      (iv) Unit Trust                                                                           0
      (v) Private Equity / Unquoted Stocks                                                      0
      (vi) Derivatives (exclude Futures)                                                        0
     (vii) Futures                                                                              0
     (viii) Others (please specify)
            (1)                                                                                  0
            (2)                                                                                  0
    Total                                                                                0 PLEASE CHECK!

(c) Amount and percentage of clients' funds uninvested                      RM million          %
    In Malaysia                                                                                 0
    Outside Malaysia                                                                            0
    Total                                                                                0      0
 BREAKDOWN OF FUM

  (a) Type and amount of clients' funds under management (at net asset value)

                         (1)                       (2)                        (3)                                 (4)
                                               Number of        Amount in RM million (for          Amount in RM million (for foreign
                   Type of Funds
                                                 Funds            local sourced funds)                     sourced funds)
     (i)   Private Pension Funds
    (ii)   Employees Provident Fund
   (iii)   Conventional Unit Trust* :
   (iv)    Islamic Unit Trust
    (v)    Restricted Investment Scheme
   (vi)    Corporate Funds
  (vii)    Individual Funds
 (viii)
       Funds of Charitable Organisations
  (ix) Government Funds
  (x) Other Types of Funds
 Total                                                      0                                  0                                   0
 * Excludes Islamic Unit Trust and Restricted Investment Scheme

   (b) If applicable, list the external services used for the valuation of the performance of the FUM :


                                                           Service Provider Name
    (i)
   (ii)
  (iii)
  (iv)
   (v)

   (c) If there are arrangements made for the funds under management to be delegated, provide the value of funds delegated to the local and
       foreign external fund management companies.

           Total amount of FUM delegated to                                                          RM million           %
           Local fund management companies                                                                                0
           Foreign fund management companies                                                                              0
           Total                                                                                                  0       0


3 CAPITAL MARKET SERVICES REPRESENTATIVE'S LICENSE ("CMSRL")

 (a)       Total funds managed by each CMSRL

                                               Amount of funds under                                                       Client's / Proprietary
                       CMSRL                                                          Trading limits (RM million)
                                              management (RM million)                                                               (C/P)
    (i)
   (ii)
  (iii)
  (iv)
   (v)


4 SOURCE OF REVENUE

 (a)       List and explain type of income/revenue earned by the company for the semi annual period.

             Type of income / revenue
                                                                               Details*                                    Amount in RM million
                      received
    (i)
   (ii)
  (iii)
  (iv)
   (v)
 * Please itemise to include Performance Fee/ Management Fee/ Advisory Fee/ Referral Fee/ Others (please specify)
5 DEALING IN SECURITIES

 (a)      Please specify local and foreign stockbroking companies that the company has dealt with during the six months period:
          (ranked in accordance with dealing activity)


                              Stockbroking Company                                       Brokerage Rate (%)                 % of Trading

    (i)
   (ii)
  (iii)
  (iv)
   (v)


6 CUSTODIAN

 (a)      Total assets under custody (excluding unit trust funds)

                                                                                    Assets Under Custody (RM million)
                                             Custodian Fee                                                                                 Agreement
                   Local Custodian                                                                 Money Market
                                                  (%)               Equities       Fixed Income                            Others            (Y/N)
                                                                                                    Placements
    (i)
   (ii)
  (iii)
  (iv)
   (v)
          Total                                                                0                 0               0                     0              0
                                                                                     Assets Under Custody (RM million)
                                             Custodian Fee                                                                                 Agreement
                  Foreign Custodian                                                                 Money Market
                                                 (%)                Equities       Fixed Income                            Others            (Y/N)
                                                                                                     Placements
    (i)
   (ii)
  (iii)
  (iv)
   (v)
          Total                                                                0                  0                0                   0              0

 (b)      Please provide reason(s) for any variance between total assets under custody and total source of clients FUM (excluding unit trust funds)




 NOTE:
 CMSA Requirement:
 Section 122 (1) Operation of Trust Account
 A holder of a Capital Markets Services Licence shall open a trust account for its client’s assets and shall make arrangements for a custodian to
 maintain such trust account.
We, the undersigned hereby declared that in our opinion, all the information provided in Form A is
to the best of our knowledge, correct and accurate from material misstatements.


Chief Executive Officer (CEO)/                       Compliance Officer (CO)
Executive Director (ED)
Signature:                                           Signature:



Name :                                               Name :


Date :                                               Date :

				
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