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Investment Fund Forms

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Application Forms

Click on the links below to access each form.

Go to CIMAConnect.com CIMAConnect Administrator Account Request Form 
Mutual fund service providers who wish to become authorised users of the new CIMAConnect online request submission system must complete and submit this PDF form.
 

 Application for a mutual fund under Section 4(3) of the Mutual Funds Law (2013 Revision)  (Form MF1) 
This application form, duly completed and accompanied by the relevant supporting documentation and the prescribed fee, is used when applying to be registered as a mutual fund under section 4(3) of the Mutual Funds Law.

Application for a mutual fund under Section 4(1)(b) of the Mutual Funds Law (2013 Revision) (Form MF2/MF2A)
This application form, duly completed and accompanied by the relevant supporting documentation and the prescribed fee, is used when applying to be registered as a mutual fund under section 4(1)(b) of the Mutual Funds Law. The Mutual Fund Administrator, licensed by CIMA, which will provide services to the fund, must complete the form MF2/MF2A.

Application for a mutual fund under Section 4(1)(a) of the Mutual Funds Law (2013 Revision) (Form MF3)
This application form, duly completed and accompanied by the relevant supporting documentation and the prescribed fee, is used when applying to be licensed as a mutual fund under section 4(1)(a) of the Mutual Funds Law.

Application for a master fund under Section 4(3)(a)(iii) of the Mutual Funds Law (2013 Revision) (Form MF4)
This application form, duly completed and accompanied by the relevant supporting documentation and the prescribed fee, is used when applying to be registered as a master fund under section 4(3)(a)(iii) of the Mutual Funds Law.

The Mutual Fund Administrators Licence (Applications) Regulations, 2001
The guidelines for applying for a licence under section 11(1) (Full) or 11(2) (Restricted) of the Mutual Funds Law is contained in The Mutual Fund Administrators Licence (Applications) Regulations, 2001.

Personal Questionnaire 

The Cayman Islands Monetary Authority requires that every Director, Officer, Manager and Shareholder who is a natural person holding more than 10%, who wishes to be appointed to a company licensed under sections 4(1)(a), 11(1) and 11(2), complete a Personal Questionnaire and submit it with the supporting documentation described in Form MF3 (Section 4(1)(a) and The Mutual Fund Administrators Licence (Applications) Regulations (Sections 11(1) and 11(2).


NOTICE: 

AUDITED FINANCIAL STATEMENTS AND FUND ANNUAL RETURN (“FAR”) FILINGS

NEW REEFS FAR FORM 

 

The new FAR Form in Excel format and the applicable Completion Guide are now available and have been uploaded to the website as at 05 February 2016. This version should be used for filings in the Regulatory Enhanced Electronic Forms Submission (“REEFS”) reporting portal https://reefs.cimaconnect.com for regulated funds with a year-end date of 15 September 2015 and later and any previous versions of the FAR Form will not be accepted.   

For funds with a financial year end of 31 December 2014 or later, but prior to 15 September 2015, the previous FAR Form issued on 25 May 2015 should be used. For funds with a financial year end prior to 31 December 2014, the old FAR Form and E-Reporting Portal will continue to be used. 

All three versions of the FAR forms are available on the website at the following link - http://www.cimoney.com.ky/regulated_sectors/reg_sec_ra.aspx?id=248. 

For funds with a year-end date of 15 September 2015 and later, an individual FAR Form is now required to be submitted for each sub-fund within a multi-fund operating structure and each filing will require the applicable FAR filing fee of CI$300 to be paid by the fund. The Authority no longer allows multiple sub-funds to be “consolidated/aggregated” on one FAR form. For the purposes of the FAR, a “sub-fund” includes a segregated portfolio within a segregated portfolio company structure; a sub-trust within an umbrella or master unit trust structure; and a class of shares, or units or interests within a fund, trust or partnership structure, where each such class represents a separate standalone reporting entity (e.g. a fund with multiple portfolios, where each portfolio is individually presented with separate assets, liabilities, income and expenses). 

Funds with a year-end date of 15 September 2015 and later which were allowed to file audited financial accounts with the Authority via email for de-registration purposes are required to file the audited financial accounts and new FAR Form through the relevant row on the REEFS portal.  

If you require further information regarding FAR filings, please contact the Investments and Securities Division by email at ereporting@cimoney.com.ky. 


Reporting Forms

Click the following link to access the FARs:   

NEW Fund Annual Return (used in REEFS for funds with a financial year end of 15 September 2015 and later) 

Fund Annual Return (used in REEFS for funds with a financial year end of 31 December 2014 or later, but prior to 15 September 2015)

 Fund Annual Return (used in E-Reporting for funds with a financial year end prior to 31 December 2014)
             
All funds regulated under the Mutual Funds Law are required to submit an annual return, the Fund Annual Return, to the Authority within six months of the fund’s financial year-end. Click on the links above to access the forms.

 

 
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Click here to email the Investments and Securities Division if you have a question on:
Investment Funds 

Phone: 345-244-1681 / 345-244-1566
Fax: 345-949-2532

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CIMA Divisional Contact List 

Address:
Cayman Islands Monetary Authority
PO Box 10052
80e Shedden Road
Elizabethan Square
Grand Cayman  KY1-1001
CAYMAN ISLANDS