Schedule 3
(Regulation 5)
INFORMATION TO BE CONTAINED IN APPLICATION FOR AUTHORISATION
General details of the collective investment scheme.
Name of the collective investment scheme.
Names of the sub-collective investment schemes (if any).
Structure of the collective investment scheme.
Applicable Act and the date and country of establishment/incorporation.
Quotation on any securities exchange and authorisation granted by other regulatory bodies.
Undertakings given to other regulatory bodies.
Launch: date and place.
Dealing: daily/weekly/other.
Valuation of assets: daily/weekly/other.
Pricing: forward/historic/other.
Investment plans to be offered in Saint Lucia.
12. For each collective investment scheme or sub-collective investment scheme
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(1) Fee structure—
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(a) level of all charges payable by participant; and
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(b) level/basis of calculation of all charges payable by the collective investment scheme.
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(2) For equity or bond collective investment schemes—
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(a) investment objective and borrowing powers; and
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(b) currency of denomination.
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(3) Minimum initial subscription and the minimum subsequent holding.
13. Details of the parties to the collective investment scheme
The management company (if applicable)—
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(a) Name
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(b) Registered/business address.
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(c) Name of the ultimate holding company.
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(d) Previously approved by the Commission to manage authorised collective investment schemes? If no, the resumes of the directors and the most recent audited financial report.
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(e) Person(s) for contact with the Commission.
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14. In the case of an investment company, the resumes of the directors of the collective investment scheme and person(s) for contact.
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15. The custodian—
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(a) Name.
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(b) Registered/business address.
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(c) Name of the ultimate holding company.
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(d) Previously approved by the Commission as custodian of authorised collective investment schemes? If no, names of the directors and the most recent audited financial report.
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(e) Person(s) for contact with the Commission.
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16. The investment adviser (if any)—
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(a) Name.
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(b) Registered/business address.
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(c) Name of the ultimate holding company.
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17. For the custodian, management company and investment adviser—
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(a) which, if any, of these companies are connected persons,
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(b) name anyone who holds appointments, as director or officer, with more than one of these companies.
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18. The auditor—
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(a) Name.
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(b) Registered/business address.
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19. The principal dealer (if any)—
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(a) Name.
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(b) Registered/business address.
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(c) The approximate percentage of the scheme's transactions in value of securities carried out by the principal broker within the latest financial year of the scheme.
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(d) Whether the custodian, the directors of the scheme, the management company or the investment adviser is a connected person of the principal broker.
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20. Lawyers in Saint Lucia (if any)—
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(a) Name.
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(b) Person(s) for contact with the Commission.