Financial Services (Jersey) Law, 1998 (the Law ) Notification Form for:

Transcription

1 FSB/ NDF FSB/ NDF Financial Services (Jersey) Law, 1998 (the Law ) Notification Form for: Non-Jersey Domiciled Collective Investment Fund To be filed within 28 days of accepting an appointment to act for the Fund or, where consent is required under the Control of Borrowing (Jersey) Order 1958, at least 5 working days prior to being appointed. ** Important: before completing this form, please read carefully Appendix 2: Notes on the Completion of Application Form FSB/NDF. Section A - Details of the Jersey Fund Services Business (See note 4) A.1 Name of the Fund Services Business completing notification form: $ FSB A.2 Please tick which classes of Fund Services Business to be provided to the Non-Jersey Domiciled Fund: (See note 5) Class Description U. Manager ZD. Policy Proceeds Paying Agent V. Administrator ZE. Purchase Agent W. Registrar ZF. Repurchase Agent X. Investment Manager ZG. Trustee Y. Investment Adviser ZH. Custodian Z. Distributor ZI. Depository ZA. Subscription Agent ZJ. Member of a Partnership ZB. Redemption Agent (Except a Limited Partner) ZC. Premium Receiving Agent A.3 Date of commencement of services: A.4 Is a consent under the Control of Borrowing (Jersey) Order 1958, as amended required and if so under which Article? (If so, please note that the Commission may require sight at any prospectus). A.5 Is the Fund materially equivalent to an Expert Fund? Yes Yes No No Section B - Details of the Fund (See note 7) B.1 Full Legal Name of Fund: Where the Fund is a scheme or arrangement with more than one legal vehicle please complete the scheme name above and provide the full legal name of each constituent part of the Fund below.

2 B.2 Full legal name of each constituent part of Fund: B.3 Fund Type - please tick one box Open ended Closed ended Other - please specify B.4 If in respect of an umbrella fund, a PCC or ICC please specify the number of sub funds/cells. Please complete Section C for each sub fund/cell B.5 Legal Form of the Fund. (Please tick the appropriate box) Company Issuing Units If so, go to B.6 Unit Trust If so, go straight to B.7 Limited Partnership If so, go straight to B.7 Other If other, please specify B.6 Registered Office of Fund:

3 B.7 Formation of the Fund B.7.1 Country/Jurisdiction of domiciliation: B.7.2 Date of incorporation, registration or establishment: B.7.3 Registration number of Fund (if applicable): B.7.4 Is the scheme regulated in its home jurisdiction? If so, please provide the following details: Category of Fund (according to the home regulator): Reference: Regulatory Body: Contact name: Address: Tel: B.8 Where is the Fund Licensed/Authorised for promotion? B.9 Is the Fund or any constituent part of the Fund listed? If so, where? Yes No B.10 Has an application been made and subsequently withdrawn or refused for authorisation in regulation to this fund/constituent part under the rules and laws of any regulatory body or country, or for the units to be admitted to the listing of any stock exchange or other principal market? If yes, please provide details below: Yes No

4 B.11 Please list other Jersey Fund Services Businesses who provide their services to the Fund. Name of Fund Services Business Class of Fund Services Business B.12 Name and address of auditor (of Fund): Company Name: Postal Address: Address: Tel: B.13 Name and details of Statistics Officer: Statistic Officer s Name: Company Name: Postal Address: Address: Tel: B.14 Name and details of alternate Statistics Officer: Statistic Officer s Name: Company Name: Postal Address: Address: Tel:

5 Section C - Details of the Fund Product (this section must be completed for (See note 8) each Fund or for each sub fund/cell) C.1 Name of Fund C.2 Name of sub fund/cell if applicable C.2.1 Is the sub-fund/cell open or closed ended? C.3 If multi-class, please specify number of classes and provide details below: C.4 Which type of investor(s) will the fund be marketed to? General Public Sophisticated Single Investor HNW Institutional Expert (as defined in the Jersey Expert Fund Guide) C.5 Primary investment objective: 01 Capital Growth 02 Income 03 Both (Choose one only) C.6 Investment Policy. Please refer to appendix 1 (codes for investment policy) Code: Description: C.7 Minimum Investment: If class distinction please specify below. Min Investment level: Min Investment level: Min Investment level: C.8 Base Currency If class distinction please specify below. ccy: ccy: ccy: C.9 Is the Fund any of the following? Index Tracker Split Capital Feeder Fund Fund of funds None of the above - please specify:

6 Section D - Declaration The Fund Services Business is required to notify the JFSC immediately of: (a) any other information which it considers relevant to this notification; and (b) any significant changes in the information provided in this notification which occur after the date of submission of the notification. (THE ATTENTION OF SIGNATORIES IS DRAWN TO ARTICLE 28 OF THE LAW) We declare that the information given in: (See notes 9 & 10) (i) Section A above, (ii) Section B above, (iii) Section(s) C attached, is complete and correct to the best of our knowledge at the time of the notification and that there are no other material facts of which the JFSC should be aware. For and on behalf of: Signatures: Names: Positions: Date: (dd/mm/yyyy) (dd/mm/yyyy) This application form must be signed by two Principal Persons of the Fund Services Business.

7 Appendix 1: Codes for Investment Policy Code Description Equity E01 Equity-UK E02 Equity-Europe (Including UK) E03 Equity-Europe (Excluding UK) E04 Equity-US (North America) E05 Equity-Japan E06 Equity-Far East (Including Japan) E07 Equity-Far East (Excluding Japan) E08 Equity-Global Emerging Markets E09 Equity-Global Equity E10 Equity-Other B01 B02 B03 B04 B05 Bond Bond-Global Bond-UK Debt Bond-US Debt Bond-Europe Bond-Other M01 M02 M03 M04 M05 Money Market Money Market-Sterling Money Market-US Dollar Money Market-Euro Money Market-Swiss Money Market-Other S01 S02 S03 S04 S05 S06 S07 Specialist Specialist-Venture Capital/Private Equity - Emerging Markets Specialist-Venture Capital/Private Equity - Other Specialist-Real Property Specialist-Derivatives Specialist-Traded Endowment Policies Specialist-Hedge/Alternative Investment Funds Specialist-Other X01 Mixed Mixed-Mixed Equity and Bond

8 Appendix 2: Notes on the Completion of Notification Form FSB/NDF GENERAL (1) The form is to be completed in accordance with the requirements of the Financial Services (Jersey) Law, 1998 as amended (the Law ), and any associated Orders and Regulations. (2) If more space is needed the answer should be written on a separate sheet of paper with the heading: Continuation of answer to Question _ of Application Form FSB/NDF. (3) Answers are to be written in black ink in BLOCK CAPITALS or typed. Section A - Details of the Jersey Fund Services Business (4) All questions in this section are to be completed. (5) In respect of question A.2 boxes should be ticked for all functions which are to be performed by the Fund Services Business. (6) For the purpose of the completion of this form the following definitions will apply:- Single Class Fund: A fund with one class of redeemable shares/units where the assets are held as a single pool. Multi-class Fund: A fund with more than one class of redeemable shares/units and where the assets are held as a single pool. Umbrella Fund: A fund with more than one class of redeemable shares/units and where the assets are held separately for each class. Section B - Details of the Fund (7) All questions in this section are to be completed. Section C - Details of the Fund (8) This section must be completed ONCE for each fund. If the fund is an umbrella fund, photocopies should be taken and a separate sheet should be completed in respect of each constituent part of the fund. Section D - The Declaration (9) To be completed by all Fund Services Businesses. (10) Items (i) and (ii) should be deleted if Section C is completed in respect of an additional constituent part(s) of an already existing fund notified to the JFSC unless the information in Sections A and B has changed. COMPLETED NOTIFICATION FORMS should be sent to: The Senior Manager Securities-Authorisation Jersey Financial Services Commission, PO Box 267, Castle Street, St Helier, Jersey, JE4 8TP