Documents pertaining to the Company establishing the Investment Fund:
- Copy of the Company’s Memorandum and Articles of Association attested by competent authorities in the mother country.
- Copy of the Company’s Certificate of Incorporation.
- Copy of the Company’s Trade License or equivalent.
- Copy of the Company’s Trade Register (if applicable).
- Annual audited financial report for the last two years accompanied by the auditor’s report.
- List of the authorized signatories on the documents and correspondences addressed to the DFM and sample of their signatures.
- The Board of Directors resolution authorizing the signatories to sign documents and correspondences addressed to the DFM.
Documents pertaining to the Mutual Fund:
- Copy of the Securities and Commodities Authority’s approval to list the fund (for closed-ended funds).
- Copy of the approval for issuing the fund from the UAE Central Bank (for domestic funds).
- Copy of the approval for Marketing the fund in the UAE from the UAE Central Bank (for foreign funds). If the fund has already been established and subscribed to by the general public, the company must
submit audited financial statements for the previous two years or for the period of its establishment, whichever is less.
- The financial statements should be accompanied by the auditor’s report and a management report covering the funds performance in detail for this period.
- Details of any restrictions on the transfer and ownership of units.
- Details of listing in other securities markets.
- Issuing Prospectus or Information Memorandum.
Documents pertaining to the Company establishing the Mutual Fund and the Fund itself:
- Details of any lawsuits against the establishing company or the Mutual fund.
- Any other related documents, please attach.