Form Sec-Mmrf10 Instructions - Collective Investment Scheme (Cis) Transactions printable pdf download

Form Sec-Mmrf10 Instructions - Collective Investment Scheme (Cis) Transactions

NAME OF FORM: SEC-MMRF10 – COLLECTIVE INVESTMENT SCHEME (CIS) TRANSACTIONS

REFERENCE

AREA/ITEM

INSTRUCTIONS

NUMBER

This form collects information on the transactions carried out by a Collective Investment Scheme (“CIS”) during

COLLECTIVE INVESTMENT

SCHEMES PORTFOLIO

the reporting period. It captures information on each purchase or sale of an asset by the CIS. It must be completed

by reporting entities that manage or distribute CISs in Trinidad and Tobago. The Form must be completed for each

TRANSACTIONS

CIS that is managed or distributed in Trinidad and Tobago. For a CIS issuing different classes of units, a separate

CIS Transaction Form must be completed and submitted for each class of units.

Unless otherwise stated all amounts are to be expressed in TTD.

Total CIS Transactions

This is a calculated field that automatically calculates the aggregate value of all transactions conducted by the CIS

10000

during the reporting period. This value is displayed at the bottom of Column L.

Transaction Date (dd/mm/yyyy)

State the date on which the transaction was executed.

Type of Transaction

State whether the transaction involves the purchase, sale or maturity of a security.

(Purchase/Sale/Matured)

Name of Issuer

State the legal name of the security issuer.

Coupon

State the annual coupon rate paid by the fixed income security, where applicable.

Maturity (dd/mm/yyy)

State the date on which the security will mature, if applicable.

Security Type (Equity/Fixed

State the type or category of security.

Income/Other)

Type

Select from the drop down menu whether the security has a fixed or floating rate, where the security cannot be

classified as fixed or floating select Not Applicable.

Category of Security

This field is used to categorize the security or asset that was purchased or sold by the CIS. Select one of the

following from the drop down menu:

 TT Government and Government Equivalent Securities;

 Statutory Bodies and state owned non- financial securities;

 TT Government Eurobonds;

 TT Bonds Financial Sector;

Form Sec-Mmrf10 Instructions - Collective Investment Scheme (Cis) Transactions