Form Sec-Mmrf10 Instructions - Collective Investment Scheme (Cis) Transactions (Page 2 of 2) in pdf

Form Sec-Mmrf10 Instructions - Collective Investment Scheme (Cis) Transactions Page 2

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

REFERENCE

AREA/ITEM

INSTRUCTIONS

NUMBER

 TT Other Corporate Bonds;

 TT Equity;

 TT CISs;

 Foreign CISs;

 Foreign Equity;

 Foreign Government Bonds;

 Foreign Non-Government Securities;

 Repurchase Agreement;

 Real Estate; or

 Other.

ISIN (if applicable)

State the ISIN or CUSIP number for the security, where applicable.

Currency (TT, US, etc)

State the currency in which the transaction is denominated.

Number of Units

State the total number of shares or nominal amount of the security held.

Price per unit

State the market price per unit of the security as at the transaction date.

Rate

State the TT$ conversion rate.

Value (TT$)

State the TT$ equivalent of the value of the transaction.

Nature of counterparty (Related Party,

Select from the drop-down menu, the category of the person or entity who either sold the security to the CIS or

bought the security from the CIS. The following categories are applicable:

CIS, Registrant, Other)

 Related Party - this refers to any person or company that is connected to the CIS or the CIS Manager;

 CIS – this refers to other Collective Investment Schemes;

 Registrant – this refers to individuals or companies that are registered with the Commission as Broker-Dealers,

Investment Adviser or Underwriters; or

 Other refers to a person not falling within aforementioned categories.

Form Sec-Mmrf10 Instructions - Collective Investment Scheme (Cis) Transactions Page 2