Note: The following items marked with NEW have been recently added or updated.

Investment Funds Forms

The guidelines for applying for a licence under section 11(1) (Full) or 11(2) (Restricted) of the Mutual Funds Law is contained in The Mutual Fund Administrators Licence (Applications) Regulations.

The application for a mutual fund under Section 4(3) of the Mutual Funds Law (Form MF1), duly completed and accompanies by the relevant supporting documentation and the prescribed fee, is used when applying to be registered as a mutual fund under section 4(3) of the Mutual Funds Law. 

The application for a mutual fund under Section 4(1)(b) of the Mutual Funds Law (Form MF2/MF2A), duly completed and accompanies by the relevant supporting documentation and the prescribed fee, is used when applying to be registered as a mutual fund under section 4(1)(b) of the Mutual Funds Law. The Mutual Fund Administrator, licensed by CIMA, which will provide services to the fund, must compelte the form MF2/MF2A.

The application for a mutual fund under Section 4(1)(a) of the Mutual Funds Law (Form MF3), duly completed and accompanies by the relevant supporting documentation and the prescribed fee, is used when applying to be licensed as a mutual fund under section 4(1)(a) of the Mutual Funds Law. 

The application for a master fund under Section 4(3)(a)(iii) of the Mutual Funds Law (Form MF4), duly completed and accompanies by the relevant supporting documentation and the prescribed fee, is used when applying to be registered as a master fund under section 4(3)(a)(iii) of the Mutual Funds Law. 

The application form for a Limited Investor fund under Section 4(4) of the Mutual Funds Law (App-101-78/Form MF1a), duly completed and accompanied by the relevant supporting documentation and the prescribed fee, is used when applying to be regulated as a fund under section 4(4) of the Mutual Funds Law. 

The application form for a Limited Investor Master Fund under Section 4(4) of the Mutual Funds Law (App-101-79 )/Form MF1a),  duly completed and accompanied by the relevant supporting documentation and the prescribed fee, is used when applying to be regulated as a fund under section 4(4) of the Mutual Funds Law. 

Audited Financial Statements and Fund Annual Return Form

Details regarding updates made to the below Fund Annual Return (“FAR”) Forms can be found in the Notice to Industry  dated 14 June 2016.

Reporting Form

All funds regulated under the Mutual Funds Law are required to submit an annual return (FAR Form Version 3.0) to the Authority within six months of the fund’s financial year-end. 

Cyber Incident Report

• Cyber Incident Report

This form is intended to provide a systematic and standardized means of alerting the Authority of cyber breaches, and to provide periodic update reports through to incident resolution. A cyber incident should be reported immediately when it is deemed to have a material impact or has the potential to become a material incident. Material cyber threats may include instances of significant loss of data or system controls; potential to impact a significant volume of clients; where unauthorized parties are able to gain or has gained access to your systems; unauthorized parties are able to introduce material, software, viruses, or spyware to your systems; and/or alter or extract data from your systems.

Forms should be submitted to LicenseeQueries@cima.ky.    

Personal Questionnaire

• Personal Questionnaire

The Cayman Islands Monetary Authority requires that every Director, Officer, Manager and Shareholder who is a natural person holding more than 10%, who wishes to be appointed to a company licensed under Sections 4(1)(a), 11(1) and 11(2) of the Mutual Fund Administrators Licence (Applications) Regulations, complete a Personal Questionnaire and submit it with the supporting documentation described in Form MF3.