MKT 6.3 Guidance

1. The Prospectus requirements including content and structure in chapter 2 of this module do not apply to Prospectuses relating to Units of Funds. Prospectus requirements that apply to Offer of Units of Funds are found in the Collective Investment Law 2010 and the CIR module. See Article 10(1) of the Law which disapplies chapter 2 of this module to Fund Prospectuses.
2. However, under Article 14(1)(b) of the Law, a Prospectus is required for the purposes of admitting any Securities, including Units, to trading on an Authorised Market Institution, or for admitting Security Tokens to an Alternative Trading System. The Rules in this MKT section 6.3 are designed to enable a Person seeking to have Units of a Fund admitted to trading on an Authorised Market Institution or, where the Units are Security Tokens, to an Alternative Trading System, to be able to use a Prospectus prepared in accordance with the requirements in the Collective Investment Law 2010 and the Rules in the CIR module if it is a Domestic Fund. In the case of Foreign Funds, the offer documents prepared in accordance with the requirements in a foreign jurisdiction will be acceptable in the circumstances prescribed in this section.
Derived from RM81/2011 (Made 30th November 2011). [VER1/11-11]
[Added] DFSA RMI313/2021 (Made 30th June 2021). [VER18/10-21]