Next Steps

Based on the fund and strategy selection you made in the investor inquiry form, the corresponding fund’s Private Placement Memorandum (PPM) and Operating Agreement (OA) were attached to your Thank you/Next Steps email.

If you are investing in the Cayman Fund, you would have also received the Memorandum of Association and Articles of Association in addition to the PPM(s) and OA. 

If you have any questions regarding the contents of these documents, please email invest@mutinyfund.com

**Note: If you are investing directly, please review the information below. If you are investing via a Registered Investment Advisor (RIA), you will instead receive these documents directly from your RIA team.**

You will receive an email from Formstack (InsureSign@send.insuresign.com) with pre-populated subscription documents and other supplemental documents requiring your electronic signature.

Email will look like this:

Documents in the e-signature Formstack Envelope will include:

• Acknowledgement of Receipt of PPM
• Acknowledgement of Receipt of OA
• Subscription Agreement
• Tax Form
  • W9 if US
  • W8ben if non US
  • W 8ben-e if non US entity
• Self Certification Form (for Cayman Investors only): You will be asked to complete a self certification form which has numerous fields. Please be thorough in your review of this form and complete all applicable fields.

If you listed a CPA, Lawyer or Financial Advisor in the investor information form, they will receive an email on your behalf to verify your accreditation. Non-US persons going into the Cayman Fund will not need to verify their accreditation.

If you DID NOT list a CPA, Lawyer or Financial Advisor in the investor information form, you can verify your accredited investor status using one of the following methods:

Preferred:

• Attached Accredited Investor Statement signed by third party (CPA, Investment Advisor, or Lawyer)
• Accredd – You can get your accreditation certified by our 3rd-party verifier. They use bank-level security and they don’t share your financial files with anyone – not even us! We’ll only have access to your accreditation status for compliance purposes.

Secondary option:

• Parallel markets

Once you have received a form confirming your verification from one of these services, please send the confirmation via email to invest@mutinyfund.com.

Upload your Photo Identification (if not done so already).

*Note: U.S. investors may upload a Driver’s License or Passport. Due to KYC/AML regulations, non-US investors must upload a photo of their passport.

**Note For Cayman Investors:
The Cayman Islands strictly requires Certified Copies for identification documentation. A Certified Copy means the document is certified by a lawyer, accountant, bank officer, fund director, registered investment professional, or notary public. Certifiers must (a) sign each copy, then add (b) a statement “Document certified is a true copy of the original”, and if photo shown, also “and photo is a true likeness of the individual.” Lastly, the certifier must (c) print their name clearly, include their position or title, and also write nearby their contact address and phone number.

• Individual Investors are required to provide a certified copy of a valid state photo ID such as passport, driver’s license or other state identification bearing photograph. If the language of the document is not in English, provide explanation of the document and translation of fields and data into English. If the identification does not indicate the physical address of the individual, also provide a copy of a recent utility bill or bank statement (no older than 3 months) confirming current physical address; or a reference from a regulated professional who knows Investor (such as a lawyer, accountant, or director of a regulated institution).
• Entity (non-individual) Investors are required to provide certified copies of registration documents and photocopies of formative documents, a list of authorized signatories with specimen signatures, and confirmation of the corporate authority of such signatories. If the language of the document is not in English, provide explanation of the document and translation of fields and data into English. Entity Investors are additionally required by the Anti-Money Laundering Regulations, 2020 of the Cayman Islands to provide their Beneficial Owners and identification of controlling parties.
  • Beneficial Owners means the natural person(s) who ultimately owns or controls the Investor, or on whose behalf this subscription transaction is being conducted and includes, but is not limited to:
    1. a natural person who ultimately owns or controls, whether through direct or indirect ownership or control, 10% or more of the shares or voting rights in the entity;
    2. a natural person who otherwise exercises ultimate effective control over the management of the entity. This can include any executive officer or senior manager or any other individual who regularly performs similar functions such as Managing Member, Director, or General Partner; or
    3. in the case of a legal arrangement such as a trust, the trustee or other person who exercises ultimate effective control over the legal arrangement.

  For any natural person identified as Beneficial Owner, provide first and last name, address, source of wealth, citizenship, date of birth, and a certified copy of valid passport or other state identification. If the identification does not indicate the physical address of the individual, also provide a copy of a recent utility bill or bank statement (no older than 3 months) confirming current physical address; or a reference from a regulated professional who knows Investor (such as a lawyer, accountant, or director of a regulated institution).

• Partnerships are required to provide a certified copy of the government registration of the Partnership along with a photocopy of the signed Partnership Agreement identifying the General Partner and/or the designate empowered to sign the subscription and redemption documents. If the general partner (or otherwise the managing member or manager) is also an entity, its state formative documents are also required. In addition, a certified copy of valid passport or other state identification must be provided for:
  • • for each Beneficial Owner holding 10% or more of ownership of the entity Investor;
    • at least two partners or controllers of the general partner or managing member or manager; and
    • the authorized signer who signed the subscription or redemption, but was not otherwise already identified under (1) and (2).

  If the identification provided does not indicate the physical address of the individual(s), also provide a copy of a recent utility bill or bank statement (no older than 3 months) confirming current physical address; or a reference from a regulated professional who knows Investor (such as a lawyer, accountant, or director of a regulated institution).

• Corporations are required to provide a certified copy of the government registration of the Corporation along with a photocopy of articles of incorporation with officer signatures. We additionally request a signed, certified corporate resolution identifying the corporate officer(s) empowered to sign the subscription and redemption documents. We also require a copy of the register of members, copy of the register of directors, and for complex ownership structures, an organizational structure chart. In addition, a certified copy of valid passport or other state identification must be provided for:
  • • for each Beneficial Owner holding 10% or more of ownership of the entity Investor;
    • at least one of the directors; and
    • the authorized signer who signed the subscription or redemption, but was not otherwise already identified under (1) and (2).

  If the identification provided does not indicate the physical address of the individual(s), also provide a copy of a recent utility bill or bank statement (no older than 3 months) confirming current physical address; or a reference from a regulated professional who knows Investor (such as a lawyer, accountant, or director of a regulated institution).

• Trusts are required to provide a full copy of the Trust Agreement. We can alternatively accept copies of pages from the Trust showing the following relevant sections: articles establishing Trust (showing name of the Trust) and naming Trustees, and also the articles or clauses showing Trustee signatures. In addition, a certified copy of valid passport or other state identification must be provided for Trustees of the Trust. If the identification provided does not indicate the physical address of the individual(s), also provide a copy of a recent utility bill or bank statement (no older than 3 months) confirming current physical address; or a reference from a regulated professional who knows Investor (such as a lawyer, accountant, or director of a regulated institution). We do additionally require for each settlor, grantor, donor, and trustee their first and last names, source of wealth, citizenship, and date and place of birth.
• Custodial Accounts (such as IRAs) are required to provide the corporate formative documents for the custodian including certified copy of state registration and a copy of its articles of incorporation (if applicable), along with the identification documentation for the individual account beneficiary (a certified copy of valid passport or other state identification). In lieu of the identification documentation for the beneficiary, the custodian can provide an AML letter certifying their AML program and the scope of its controls.

Once we receive your signed documents, we will send them to our third party administrator for their approval. If necessary, our administrator may contact you directly asking for follow up information or documentation.

Once our administrator has confirmed that everything is in order, you will receive instructions to send either a wire or a check to our account at CIBC Bank for the amount of your subscription.

Once your documents have been reviewed and approved, you will receive an email from us with wire instructions.

Timeline recommendations:
Please note that your signed subscription documentation must be finalized 8 business days prior to the end of the month. If you submitted this later than 8 business days, then your investment will be effective the subsequent month. (E.g. If you don’t sign your documents until January 21st, the deadline for February 1st will have passed so your investment would have an effective date of March 1st.)

Signing your subscription agreement is not binding and we will not consider your investment active until we receive your wire.

Subscriptions wires must be received no later than 5 business days prior to the end of the month by 4:30pm ET/1:30pm PT in order to be active at the start of the following month.

Confirmation of non US person status.

Due to our regulatory structure, we are unable to allow any US persons (including citizens, permanent residents, and green card holders) or US entities with the exception of tax-exempt organizations described in Section 501(c)(3) of United States Internal Revenue Code of 1986, as amended, to invest into Mutiny Cayman Funds, Ltd. On the investor information form, you indicated that you are not a US person, nor investing via an entity which has any owners that are US persons.

If you are a US person or investing on behalf of an entity with US person owners, please reply to this email to let us know and we can discuss your options. If you are a US person, failure to notify us will result in your investment into Mutiny Cayman Funds, Ltd. being rejected and paperwork will need to be voided and redone for our US Funds.