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Application Forms and Notices Module (AFN) [VER38/08-16]



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The definitive version of DFSA handbook text is the PDF version as that is the text of the instrument as made and published by the DFSA.

Click here to view the full AFN Module [VER38/08-16]

Click here to view AUT NOTES Applying for Authorisation — Notes for Applicants.

Click here to view AUT CORE Applying for Authorisation — Core Information Form.

Click here to view AUT AMS Applying for Authorisation — Asset Management Supplement.

Click here to view AUT STS Applying for Authorisation — Sales and Trading Supplement.

Click here to view AUT BLS Applying for Authorisation — Banking and Lending Supplement.

Click here to view AUT INS Applying for Authorisation — Insurance Supplement.

Click here to view AUT IFS Applying for Authorisation — Islamic Finance Business Supplement.

Click here to view AUT PFS Public Fund Supplement.

Click here to view AUT EFF Exempt Fund Form.

Click here to view AUT QIFM QIF Domestic Fund Manager Form.

Click here to view AUT QIF Qualified Investor Fund: Notification Form.

Click here to view AUT EFM External Fund Manager Form.

Click here to view AUT EXF External Fund: Notification Form.

Click here to view AUT REP Applying for Authorisation as a Representative Office.

Click here to view AUT CON Applications and Notifications Concerning a Change in Control.

Click here to view AUT IND1 Applying for Authorisation — Authorised Individual Status.

Click here to view AUT IND2 Application to Extend or Vary Authorised Individual Status.

Click here to view AUT IND3 Application to Withdraw Authorised Individual Status or Principal Representative Status.

Click here to view AUT IND4 Applying to become the Principal Representative.

Click here to view AUT IND5 Application for authorisation — Key Individual status.

Click here to view AUT IND6 Application to extend or vary — Key Individual status.

Click here to view AUT IND7 Application to withdraw — Key Individual status.

Click here to view AUT CRA Applying for Authorisation as a Credit Rating Agency.

Click here to view SUP1 Reporting Return Coversheet.

The SUP2 form has been deleted — please use GEN1 Form.

Click here to view SUP3 Application for approval for a Cell of a Protected Cell Company — Insurance.

Click here to view SUP4 Applying to vary a Licence.

Click here to view SUP5 Application to request an endorsement on the Licence of a new applicant firm or add or remove an endorsement on the Licence of an existing firm.

Click here to view SUP6 Applying to withdraw a Licence.

Click here to view GEN1 Application for a waiver or modification.

Click here to view GEN2 Notification of appointment, resignation and termination of an Auditor.

Click here to view CIR Notification of the Marketing and Selling of Funds.

Click here to view AMI1 Reporting Return Coversheet.

The AMI2 form has been deleted — please use GEN1 Form.

Click here to view AMI3 Applications and Notifications Concerning a Change in Control.

Click here to view REC1 Application for Recognised Member Status.

Click here to view MKT1 Application for the Approval of a Prospectus and the Admission of Securities to the Official List.

The MKT2 form has been deleted — please use MKT1 Form.

Click here to view MKT3 Sponsor's Declaration.

The MKT4 form has been deleted — please use GEN1 Form.

Click here to view DNF1 Designated Non-Financial Business or Profession (DNFBP) Registration Form.

Click here to view DNF2 Designated Non-Financial Business or Profession (DNFBP) — Changes to registration details.

Click here to view AML Annual AML Return.

Click here to view AUD1 Notification of Intention to continue to undertake responsibilities of an Audit Principal for a Registered Auditor.

Click here to view AUD2 Application to withdraw Audit Principal Status.

Click here to view AUD3 Application for registration as a Registered Auditor.

Click here to view AUD4 Application for registration as an Audit Principal.

Click here to view AUD5 Applying to withdraw registration as a Registered Auditor.

Click here to view AUD6 Registered Auditor — Money Laundering Reporting Officer (MLRO).

Click here to view AUD7 Annual Information Return