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Up to Mar 22 2006

PFN AMI 3 Applications and Notifications Concerning a Change in Control



Past version: effective up to Mar 22 2006.
To view other versions open the versions tab on the right.

To view past versions of this module in PDF format, please visit the Archive.

Please download the Form in PDF format.

Purpose of this form

This form must be submitted by an Authorised Market InstitutionG applying for approval from or notifying the DFSAG concerning a change in control of the Authorised Market InstitutionG . This form may also be used by a ControllerG .

Authorised Market Institutions are required to complete a form for each application or notification.

An Authorised Market InstitutionG or ControllerG must submit an application or notification, as applicable, concerning a change in control, at least 28 days in advance of the proposed change, or immediately upon becoming aware of a proposed or actual change in control.

Contents

This form consists of six sections:

1. ControllersG – individuals
2. ControllersG – undertakings
3. Details of new control or change in level of control
4. Additional information
5. Declaration
6. Attachments

Notes for completing this form

•  Defined terms are identified throughout this form by the capitalisation of the initial letter of a word or phrase and are defined in the Glossary module (GLO) of the DFSA’s RulebookG .
•  Section 1 must be completed if the application/notification of a change in control relates to an individual.
•  Section 2 must be completed if the application/notification of a change in control relates to an undertaking.
•  Section 3 and 5 must be completed in respect of all applications/notifications.
•  Please use section 4 if you wish to provide additional information that may clarify or support your answers in sections 1-3.
•  Questions must be fully answered and the use of abbreviations should be avoided.
•  Answers must be typed and the form must be signed by the Authorised Market Institution’s relevant Key IndividualG , DirectorG or the relevant ControllerG .
[Added][VER4/06-05]