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Application Forms and Notices Module (AFN) [VER30/08-14]

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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.

Past version: effective from Sep 1 2014 - Mar 22 2015.
To view other versions open the versions tab on the right.


Contents:
Chapter 1 — AFN Introduction
AFN 1.1 Application
AFN 1.2 Defined terms
Chapter 2 — AFN AUT Forms
AFN AUT–NOTES Applying for Authorisation — Notes for Applicants
AFN AUT–CORE Applying for Authorisation — Core Information Form
AFN AUT–AMS Applying for Authorisation — Asset Management Supplement
AFN AUT–STS Applying for Authorisation — Sales and Trading Supplement
AFN AUT–BLS Applying for Authorisation — Banking and Lending Supplement
AFN AUT–INS Applying for Authorisation — Insurance Supplement
AFN AUT–IFS Applying for Authorisation — Islamic Finance Business Supplement
AFN AUT–PFS Applying for Authorisation — Public Fund supplement
AFN AUT–EFF Applying for Authorisation — Exempt Fund Form
AFN AUT–QIFM QIF Domestic Fund Manager Form
AFN AUT–QIF Qualified Investor Fund: Notification Form
AFN AUT–EFM External Fund Manager Form
AFN AUT–EXF External Fund: Notification Form
AFN AUT–REP Applying for Authorisation as a Representative Office
AFN AUT–CON Applications and Notifications Concerning a Change in Control
AFN AUT–IND1 Authorised Individual Status
AFN AUT–IND2 Application to Extend or Vary Authorised Individual Status
AFN AUT–IND3 Application to Withdraw Authorised Individual Status
AFN AUT–IND4 Applying to become the Principal Representative
AFN AUT–IND 5 Application for authorisation Key Individual status
AFN AUT–IND 6 Application to extend or vary Key Individual status
AFN AUT–IND 7 Application to withdraw Key Individual status
AFN AUT–CRA Applying for Authorisation as a Credit Rating Agency
[Deleted]
AFN ASP1 [Deleted]
AFN ASP2 [Deleted]
AFN ASP3 [Deleted]
Chapter 3 — AFN SUP Forms
AFN SUP1 Reporting Return Coversheet
AFN SUP2 Application for a Waiver
AFN SUP3 Application for approval for a Cell of a Protected Cell Company—Insurance
AFN SUP4 Applying to vary a Licence
AFN SUP5 Application to add or remove an endorsement on a Licence to carry on Financial Services with Retail Clients
AFN SUP6 Applying to withdraw a Licence
Chapter 4 — AFN GEN Forms
AFN GEN1 Application for Registration as an auditor
AFN GEN2 Request for Modification
Chapter 5 — AFN CIR Forms
AFN CIR Notification of the marketing and selling of Funds
Deleted Forms
Chapter 6 — AFN AMI Forms
AFN AMI1 Reporting Return Coversheet
AFN AMI2 Application for a Waiver
AFN AMI3 Applications and Notifications Concerning a Change in Control
[Deleted]
AFN COB1 [Deleted]
Chapter 7 — AFN REC Forms
AFN REC1 Application for Recognised Member status
[Deleted]
AFN OSR1 [Deleted]
AFN OSR2 [Deleted]
Chapter 8 — AFN MKT Forms
AFN MKT1 Application for Prospectus Approval
AFN MKT2 Application for Admission of Securities to the Official List of Securities of the DFSA
AFN MKT3 Sponsor's Declaration
AFN MKT4 Application for a Waiver & Modification Form
Chapter 9 — AFN DNFBP Forms
AFN DNF1 Designated Non-Financial Business or Profession (DNFBP) Registration Form
AFN DNF2 Designated Non-Financial Business or Profession (DNFBP) Changes to registration details
Chapter 10 — AFN AML Forms
AFN AML Annual AML Return
Chapter 11 — AFN AUD Forms
AFN AUD1 Notification of Intention to continue to undertake responsibilities of an Audit Principal for a Registered Auditor
AFN AUD2 Application to withdraw Audit Principal Status