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Apr 1 2006 - Dec 15 2009Dec 16 2009 - Mar 22 2015

AFN AMI3 Applications and Notifications Concerning a Change in Control



Whole Section PDF

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 Dec 16 2009 - Mar 22 2015.
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.

Set out here are the preliminary notes relating to the form; click here to download the specific AFN form above in Word 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 InstitutionsG 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 GlossaryG module (GLOG ) of the DFSA'sG 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'sG relevant Key IndividualG , DirectorG or the relevant ControllerG .