Home   Browse contents   View updates   Search  
     Quick search
Go
   

BackText onlyPrint

You need the Flash plugin.

Download Macromedia Flash Player



  • Chapter 8 — AFN MKT Forms

    • AFN MKT1 Application for Prospectus Approval

      Set out here are the preliminary notes relating to the form, click here to download the specific AFN form above, press "Read only" and then enter details where the form permits you to.

      Purpose of this form

      This form must be submitted by an Applicant who is required to issue a Prospectus pursuant to Article 14 of the Markets Law 2012 or a Supplementary Prospectus pursuant to Article 18 of the Markets Law 2012.

      Notes for completing this form

      •   In this form, the term Applicant means an applicant seeking the approval of a Prospectus in accordance with the requirements prescribed in the Markets Rules (MKT) of the DFSA Rulebook.
      •   Defined terms are identified throughout this application form by the capitalisation of the initial letter of a word or phrase and are defined in the Glossary module (GLO) of the DFSA Rulebook.
      •   A Prospectus includes the Summary, Registration Statement and Securities Note as specified in the MKT.
      •    Where applicable, Applicants must submit documents and fees required under Rule 2.6 or 6.3 of the MKT.
      •   This application form on the DFSA's website is in PDF format. Editable Microsoft Word version may be obtained from the DFSA on request.
      •   A passport copy of the individual authorised to sign the declaration must be provided with this form.
      •   Applications will not be processed until the relevant fee is paid in full to the DFSA. Details of the fee schedule are set out in the Fees module of the DFSA Rulebook. Please make the payment by bank transfer in US Dollars to the account listed below. Cheques or bank drafts will not be accepted.
      Account name Dubai Financial Services Authority
      Account number 020-683751-100
      IBAN: AE080200000020683751100
      Bank details HSBC Bank Middle East
      PO Box 66, Dubai, UAE
      Swift code BBMEAEAD
      Reference to be quoted Application fee [applicant name]

      (Kindly provide a copy of the remittance advice to the DFSA)

    • AFN MKT2 Application for Admission of Securities to the Official List of Securities of the DFSA

      Set out here are the preliminary notes relating to the form, click here to download the specific AFN form above, press "Read only" and then enter details where the form permits you to.

      Purpose of this form

      This form must be submitted by any Person which proposes to seek an admission of Securities to the Official List of Securities maintained by the DFSA. This application must be made pursuant to Chapter 9 (The Listing Rules) of the Markets Rules of the DFSA Rulebook (MKT).

      Contents

      Section Title Who should complete the section
      1 General Information To be completed by all Applicants
      2 Security Details To be completed by all Applicants
      3 Trading Details To be completed by all Applicants
      4 Additional Information To be completed where relevant
      5 Prospectus Exemptions To be completed where relevant
      6 Islamic Securities To be completed where relevant
      7 Declaration To be completed by all Applicants

      Notes for completing this form

      •   In this form, the term "Applicant" means an applicant for admission of Securities to the Official List of Securities of the DFSA and includes, where the context requires, the Issuer.
      •   In this form, a reference to Securities is a reference to the Securities of the Issuer or, where the context requires, the Securities for which the Applicant is or proposes to be a Reporting Entity but not the Issuer.
      •   In this form, a reference to the "Listing Rules" is a reference to Chapter 9 of the MKT and relevant appendices.
      •   Defined terms are identified throughout this application form by the capitalisation of the initial letter of a word or phrase and are defined in the Glossary module (GLO) of the DFSA Rulebook.
      •   Questions must be answered fully and the use of abbreviations or acronyms should be avoided or such acronym clearly defined.
      •   Do not leave any questions blank. If a question is not applicable this should be indicated in the response section. Failure to answer questions or provide full responses may delay the progress of the application.
      •   Prior to completion of this form, Applicants are strongly urged to read the Markets Law 2012 and MKT to ensure appropriate information is provided to the DFSA.
      •   Answers must be typed in electronic format and the form must be signed by a Director of the Applicant.
      •    A passport copy of the the individual authorised to sign the declaration must be provided with this form.
      •   Applicants are reminded that any material changes to any information submitted in this application whilst it is under consideration by the DFSA must be immediately notified to the DFSA, and that failing to provide such information may lead to an offence under Article 66 of the Regulatory Law 2004 if it causes information submitted to the DFSA to be false, misleading or deceptive at the time that the DFSA relies upon it.
      •   The application will not be processed until the relevant fee is paid in full to the DFSA. Details of the fee schedule are set out in the Fees module of the DFSA Rulebook. Please make the payment by bank transfer in US Dollars to the account listed below. Cheques or bank drafts will not be accepted.
      Account name Dubai Financial Services Authority
      Account number 020-683751-100
      IBAN: AE080200000020683751100
      Bank details HSBC Bank Middle East
      PO Box 66
      Dubai, UAE
      Swift code BBMEAEAD
      Reference to be quoted Application fee [applicant name]

      (Kindly provide a copy of the remittance advice to the DFSA)

    • AFN MKT3 Sponsor's Declaration

      Set out here are the preliminary notes relating to the form, click here to download the specific AFN form above, press "Read only" and then enter details where the form permits you to.

      Notes for completing this form

      •   Defined terms are identified throughout this declaration 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 Rulebook.
      •   The DFSA requires the original of the completed sponsor¡¦s declaration. No facsimiles will be accepted. The declaration must be signed and initialled manually where necessary and not mechanically or electronically.
      •   This declaration form is in PDF format on the DFSA's website. Editable Microsoft Word version can be obtained from the DFSA on request.
      •   A passport copy of the individual authorised to sign this declaration must be provided with this declaration.

    • AFN MKT4 Application for a Waiver & Modification Form

      Click here to download the specific AFN form above, press "Read only" and then enter details where the form permits you to.