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  • Application Forms and Notices Module (AFN) [VER46/02-19]

    Please click here to view the PDF.

    • [Deleted]


      • The content selected is no longer in force and cannot be presented in Whole Section view.

    • [Deleted]

      Deleted and replaced by Chapter 9 — AFN MKT Forms effective 16th August 2012.

    • 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.

    • Chapter 9 — AFN DNFBP Forms

      • AFN DNF1 Designated Non-Financial Business or Profession (DNFBP) Registration Form

        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 a DNFBP in order to register with the DFSA to carry on its business activity in or from the DIFC. A registration notice must be submitted in relation to any of the DNFBP types contained in section 2. In some cases, the DFSA may require additional information in order to complete the processing of this application. If this is necessary, the DFSA will contact the DNFBP's nominated person identified in section 1 and/or section 3.

        Contents

        This form consists of the below sections:

        1. DNFBP Details
        2. Type of DNFBP
        3. Anti Money Laundering
        4. Declaration
        5. Applicable Fees
        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 AML module of the DFSA's Rulebook. Some of the defined terms and abbreviations may also be found in the Glossary module of the DFSA Rulebook.
        •    You should read and be familiar with the AML module (AML) of the DFSA's Rulebook.
        •    All relevant sections must be completed.
        •    Questions must be fully answered and the use of abbreviations should be avoided.
        •    Do not leave any questions blank — if a question is not applicable this should be indicated in the response section.
        •    Answers must be typed and the form must be signed by a Director/Partner, or a member of the DNFBP's senior management.
        •    Please ensure any supporting documentation is clearly labelled and securely attached.

      • AFN DNF2 Designated Non-Financial Business or Profession (DNFBP) Changes to registration details

        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 used by a DNFBP to notify the DFSA of any changes in its name, legal status, address or, if applicable, its MLRO. The DFSA may require additional information in order to complete the processing of this notification.

        Contents

        This form consists of five sections:

        1. Summary of changes
        2. Changes to DNFBP details
        3. Changes to MLRO
        4. Declaration
        5. 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 AML module of the DFSA's Rulebook. Some of the defined terms and abbreviations may also be found in the Glossary module of the DFSA Rulebook.
        •    Please fill in the section(s) relevant to the change(s) of your firm.
        •    Questions must be fully answered and the use of abbreviations should be avoided.
        •    Do not leave any questions blank in the relevant section of change(s) — if a question is not applicable this should be indicated in the response section.
        •    Answers must be typed and the form must be signed by a Director/Partner, or a member of the DNFBPs senior management.
        •    Please ensure any supporting documentation is clearly labelled and securely attached.

    • Chapter 10 — AFN AML Forms

      • AFN AML Annual AML Return

        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 Return

        This AML Return must be submitted by every Relevant Person who is required to under Rule 14.5.1 of the AML module of the DFSA Rulebook. The AML Return is required to be completed annually and submitted to the DFSA within four months of the end of the submitter's financial year end, and be signed by the Governing Body and/or senior management of the Relevant Person.

        This AML return is one the supervisory tools used by the DFSA to assess a Relevant Person's compliance with its AML obligations. The form will also allow the DFSA to identify and action any relevant AML issues and trends that emerge in the DIFC. Similarly, this AML Return may also form a part of a Relevant Person's systems and controls for monitoring compliance with its AML obligations.

        Notes for completing this Return

        •    You should familiarise yourself with the AML module before completing this return.
        •    All sections must be completed, where appropriate.
        •    Questions must be answered in full and the use of abbreviations should be avoided.
        •    Do not leave any questions blank — if a question is not applicable this should be indicated in the response section.
        •    If there is insufficient space to answer a question, please attach the answer in an appendix.
        •    Answers must be typed.
        •    Please ensure any supporting documentation is clearly labelled and attached.
        •    The AML Return includes, where appropriate, the relevant AML module Rule reference. These references should assist in framing the context of your answer. The Rule reference should also assist in determining if the question is applicable.
        •    If the answer to all or part of any question is covered within your AML Policies and Procedures, please provide the relevant reference and page number to that information in your response.

        Contents of AML Return

        A. Relevant Person Details
        B. Compliance with AML Obligations
        C. Applying a Risk Based Approach
        D. Customers and Customer Due Diligence
        E. Reliance and Outsourcing
        F. Audit
        G. Sanctions and Other International Obligations
        H. AML Training and Awareness
        I. Suspicious Activity Reports
        J. Governing Body/ Senior Management Declaration