Entire Section

  • Not in use — see new AFN sourcebook

    • PFN SUP 1 Reporting Return Coversheet

      Please download the Form in PDFPDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN SUP 2 Application for a Waiver

      Please download the Form in PDFPDF format.

      Purpose of this form

      An Authorised Firm wishing to apply for a waiver of a rule must submit this form.

      Contents

      This form consists of six sections:

      1. Authorised Firm details
      2. Details of waiver sought
      3. Research and reasons
      4. Publication
      5. Additional information
      6. Declaration and signature

      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 Rulebook.


      • Sections 1, 2, 3, 4 and 6 must be completed.


      • Please use section 5 if you wish to provide additional information that may clarify or support your answers in sections 1-4.


      • Questions must be fully answered and the use of abbreviations should be avoided.


      • Answers must be typed and the form must be signed by either the Authorised Firm’s Senior Executive Officer or Compliance Officer.


      • Please ensure any supporting documentation is clearly labelled and securely attached.


      • When completed, submit this application form in line with SUP chapter 3. You may send applications by post or hand delivered and addressed to your usual supervisory contact.

        The address for postal submission is:

        DUBAI FINANCIAL SERVICES AUTHORITY
        AUTHORISATION DEPARTMENT
        LEVEL 13, THE GATE
        PO BOX 75850
        DUBAI, UAE


      • You can inspect published waivers on the DFSA website: www.dfsa.ae

      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN SUP 3 Application for approval for a Cell of a Protected Cell Company — Insurance

      Please download the Form in PDFPDF format.

      Purpose of this form

      An Authorised Firm wishing to apply for an additional Cell must submit this form.

      Contents

      This form consists of nine sections:

      1. Authorised Firm details
      2. Ownership details
      3. Insurance business
      4. General
      5. Additional information
      6. Money Laundering declaration
      7. Declaration and signature
      8. 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 Rulebook.


      • Sections 1, 2, 3, 4, 6 and 7 must be completed.


      • Please use section 5 if you wish to provide additional information that may clarify or support your answers in sections 1-4.


      • 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 Firm’s Senior Executive Officer.


      • Please ensure any supporting documentation is clearly labelled and securely attached.


      • When completed, submit this application form in line with SUP chapter 9. You may send applications by post or hand delivered and addressed to your usual supervisory contact.


      The address for postal submission is:

      DUBAI FINANCIAL SERVICES AUTHORITY
      AUTHORISATION DEPARTMENT
      LEVEL 13, THE GATE
      PO BOX 75850
      DUBAI, UAE


    • Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]