Chapter 4 — Chapter 4 — AFN GEN Forms
AFN GEN1 Application for Registration as an auditor
Purpose of this form
This form must be submitted by an audit firm wishing to apply for registration as an
Auditor. An Auditormeans a partnership or company that is registered by the DFSAto provide audit services to Authorised Firmsand Authorised Market Institutionsthat are Domestic Firmsor to Domestic Funds.
In some cases, the
DFSAmay require additional information in order to complete the processing of this application. If this is necessary, the DFSAwill contact the nominated contact identified in section 1.
This form consists of seven sections:
1 Audit firm details 2 Anti Money Laundering 3 Fit & proper questionnaire for AMLO 4 Fit & proper questionnaire for audit firm 5 Declaration 6 Payment of Fees 7 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's Rulebook.• All 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/ Partnerand the Anti Money Laundering Officer(if different).• Please ensure any supporting documentation is clearly labelled and securely attached.[Amended][VER2/11-06]