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  • Chapter 4 — Chapter 4 — AFN GEN Forms

    • AFN GEN1 Application for Registration as an auditor

      Set out here are the preliminary notes relating to the form; click here to download the specific AFN form above in Word formatWord format.

      Purpose of this form

      This form must be submitted by an audit firm wishing to apply for registration as an Auditor. An Auditor means a partnership or company that is registered by the DFSA to provide audit services to Authorised Firms and Authorised Market Institutions that are Domestic Firms or to Domestic Funds.

      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 nominated contact identified in section 1.

      Contents

      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/Partner and the Anti Money Laundering Officer (if different).
      •  Please ensure any supporting documentation is clearly labelled and securely attached.
      [Amended][VER2/11-06]
      [Amended][VER3/10-07]

    • AFN GEN2 Request for Modification

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