Entire Section

  • Chapter 6 — Chapter 6 — AFN AMI Forms

    • AFN AMI1 Reporting Return Coversheet

      Please click here to download the specific AFN form above in Word formatWord format.

    • AFN AMI2 Application for a Waiver

      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

      An Authorised Market Institution wishing to apply for a waiver of a Rule must submit this form.

      Contents

      This form consists of six sections:

      1. Authorised Market Institution 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 Market Institution's relevant Key Individual or Director.
      •  Please ensure any supporting documentation is clearly labelled and securely attached.
      •  When completed, submit this application form in line with GEN section 11.2. You may send applications by post or hand delivered and addressed to your usual market 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

    • AFN AMI3 Applications and Notifications Concerning a Change in Control

      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 Authorised Market Institution applying for approval from or notifying the DFSA concerning a change in control of the Authorised Market Institution. This form may also be used by a Controller.

      Authorised Market Institutions are required to complete a form for each application or notification.

      An Authorised Market Institution or Controller must submit an application or notification, as applicable, concerning a change in control, at least 28 days in advance of the proposed change, or immediately upon becoming aware of a proposed or actual change in control.

      Contents

      This form consists of six sections:

      1. Controllers—individuals
      2. Controllers—undertakings
      3. Details of new control or change in level of control
      4. Additional information
      5. Declaration
      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 Glossary module (GLO) of the DFSA's Rulebook.
      •  Section 1 must be completed if the application/notification of a change in control relates to an individual.
      •  Section 2 must be completed if the application/notification of a change in control relates to an undertaking.
      •  Section 3 and 5 must be completed in respect of all applications/notifications.
      •  Please use section 4 if you wish to provide additional information that may clarify or support your answers in sections 1–3.
      •  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 Market Institution's relevant Key Individual, Director or the relevant Controller.