AFN MKT1 Application for Application for Prospectus Approval

Past version: effective from 16/08/2012 - 17/07/2013
To view other versions open the versions tab on the right

Set out here are the preliminary notes relating to the form, click here 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.

Note that a Prospectus may be structured either as multiple documents comprising a Summary, Registration Statement and a Securities Note or a single document containing a Summary and all the information required to be included in the Registration Statement and the Securities Note.


Section Title Who should complete the section
1 Application Details To be completed by all Applicants
2 Applicants contact details To be completed by all Applicants
3 Details of Adviser Acting on Behalf of the Applicant (If applicable) To be completed by all Applicants
4 Declaration To be completed by all Applicants
5 Appendices
•   Appendix 1
Contents of Prospectus (Shares)
•   Appendix 2
Contents of Prospectus (Debentures)
•   Appendix 3
Non-Applicability Letter
•   Appendix 4
Document Checklist
To be completed by Applicants where relevant

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.
•   Applicants must provide the identity of the Person who is or intends to be the Reporting Entity in section 1 of this form.
•   Applicants must complete the Registration Statement and Securities Note checklists in Appendix 1 & 2 of this form
•   An Applicant must submit a non-applicability letter if the Applicant has identified one or more of the contents requirements of the Registration Statement or the Securities Note as specified in MKT as being non-applicable to the Applicant or its Securities. The template for the non-applicability letter is in Appendix 3 of this form.
•   Applicants must submit documents as listed in Appendix 4 of this form.
•   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 this form must be provided with the 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)