Application Forms and Notices Module (AFN) [VER35/02-16]

Past version: effective from 11/02/2016 - 02/04/2016
To view other versions open the versions tab on the right

Click herehere to view the full AFN Module [VER35/02-16]

Click herehere to view AUT NOTES Applying for Authorisation — Notes for Applicants.

Click herehere to view AUT CORE Applying for Authorisation — Core Information Form.

Click herehere to view AUT AMS Applying for Authorisation — Asset Management Supplement.

Click herehere to view AUT STS Applying for Authorisation — Sales and Trading Supplement.

Click herehere to view AUT BLS Applying for Authorisation — Banking and Lending Supplement.

Click herehere to view AUT INS Applying for Authorisation — Insurance Supplement.

Click herehere to view AUT IFS Applying for Authorisation — Islamic Finance Business Supplement.

Click herehere to view AUT PFS Public Fund Supplement.

Click herehere to view AUT EFF Exempt Fund Form.

Click herehere to view AUT QIFM QIF Domestic Fund Manager Form.

Click herehere to view AUT QIF Qualified Investor Fund: Notification Form.

Click herehere to view AUT EFM External Fund Manager Form.

Click herehere to view AUT EXF External Fund: Notification Form.

Click herehere to view AUT REP Applying for Authorisation as a Representative Office.

Click herehere to view AUT CON Applications and Notifications Concerning a Change in Control.

Click herehere to view AUT IND1 Applying for Authorisation — Authorised Individual Status.

Click herehere to view AUT IND2 Application to Extend or Vary Authorised Individual Status.

Click herehere to view AUT IND3 Application to Withdraw Authorised Individual Status or Principal Representative Status.

Click herehere to view AUT IND4 Applying to become the Principal Representative.

Click herehere to view AUT IND5 Application for authorisation — Key Individual status.

Click herehere to view AUT IND6 Application to extend or vary — Key Individual status.

Click herehere to view AUT IND7 Application to withdraw — Key Individual status.

Click herehere to view AUT CRA Applying for Authorisation as a Credit Rating Agency.

Click herehere to view SUP1 Reporting Return Coversheet.

The SUP2 form has been deleted — please use GEN1 Form.

Click herehere to view SUP3 Application for approval for a Cell of a Protected Cell Company — Insurance.

Click herehere to view SUP4 Applying to vary a Licence.

Click herehere to view SUP5 Application to Add or Remove an Endorsement on a Licence to Carry on Financial Services with Retail Clients.

Click herehere to view SUP6 Applying to withdraw a Licence.

Click herehere to view GEN1 Application for a waiver or modification.

Click herehere to view GEN2 Notification of appointment, resignation and termination of an Auditor.

Click herehere to view CIR Notification of the Marketing and Selling of Funds.

Click herehere to view AMI1 Reporting Return Coversheet.

The AMI2 form has been deleted — please use GEN1 Form.

Click herehere to view AMI3 Applications and Notifications Concerning a Change in Control.

Click herehere to view REC1 Application for Recognised Member Status.

Click herehere to view MKT1 Application for the Approval of a Prospectus and the Admission of Securities to the Official List.

The MKT2 form has been deleted — please use MKT1 Form.

Click herehere to view MKT3 Sponsor's Declaration.

The MKT4 form has been deleted — please use GEN1 Form.

Click herehere to view DNF1 Designated Non-Financial Business or Profession (DNFBP) Registration Form.

Click herehere to view DNF2 Designated Non-Financial Business or Profession (DNFBP) — Changes to registration details.

Click herehere to view AML Annual AML Return.

Click herehere to view AUD1 Notification of Intention to continue to undertake responsibilities of an Audit Principal for a Registered Auditor.

Click herehere to view AUD2 Application to withdraw Audit Principal Status.

Click herehere to view AUD3 Application for registration as a Registered Auditor.

Click herehere to view AUD4 Application for registration as an Audit Principal.

Click herehere to view AUD5 Applying to withdraw registration as a Registered Auditor.

Click herehere to view AUD6 Registered Auditor — Money Laundering Reporting Officer (MLRO).

Click herehere to view AUD7 Annual Information Return