AFN AUT–CON Applications and Notifications Concerning a Change in Control

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 Authorised Firm applying for approval or notifying the DFSA concerning a change in control of the Authorised Firm, this form may also be used by a Controller.

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

An Authorised Firm 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

Section Title
1 Controllers (Individuals)
2 Controllers (Undertakings)
3 Details of new controls or change in level of control
4 Additional information
5 Declaration

Notes for completing this form

•  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'sRulebook.
•  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 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 answered fully and the use of abbreviations or acronyms should be avoided or defined.
•  Answers must be typed in electronic format and the form must be signed by the Authorised Firm'sSenior Executive Officer, Compliance Officer or relevant Controller.