AFN AUT–IND 5 Application for authorisation Key Individual status
Purpose of this form
This form must be completed and submitted by both the Authorised Market Institution or an applicant for such a licence ("applicant firm") which wishes to appoint an individual to perform one or more Key Individual functions in AMI Rule 5.3.1(2), and the relevant individual ("applicant individual").
Before submitting an application to the DFSA, the applicant firm must make all reasonable enquiries as to the individual's fitness and propriety to carry out the relevant Key Individual functions.
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 person identified as the applicant firm's relevant contact to obtain such additional information.
An Authorised Market Institution applying to extend or vary the scope of an existing Key Individual's status should use form AUT-IND6 instead of this form.
An Authorised Market Institution applying to withdraw an existing Key Individual's status should use form AUT-IND7 instead of this form.
|2||Key Individual functions|
|3||Education and professional qualifications|
|5||Other personal registrations|
|9||Fit and proper questionnaire|
Notes for completing this form