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AFN AUT–IND 6 Application to extend or vary Key Individual status

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 Market Institution applying to extend or vary a Key Individual's authorised status. In some cases the DFSA may require additional information (including the re-submission of a complete form AUT-IND5 (Application for authorisation of Key Individual status) in order to complete the processing of this application. If this is necessary, the DFSA will contact the person identified in section 1 of this form.

If the Key Individual will cease to perform any Key Individual functions, Form AUT-IND7 (Application to Withdraw Key Individual Status) should be submitted instead of this form.

Contents

Section Title
1 General information
2 Changes to Key Individual functions
3 New or additional Key Individual functions
4 Fit & proper questionnaire
5 Additional information
6 Attachments
7 Declarations

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's Rulebook.
•    Unless otherwise specified, applicant refers to the individual for whom Key Individual status is being sought.
•    Unless otherwise specified, Authorised Market Institution refers to the Authorised Market Institution on whose behalf the applicant will be carrying out the Key Individual functions and includes, for the purposes of this application, an applicant for an Authorised Market Institution licence.
•  Prior to completing this form, an Authorised Market Institution should read the relevant sections of the AMI module of the DFSA Rulebook applying to Key Individuals.
•   Sections 1,2,4,6 and 7 must be completed in all cases.
•    Section 3 must be completed when making an application to perform one or more new Key Individual functions.
•    Please use section 5 if you wish to provide additional information to clarify or support your answers in other sections of the form.
•   Questions must be answered fully and the use of abbreviations or acronyms should be avoided or defined.
•  Do not leave any questions blank. If a question is not applicable this should be indicated in the response section. Failure to answer questions or provide full responses will delay the progress of the application.
•  Answers must be typed, in electronic format, and the form must be signed by the Senior Executive Officer or Compliance Officer of the Authorised Market Institution who is duly authorised to do so. Versions of this form on the DFSA's website are in PDF format. Editable Microsoft Word versions can be obtained from the DFSA.