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AFN AUT–IND 7 Application to withdraw 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 both an Authorised Market Institution applying to withdraw a Key Individual's status. 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 in section 1 of this form.

If the Key Individual will cease to perform one or more Key Individual functions but will remain a Key Individual, Form AUT-IND 6 (Application to Extend or Vary Key Individual Status) should be submitted instead of this form.

Contents

Section Title
1 General information
2 Key Individual function/s
3 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•    Unless otherwise specified, applicant refers to the individual for whom Key Individual status is being withdrawn.
•    Unless otherwise specified, Authorised Market Institution refers to the firm on whose behalf the application to withdraw Key Individual status is being submitted.
•  Prior to the completion of this form, the Authorised Market Institution should read the relevant sections of the AMI module of the DFSA Rulebook applying to Key Individual functions.
•   All sections of the form must be completed.
•   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 has the authority to sign this form.