AFN AUT–IND2 Application to Extend or Vary Authorised 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 Firm applying to extend or vary an Authorised Individual's authorised status. In some cases the DFSA may require additional information (including the re-submission of a complete form AUT–IND1 (Application for authorisation Authorised 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 Authorised Individual will cease to perform any Licensed Functions, Form AUT–IND3 (Application to Withdraw Authorised Individual Status) should be submitted instead of this form.

Contents

Section Title
1 General Information
2 Changes to Licensed Functions
3 New or additional Licensed 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'sRulebook.
•  Unless otherwise specified, applicant refers to the individual for whom Authorised Individual status is being sought.
•  Unless otherwise specified, Authorised Firm refers to the firm on whose behalf the applicant will be carrying out the Licensed Functions and includes, for the purposes of this application, a firm applying for authorisation to carry on Financial Services.
•  Prior to completion of this form, Authorised Firms should read the relevant sections of the GEN Module of the DFSARulebook applying to Authorised 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 Licensed 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 a Director/Partner of the Authorised Firm.