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PFN AMI 3 Applications and Notifications Concerning a Change in Control

Please download the Form in PDFPDF format.

Purpose of this form

This form must be submitted by an Authorised Market Institution applying for approval from or notifying the DFSA concerning a change in control of the Authorised Market Institution. This form may also be used by a Controller.

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

An Authorised Market Institution 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

This form consists of six sections:

1. Controllers – individuals
2. Controllers – undertakings
3. Details of new control or change in level of control
4. Additional information
5. Declaration
6. Attachments

Notes for completing this form

•  Defined terms are identified throughout this 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.
•  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 of a change in control 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 fully answered and the use of abbreviations should be avoided.
•  Answers must be typed and the form must be signed by the Authorised Market Institution’s relevant Key Individual, Director or the relevant Controller.
[Added][VER4/06-05]