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.
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
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.