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PFN SUP 2 Application for a Waiver

Please download the Form in PDFPDF format.

Purpose of this form

An Authorised Firm wishing to apply for a waiver of a rule must submit this form.

Contents

This form consists of six sections:

1. Authorised Firm details
2. Details of waiver sought
3. Research and reasons
4. Publication
5. Additional information
6. Declaration and signature

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.


  • Sections 1, 2, 3, 4 and 6 must be completed.


  • Please use section 5 if you wish to provide additional information that may clarify or support your answers in sections 1-4.


  • Questions must be fully answered and the use of abbreviations should be avoided.


  • Answers must be typed and the form must be signed by either the Authorised Firm’s Senior Executive Officer or Compliance Officer.


  • Please ensure any supporting documentation is clearly labelled and securely attached.


  • When completed, submit this application form in line with SUP chapter 3. You may send applications by post or hand delivered and addressed to your usual supervisory contact.

    The address for postal submission is:

    DUBAI FINANCIAL SERVICES AUTHORITY
    AUTHORISATION DEPARTMENT
    LEVEL 13, THE GATE
    PO BOX 75850
    DUBAI, UAE


  • You can inspect published waivers on the DFSA website: www.dfsa.ae

Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
[Amended][VER4/06-05]