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25 Mar 2015, 12:03 pm

Notice of Amendments to the DFSA Forms

Take a notice that


DFSA forms have been updated on the website

AUT NOTES   Applying for Authorisation - Notes for Applicants

AUT CORE     Applying for Authorisation - Core Information Form

AUT IFS          Applying for Authorisation - Islamic Finance Business Supplement

AUT PFS        Public Fund Supplement

AUT EFF         Exempt Fund Form

AUT QIFM      QIF Domestic Fund Manager Form

AUT QIF         Qualified Investor Fund: Notification Form

AUT EFM        External Fund Manager Form

AUT EXF        External Fund: Notification Form

AUT REP        Applying for Authorisation as a Representative Office

AUT CON       Applications and Notifications Concerning a Change in Control

AUT IND1       Applying for Authorisation - Authorised Individual Status

AUT IND2       Application to Extend or Vary Authorised Individual Status

AUT IND3       Application to Withdraw Authorised Individual Status

AUT IND4       Applying to become the Principal Representative

AUT IND5       Application for authorisation - Key Individual status

AUT IND6       Application to extend or vary - Key Individual status

AUT IND7       Application to withdraw - Key Individual status

AUT CRA        Applying for Authorisation as a Credit Rating Agency

SUP2              Deleted – please use GEN1 Form

SUP3              Application Cell Company – Insurance

SUP4              Application to vary a Licence

SUP5              Application to Add or Remove an Endorsement on a Licence to Carry on Financial Services with Retail Clients

SUP6              Applying to withdraw a Licence

GEN1              Request for a waiver or modification

GEN2              Notification of appointment, resignation and termination of an Auditor

CIR                  Notification of the Marketing and Selling of Funds

AMI2               Deleted – please use GEN1 Form

AMI3               Applications and Notifications Concerning a Change in Control

REC1              Application for Recognised Member Status

MKT1              Application for Prospectus Approval

MKT2              Application for Admission of Securities to the Official List of Securities of the DFSA

MKT3              Sponsor's Declaration

MKT4              Deleted – please use GEN1 Form

DNF1              Designated Non-Financial Businesses and Professions – Registration Form

DNF2              Designated Non-Financial Business or Profession (DNFBP) –Changes to registration details

AML                Annual AML Return

AUD1              Audit Principal Notification

AUD2              Withdrawal of Audit Principal

AUD3              Registration as a Registered Auditor

AUD4              Registration as an Audit Principal

AUD5              Application to withdraw a registration as a Registered Auditor

AUD6              Registered Auditor – Money Laundering Reporting Officer


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