Form ASP1 Ancillary Service Provider Application for registration
|
|
- Hubert Hutchinson
- 6 years ago
- Views:
Transcription
1 (For DFSA use only) Form ASP1 Ancillary Service Provider Application for registration Name of applicant Firms are requested to contact the authorisation department of the DFSA ( ) before considering completing an application. 1 of 13 ASP1/VER5/10-08
2 Purpose of this form This form must be submitted by a Person applying for registration to carry on one or more Ancillary Services in or from the DIFC. An application must be submitted in relation to one or more of the Ancillary Services contained in section 2 question 2.1. In some cases, the DFSA may require additional information in order to complete the processing of this application. If this is necessary, the DFSA will contact the nominated contact identified in section 1. Contents This form consists of seven sections: 1. Applicant details 2. Ancillary Services 3. Anti Money Laundering 4. Fit & proper questionnaire for AMLO 5. Payment of Fees 6. Declaration 7. 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. All sections must be completed. Questions must be fully answered and the use of abbreviations should be avoided. Do not leave any questions blank if a question is not applicable this should be indicated in the response section. Answers must be typed and the form must be signed by a Director/Partner and the Anti Money Laundering Officer (if different). Please ensure any supporting documentation is clearly labelled and securely attached. 2 of 13 ASP1/VER5/10-08
3 1. APPLICANT DETAILS 1.1 Full or proposed name of applicant to be registered 1.2 Applicant s registered office in DIFC (Please indicate if current or proposed) 1.3 Applicant s head office if different from Main telephone number of address in 1.3 (incl. country and area codes) 1.5 Main fax number of address in 1.3 (incl. country and area codes) 1.6 Website address (if applicable) 1.7 Applicant s contact person for this application Position/title Correspondence address (if different from 1.2 above) Telephone number: Fax number address 1.8 Please provide details of any adviser engaged by the applicant to assist with the preparation and ongoing support of this application. Name of the adviser engaged by the applicant Relevant contact person within the adviser Contact address 3 of 13 ASP1/VER5/10-08
4 Telephone/Fax number: address 1.9 Legal nature of applicant (e.g. Company, LLP, Partnership, etc) 1.10 Date and place of incorporation /formation of the applicant Note: Please attach a copy of the applicant s certificate of incorporation/company registration (if applicable). If in the process of being formed, please state in formation 1.11 Please advise the applicant s expected end of financial year date 1.12 Is the applicant currently, or has the applicant ever been, the subject of any government or regulatory investigation, received a fine or been involved or currently involved in disciplinary proceedings? If YES, please provide details below. Yes No 4 of 13 ASP1/VER5/10-08
5 2. ANCILLARY SERVICES 2.1 Ancillary Services (as defined in ASP) Providing Legal Services Providing Accountancy Services 2.2 If applying for the activity Providing Legal Services, Have you been granted a Ruler s Court or UAE Ministry of Justice Licence? Yes No If YES, please attach a copy along with an English translation. If NO, please note that applicants for legal services must be appropriately licensed by either the Dubai Ruler s Court or the UAE Ministry of Justice, as applicable, before submitting this application. 2.3 Please provide a description of the customers to whom the Ancillary Services are to be provided. Do you have a letter of intent from one of your proposed clients who is licensed by the DFSA as an Authorised Firm or AMI? Yes No If YES please attach a copy. If NO please obtain the letter of intent before submitting this application. ASP status will only be granted to providers of accountancy or legal services to DFSA regulated entities. Prior to registration as an ASP an accounting or legal firm may market services to regulated firms, but may not commence the provision of such services. ASPs shall not accept a mandate from a regulated entity to provide professional services within the DIFC (nor accept appointment to a tender panel for the provision of such services) until registered as an ASP. Application for such registration must include written evidence from a regulated entity of its intention to retain professional services of the applicant (or appoint the applicant to a tender panel for the provision of such services). 5 of 13 ASP1/VER5/10-08
6 3. ANTI MONEY LAUNDERING 3.1 Please attach the applicant's anti Money Laundering policies, procedures, systems and controls (which must be specific to its DIFC activities and comply with the ASP AML Rules of the DFSA including an overview of the applicant s anti Money Laundering function including staffing levels, responsibilities and reporting lines). The applicant s procedures should include, amongst other things, arrangements to: a) Ensure compliance with the UAE Law No.4 and any other relevant UAE federal laws; b) Monitor for, detect and report suspicious customers and Transactions; Note: Applicants should ensure the procedures comply with the requirement for Suspicious Transaction Reports (STRs) to be made in the required format to the Anti Money Laundering Suspicious Cases Unit (AMLSCU), and a copy provided to the DFSA. Details of the required format of the report and details for submission can be found on the DFSA website; c) Establish and verify the identity of the customer and any other person on whose behalf the customer is acting, including that of the beneficial owner; unless exception applies (6.5) d) Provide an audit trail of AMLO; e) Determine the duties and obligations of its MLRO; f) Review the effectiveness of its anti Money Laundering policies, procedures, systems and controls at least annually; g) Respond to any request for information made by competent U.A.E. authorities or the DFSA; h) Maintain AML relevant documents and records; i) Ensure that it obtains and makes use of findings in relation to names of persons, groups, organisations or entities, or any other body where suspicion of Money laundering or terrorist financing exists; Be mindful of Government; regulatory and international findings j) Assess its risks in relation to Money laundering and to perform enhanced due diligence investigations for higher risk products, services and customers; k) Determine whether a customer is a Politically Exposed Person (PEP); l) Establish and maintain an anti Money Laundering training programme and awareness arrangements; and m) Ensure compliance with any other obligation in the DFSA's ASP module. 3.2 Anti Money Laundering Officer (AMLO) Family name/other names Date of birth (DD/MM/YYYY) Place of birth Passport(s) number(s) Please state the country(ies) and place(s) of issue of the applicant s passport(s) Please attach a copy of all passports held by the applicant, including copies of any current visas. 6 of 13 ASP1/VER5/10-08
7 3.2.6 Job title/level within the firm Please attach a detailed job description clearly outlining the AMLO s role and responsibilities within the firm and attach details of the AMLO s employment record for the previous 10 years highlighting any experience relevant to the role of AMLO Please confirm the AMLO will ordinarily reside in the UAE Residential address Dates resident at above ad dress (from/to) Previous address if less than 3 years at above address Yes No Contact details Telephone Fax What steps will be taken by the applicant to ensure that the AMLO will be fully aware of his duties and be able to carry out his function effectively? Please provide details Do another jurisdiction's laws or Regulations prevent or inhibit the applicant from complying with the U.A.E. Law No.4 or the DFSA Rules? Yes No If Yes, please give full details Note: Should such an event arise in the future ASPs are obliged to notify DFSA in writing promptly 7 of 13 ASP1/VER5/10-08
8 4. FIT & PROPER QUESTIONNAIRE FOR AMLO 4.1 Please complete the following questionnaire in relation to the applicant AMLO Answers must be provided to every question. Has the applicant AMLO: Yes No (i) (ii) (iii) (iv) (v) been convicted or found guilty by any Court of competent jurisdiction in respect of any offence, other than a minor road traffic offence? ever been the subject of disciplinary procedures by a government body or agency or any self Regulatory organisation or other professional body? contravened any provision of Financial Services legislation or of Rules, Regulations, statements or principle or codes of practice made under or by a Financial Services Regulator or other supervisory body? been refused or restricted the right to carry on a trade, business or profession requiring a licence, registration or other authority? been dismissed or requested to resign from any office of employment? (vi) (vii) (viii) (ix) (x) been concerned with the management of a Body Corporate which has been or is currently the subject of an investigation into a allegation of misconduct or malpractice? received an adverse finding in a civil action by any Court of competent jurisdiction of fraud, misfeasance, or other misconduct, whether in connection with the formation or management of a corporation or otherwise? received an adverse finding in an agreed settlement in a civil action by any Court or tribunal of competent jurisdiction resulting in an award against an individual in excess of $10,000 or awards that total more than $10,000? been the subject of an order of disqualification as a Director or otherwise to act in the management or conduct of the affairs of a corporation by a Court of competent jurisdiction or Regulator? been a Director, or Partner or concerned in the management of a company or Partnership which has gone into insolvent liquidation whilst the individual was connected with that company, Partnership or within one year of such a connection? 8 of 13 ASP1/VER5/10-08
9 (xi) (xii) been the subject of complaint in connection with a Financial Service or Ancillary Service which relates to his integrity, competence or financial soundness? been censured, disciplined, publicly criticised by or the subject of a Court order at the instigation of a Financial Services Regulator or any officially appointed inquiry? If you have answered Yes to any questions, please provide appropriate details of the matter below. 9 of 13 ASP1/VER5/10-08
10 5. PAYMENT OF FEES All applications must be accompanied by payment of the relevant application fee. Details of the application fees are contained in the GEN module of the DFSA Rulebook until 30 November 2007, and in the FER module from 1 December 2007 when revised fees will come into effect. To review the revised fees in advance of 1 December 2007, please refer to Appendix 1 of the Fees Rules Instrument (No. 52) 2007 ( RM52/2007 ), which can be found under the Rulebook Modules section of the DFSA s website, Please make the payment by Bank transfer free of charges to the account listed below. Cheques or Bank drafts cannot be accepted. Applications will not be processed until the full relevant fee is received by the DFSA. Account name Dubai Financial Services Authority Account number Bank details Swift code Reference to be quoted HSBC Bank Middle East PO Box 66 Dubai, UAE BBMEAEAD Application fee [applicant name] 10 of 13 ASP1/VER5/10-08
11 6. DECLARATION 6.1 Declaration by the firm I declare that, to the best of my knowledge and belief, having made due enquiry, the information given in this form is complete and correct. I understand that it is an offence under Article 66 of the Regulatory Law 2004 to provide to the DFSA any information which is false, misleading or deceptive or to conceal information where the concealment of such information is likely to mislead or deceive the DFSA I declare my understanding that the DFSA may request more detailed information (including but not limited to, personal, educational, employment and financial information) should it be deemed necessary to adequately assess the fitness and propriety of the firm or any person connected to the firm. I consent to the DFSA contacting any previous employers, educational institutions, professional organisations or any other organisation, to verify any information contained in this form I declare that the firm and its Employees are fit and proper to perform the firm s Ancillary Services I declare my understanding that carrying on a Financial Service in or from the DIFC without an appropriate Licence is prohibited under Article 41 of the Regulatory Law 2004 and that registration as an Ancillary Service Provider does not authorise the firm to carry on any Financial Services in or from the DIFC I confirm that I have the authority to make this application, to declare as specified above and sign this form for, or on behalf of, the applicant. I also confirm that I have the authority to give the consent specified above For the purposes of the Data Protection Law 2004, the personal data provided in this form will be processed by the DFSA in accordance with Article 8 of the Data Protection Law 2004, in particular, in the exercise of its functions or powers under legislation administered by the DFSA or where necessary for the performance of a task carried out in the interests of the DIFC. 6.2 Consent by the applicant for disclosures to the Dubai International Finance Centre Authority (DIFCA) The provision of information by the DFSA under the following consent will assist the DIFCA with exercising its functions and powers, including in relation to establishing your firm s presence in the centre. It is not mandatory to provide consent. Should you not wish to provide consent, we ask that you keep the DIFCA informed of the progress of your application. I consent to disclosure of the following information by the DFSA to DIFCA, in each case on or after the date stipulated: 1. The fact of the filing of this application, together with the name of the applicant, on or after the date of filing with the DFSA: and 2. A decision by the DFSA to approve this application, and whether or not approval is or will be subject to pre conditions, on or after the date of that decision. 11 of 13 ASP1/VER5/10-08
12 Name of a Director/Partner / / Signature of a Director/Partner Date Name of the AMLO if different from above / / Signature of the AMLO Date 12 of 13 ASP1/VER5/10-08
13 7. ATTACHMENTS Section Document Attached? 1.10 Certificate of Incorporation/Company Registration 2.2 Approval from Ruler s Court of Dubai or UAE Ministry of Justice (as applicable) copy of Licence 2.3 Letter of Intent from AF or AMI 3.1 Anti Money Laundering procedures Copy(ies) of passport(s) AMLO job description AMLO employment details for the last 10 years 4 Fit & Proper questionnaire AMLO Other Please list Please return completed form to: DUBAI FINANCIAL SERVICES AUTHORITY AUTHORISATION DEPARTMENT LEVEL 13, THE GATE BUILDING DUBAI INTERNATIONAL FINANCIAL CENTRE PO BOX DUBAI, UAE 13 of 13 ASP1/VER5/10-08
The DFSA Sourcebook. Regulatory Policy and Process. (RPP Sourcebook) Appendix 1
Appendix 1 The text in this appendix has not been underlined and struck through in the usual manner to show amendments. Where certain text is highlighted in yellow within a paragraph this indicates that
More informationForm REC1 Application for Recognised Member status
For ADIA use only Form REC1 Application for Recognised Member status Purpose of this form This form must be submitted by any body corporate, partnership or unincorporated association wishing to apply to
More informationAstana Financial Services Authority
Astana Financial Services Authority Application to Register a Foreign Limited Liability Partnership as a Recognised Limited Liability Partnership in the AIFC Name of applicant: Date of application: CONTENTS
More informationAppendix 2. In this Appendix underlining indicates new text and striking through indicates deleted text. The DFSA Rulebook
Appendix 2 In this Appendix underlining indicates new text and striking through indicates deleted text. The DFSA Rulebook Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) 1
More informationApplying for Authorisation. Notes for Applicants APPLICATION FORMS AND NOTICES (AFN) AUT - NOTES
For DFSA use only Applying for Authorisation Notes for Applicants These notes provide information that may assist you in completing the Core Information form, the various Fund forms, the Representative
More informationThe DFSA Rulebook. Auditor Module (AUD) AUD/VER3/02-17
The DFSA Rulebook Auditor Module (AUD) Contents The contents of this module are divided into the following chapters, sections and appendices: PART 1 INTRODUCTION... 1 1 APPLICATION AND DEFINITIONS... 1
More informationAppendix 2. The text in this appendix is new and is not underlined and struck through in the usual manner. The DFSA Rulebook
Appendix 2 The text in this appendix is new and is not underlined and struck through in the usual manner. The DFSA Rulebook Designated Non-Financial Businesses and Professions Module (DNF) DESIGNATED Contents
More informationCONSULTATION PAPER NO.118 PROPOSED CHANGES TO THE DFSA S ANTI MONEY LAUNDERING, COUNTER- TERRORIST FINANCING AND SANCTIONS REGIME
CONSULTATION PAPER NO.118 PROPOSED CHANGES TO THE DFSA S ANTI MONEY LAUNDERING, COUNTER- TERRORIST FINANCING AND SANCTIONS REGIME 22 FEBRUARY 2018 PREFACE CHANGES TO THE DFSA S AML REGIME Why are we issuing
More informationCONSULTATION PAPER NO JUNE 2016 PROPOSED CHANGES TO THE ANTI MONEY LAUNDERING, COUNTER- TERRORIST FINANCING AND SANCTIONS MODULE
CONSULTATION PAPER NO. 107 20 JUNE 2016 PROPOSED CHANGES TO THE ANTI MONEY LAUNDERING, COUNTER- TERRORIST FINANCING AND SANCTIONS MODULE CONSULTATION PAPER NO. 107 PROPOSED CHANGES TO THE ANTI MONEY LAUNDERING,
More informationApplication by Foreign Fund Manager to Domicile a Domestic Fund within ADGM
Application by Foreign Fund Manager to Domicile a Domestic Fund within ADGM Financial Services Regulatory Authority (FSRA) Foreign Fund Manager (FFM) form This form is to be used by Foreign Fund Manager
More informationAgent Application Process
Agent Application Process Operational Branches recruitment and registration of Agents licence 2009 CONTENTS Personal data 3 Annex 1. Fitness and Propriety 8 Documentation Evaluation 12 DECEMBER 2013 PAGE/2
More informationDECISION NOTICE For the reasons given in this Decision Notice, the DFSA imposes on Mr Andrew Grimes (Mr Grimes):
DECISION NOTICE To: DFSA Reference No.: Mr Andrew Grimes I004926 Date: 3 May 2017 1. DECISION 1.1. For the reasons given in this Decision Notice, the DFSA imposes on Mr Andrew Grimes (Mr Grimes): a. a
More informationThe DFSA Rulebook. Authorised Market Institutions (AMI) AMI/VER16/06-14
The DFSA Rulebook Authorised Market Institutions (AMI) PART 1: INTRODUCTION... 1 1. APPLICATION, INTERPRETATION AND OVERVIEW... 1 1.1 Application... 1 PART 2: APPLICATION AND AUTHORISATION... 3 2. APPLICATION
More informationDECISION NOTICE. Mr Kapparath Muraleedharan
DECISION NOTICE To: DFSA Reference No.: Address: Mr Kapparath Muraleedharan I002061 C/- Al Tamimi & Company Advocates & Legal Consultants Dubai International Financial Centre Building 4 East, 6 th Floor
More informationBank of Mauritius Fit and Proper Person Questionnaire
BOM/BSD 11/ Form 1/October 2003 Revised January 2014 Revised June 2014 Annexure Bank of Mauritius Fit and Proper Person Questionnaire FOR ASSESSING THE FITNESS AND PROBITY OF PERSONS WITH MATERIAL INFLUENCE
More informationAPPLICATION FORM INDIVIDUAL
APPLICATION FORM INDIVIDUAL -Before you can be authorised, we must be satisfied that you are fit and proper. This application form helps us to assess your fitness and propriety effectively. -This application
More informationApplication for Financial Services Permission
Application for Financial Services Permission Financial Services Regulatory Authority (FSRA) Captive Insurance Business Form Applicants 1 who wish to apply to establish a Captive Insurer in the ADGM will
More informationApplication for a Financial Services Permission
Application for a Financial Services Permission Financial Services Regulatory Authority (FSRA) Banking Business Supplement (BBS) Form This supplement form must be submitted by Applicant 1 firms applying
More information1. Name of Individual or Financial Institution or Proposed Financial Institution in connection with which this questionnaire is being completed:
SECTION I PERSONAL QUESTIONNAIRE FOR INDIVIDUAL DEALERS/INVESTMENT ADVISORS, COVERED PERSONS, CONNECTED PERSONS (SHAREHOLDERS, OFFICERS, DIRECTORS, RESPONSIBLE OFFICERS AND REPRESENTATIVES) OF COMPANIES
More informationCENTRAL BANK OF BAHRAIN
Name of Proposed Licensee CENTRAL BANK OF BAHRAIN Form 1: Application for a License (Application for a license to carry out regulated specialised services in the Kingdom of Bahrain) (This form was last
More informationApplication for Financial Services Permission
Application for Financial Services Permission Financial Services Regulatory Authority (FSRA) form This form must be submitted by Applicants 1 applying to conduct one or more Regulated Activities, as defined
More informationTitle of Report. Online Individual. Questionnaire Template. Credit Unions
2014 1 Title of Report Online Individual Questionnaire Template Credit Unions Table of Contents 1. Preliminary Questions... 3 2. Applicant Personal Details... 4 3. Professional Experience & other Relevant
More informationWAIVER AND MODIFICATION NOTICE
WAIVER AND MODIFICATION NOTICE To Address DFSA Firm Reference No. Notice No. Smart Crowd Limited The FinTech HIVE at DIFC, Level 4, Gate Precinct 5, DIFC, Dubai, UAE F004285 W582/2018 THE DFSA HEREBY GIVES
More informationSAINT CHRISTOPHER AND NEVIS STATUTORY RULES AND ORDERS. No. 11 of 2018
1 SAINT CHRISTOPHER AND NEVIS STATUTORY RULES AND ORDERS No. 11 of 2018 Financial Services Regulatory Commission (Minimum Guidelines for Compliance Officers and Reporting Officers) Regulations In exercise
More informationAsset Management Supplement for Financial Services Permission
Asset Management Supplement for Financial Services Permission Financial Services Regulatory Authority (FSRA) Asset Management Supplement (AMS) Form This supplement form must be submitted by applicants
More informationApplication Supplement for Financial Services Permission
Application Supplement for Financial Services Permission Financial Services Regulatory Authority (FSRA) Dealing and Advisory Supplement (DAS) Form This supplement form must be submitted by applicants applying
More informationCENTRAL BANK OF BAHRAIN
CENTRAL BANK OF BAHRAIN Form LP 2: GP Application Form (Application for an Approval to become a General Partner for an Investment Limited Partnership) Form LP 2: GP Application Form Table of Contents Date
More informationAppendix 6. In this annex underlining indicates new text and striking through indicates deleted text. The DFSA Rulebook. Markets Rules (MKT)
Appendix 6 In this annex underlining indicates new text and striking through indicates deleted text. The DFSA Rulebook Markets Rules (MKT) 5 ACCOUNTING PERIODS, AND FINANCIAL REPORTS AND AUDITING 1. Article
More informationQFC ANTI MONEY LAUNDERING REGULATIONS
QFC ANTI MONEY LAUNDERING REGULATIONS VER1-Sep05 QATAR FINANCIAL CENTRE REGULATION NO. 3 of 2005 QFC ANTI MONEY LAUNDERING REGULATIONS The Minister of Economy and Commerce hereby enacts the following regulations
More informationFinancial Services Regulation
Financial Services Regulation Premier Banking & Wealth Management Conference Simon Gray 26 th October 2008 Royal Meridien, Abu Dhabi Regulatory Landscape 2 Page 2 Dubai International Financial Centre (DIFC)
More informationCOMPANIES REGULATIONS
In force on 12 November 2018 TABLE OF CONTENTS 1. GENERAL... 1 1.1 Application and interpretation... 1 1.2 References to writing... 2 2. COMPANY FORMATION AND INCORPORATION... 2 2.1 Application for incorporation...
More informationAnti-Money Laundering Policy and Procedure
PA Housing Limited Anti-Money Laundering Policy and Procedure November 2017 Owning manager Simon Hatchman Department Finance Approved by Audit & Risk Committee 2 November 2017 Next review date October
More informationPERSONAL QUESTIONNAIRE FOR
PERSONAL QUESTIONNAIRE FOR PROPOSED SHAREHOLDERS, DIRECTORS AND SENIOR MANAGEMENT OF COMPANIES LICENSED, OR APPLYING TO BE LICENSED UNDER THE CREDIT REPORTING ACT SECTION I 1. (a) Name of company (i.e.
More informationApplication for Financial Services Permission
Application for Financial Services Permission Financial Services Regulatory Authority (FSRA) Banking Business Supplement (BBS) Form This supplement form must be submitted by Applicant 1 firms applying
More informationIn force on xx.xx.2018
Annex A ULTIMATE BENEFICIAL OWNERSHIP REGULATIONS In force on xx.xx.2018 [ISSUED FOR CONSULTATION PURPOSES ONLY] CONSULTATION DRAFT ULTIMATE BENEFICIAL OWNERSHIP REGULATIONS TABLE OF CONTENTS 1. INTRODUCTION...
More informationCENTRAL BANK OF THE GAMBIA BANKING AND FINANCIAL INSTITUTIONS SUPERVISION DEPARTMENT
CENTRAL BANK OF THE GAMBIA BANKING AND FINANCIAL INSTITUTIONS SUPERVISION DEPARTMENT QUESTIONNAIRE FOR INDIVIDUALS WHO ARE PROPOSED TO BECOME DIRECTORS, MANAGERS OR CONTROLLERS CENTRAL BANK OF THE GAMBIA
More informationFitness and Propriety Questionnaire Trust Controller (CM262)
Fitness and Propriety Questionnaire Trust Controller (CM262) Name (Trust) Name of the Corporate Member Membership number (if known) The applicant must initial the bottom of each page of the questionnaire
More informationApplication for a Retail Client Endorsement
Application for a Retail Client Endorsement Financial Services Regulatory Authority (FSRA) Retail Client Endorsement (RCE) Form This multipurpose form must be submitted by an Authorised Person or an applicant
More informationCONSULTATION PAPER NO.120
CONSULTATION PAPER NO.120 PROPOSED CHANGES TO THE DFSA S ANTI MONEY LAUNDERING, COUNTER- TERRORIST FINANCING AND SANCTIONS REGIME PHASE 2 18 APRIL 2018 PREFACE Why are we issuing this Consultation Paper
More informationIFA/FTA membership application form 2017
1 IFA/FTA membership application form 2017 1 Eligibility for membership Membership is open to individuals in finance, those who have achieved an accounting, financial or taxation qualification, or are
More informationLIMITED LIABILITY PARTNERSHIP LAW DIFC LAW NO. 5 OF 2004
LIMITED LIABILITY PARTNERSHIP LAW DIFC LAW NO. 5 OF 2004 Consolidated Version (May 2017) As Amended by DIFC Law Amendment Law DIFC Law No. 1 of 2017 CONTENTS PART 1: GENERAL...1 1. Title and Commencement...1
More informationNotification Form. Financial Services Regulatory Authority (FSRA) Foreign Fund - Notification Form (FFN)
Notification - Foreign Fund Notification Form Financial Services Regulatory Authority (FSRA) Foreign Fund - Notification Form (FFN) This notification form should be submitted by an ADGM FSRA Authorised
More information1. When does the Representative Office regime come into effect? The new Representative Office regime will go live on Sunday 3 January 2010.
Q&A The DFSA Representative Office Regime This document is not intended to be a complete guide to the DFSA s Representative Office regime. It merely addresses a number of queries. Accordingly, we recommend
More informationBANK OF MAURITIUS. Guideline. Fit and Proper Person Criteria. BOM/BSD 11/ October 2003
BOM/BSD 11/ October 2003 BANK OF MAURITIUS Guideline on October 2003 Revised March 2005 Revised January 2014 Revised June 2014 TABLE OF CONTENTS 1.0 INTRODUCTION 2 1.1 Objective 2 1.2 Applicability 2 2.0
More informationAppendix 2. In this appendix underlining indicates proposed new text and striking through indicates deleted text. The DFSA Rulebook.
Appendix 2 In this appendix underlining indicates proposed new text and striking through indicates deleted text. The DFSA Rulebook General Module (GEN) 2 FINANCIAL SERVICES.. 2.28 Definition of Financial
More informationClient Handbook. Incorporation/Registration of a DIFC Entity. Limited Liability Partnership (LLP)
Client Handbook Incorporation/Registration of a DIFC Entity Limited Liability Partnership (LLP) Contents: I. Introduction II. Limited Liability Partnership III. In Principle Approval IV. Operating Location
More informationDate: Version: Reason for Change:
Applicant Name: Leo Tyndall Application Number: 89562543 Attachment Name: Number of Pages: 60 Date Prepared: 1/08/2014 Special Status (if any): Anti-Money Laundering and Counter-Terrorism Financing Policy
More informationOnline Individual Questionnaire 2017
1 Repor Title of Online Individual Questionnaire 2017 Table of Contents 1. Preliminary Questions... 3 2. Applicant Personal Details... 4 T +353 1 XXX XXXX F +353 1 XXX XXXX www.centralbank.ie xxxxxxxxxxx@centralbank.ie
More informationANTI-MONEY LAUNDERING REGULATIONS, 2011 ARRANGEMENT OF REGULATIONS
Regulation ANTI-MONEY LAUNDERING REGULATIONS, 2011 ARRANGEMENT OF REGULATIONS General guidelines 1. Internal rules 2. Internal rules related to establishment and verification of identity 3. Internal rules
More informationThe DFSA Rulebook. General Module (GEN) Chapter 11 - Supervision. Appendix 3
Appendix 3 The text in this appendix has not been underlined and struck through in the usual manner. Where text is highlighted in yellow this indicates that text is either completely new or has been amended
More informationBRITISH VIRGIN ISLANDS FINANCIAL SERVICES COMMISSION PROVISIONAL GUIDANCE NOTES ON COMPLIANCE REGIME
BRITISH VIRGIN ISLANDS FINANCIAL SERVICES COMMISSION PROVISIONAL GUIDANCE NOTES ON COMPLIANCE REGIME Approved by the Board of Commissioners 1 st April, 2008 Coming into Force.. 8 th April, 2008 Published.
More informationCentral Bank of Seychelles. Guidelines on Fit and Proper Criteria for Insurance Sector
Central Bank of Seychelles Guidelines on Fit and Proper Criteria for Insurance Sector 1. Introduction 1.1 The Insurance Act 2008 (the Act) vests the Central Bank with the authority to license and supervise
More informationForm C1 Declaration Form (General Insurance Agent)
Important note: The form must be completed by the individual / corporate / trade specific agent. For a corporate agent / trade specific agent, the form must be completed by the owner, director or authorized
More informationNew AML Regime for the DIFC
Briefing note October 2012 New AML Regime for the DIFC The Dubai Financial Services Authority ("DFSA") has released Consultation Paper No. 86 regarding proposed changes to the DFSA's Anti-Money Laundering
More informationTHE CENTRAL BANK OF THE BAHAMAS
THE CENTRAL BANK OF THE BAHAMAS GENERAL INFORMATION AND APPLICATION GUIDELINES FOR NON-BANK MONEY TRANSMISSION SERVICE PROVIDERS AND NON-BANK MONEY TRANSMISSION AGENTS Issued: July 8, 2008 Amended: March
More informationAppendix 4. In this appendix underlining indicates new text and striking through indicates deleted text. The DFSA Rulebook. General Module (GEN)
Appendix 4 In this appendix underlining indicates new text and striking through indicates deleted text. The DFSA Rulebook General Module (GEN) 8 ACCOUNTING AND AUDITING 8.1 Application 8.1.1 (1) This chapter
More informationCENTRAL BANK OF BAHRAIN
Name of Proposed Licensee CENTRAL BANK OF BAHRAIN Form 1: Application for a License (Application for a license to carry out regulated insurance services in the Kingdom of Bahrain) Form 1: Application for
More informationcode of values and ethics For members of the Board, Committees and Tribunals
code of values and ethics For members of the Board, Committees and Tribunals CONTENTS Foreword 1 Part A DFSA Core Values and Ethics 2 Part B Use of Information 4 Part C Conflicts of Interest 6 Part D Receipt
More information2017 Bank of Jamaica All Rights Reserved July 2017
STANDARD OF SOUND PRACTICE ON FIT AND PROPER ASSESSMENTS UNDER THE BANKING SERVICES ACT, 2014 2017 Bank of Jamaica All Rights Reserved Standards of Sound Practices (SSP) are guiding principles issued by
More informationFORM A APPLICATION FOR APPROVAL OF DIRECTORS, COMPLIANCE OFFICERS AND SENIOR OFFICERS
FORM A [Paragraphs 3 and 25A.1] APPLICATION FOR APPROVAL OF DIRECTORS, COMPLIANCE OFFICERS AND SENIOR OFFICERS This application is for the approval by the Commission of: Director Compliance Officer Senior
More informationKINGDOM OF SAUDI ARABIA. Capital Market Authority AUTHORISED PERSONS REGULATIONS
KINGDOM OF SAUDI ARABIA Capital Market Authority AUTHORISED PERSONS REGULATIONS English Translation of the Official Arabic Text Issued by the Board of the Capital Market Authority Pursuant to its Resolution
More informationClient Handbook Corporate Actions
Client Handbook Corporate Actions Contents: I. Introduction II. DIFC Client Portal a. User Access III. Compliance Calendar IV. Submission Process on the DIFC Client Portal a. Returned Service Request b.
More informationCONSULTATION PAPER NO. 5
CONSULTATION PAPER NO. 5 December 2011 NON PROFIT INCORPORATED ORGANISATIONS CONSULTATION PAPER NO. 5 NON PROFIT INCORPORATED ORGANISATIONS Why are we issuing this paper? 1. This Consultation Paper seeks
More informationNotification Form. Fund Managers are advised to retain a copy of this notification form and all attachments for their records.
Notification Form Financial Services Regulatory Authority (FSRA) Foreign Fund - Notification Form (FFN) This notification form should be submitted by an ADGM FSRA Authorised Person (Fund Manager) 1 licensed
More informationDIFC LAWS AMENDMENT LAW
In this document, underlining indicates new text and striking through indicates deleted text. *Note that some text set out in the Appendix is not being amended, but is included for context. DIFC LAWS AMENDMENT
More informationForeign Financial Institutions Anti-Money Laundering Questionnaire
SECTION I - GENERAL ADMINISTRATIVE INFORMATION 1. Legal Name of Financial Institution D/B/A (if applicable) 2. Registered Address (attach proof) Physical presence at this address? o Yes o No 3. Head Office
More informationPart A Personal Details
Part A Personal Details Infmation requested Response 1. Your full name Include any names by which you have been known previously 2. Your date of birth (dd/mm/yyyy) 3. Nationality and proof of identification
More informationAMENDMENTS TO THE MONEY LAUNDERING (JERSEY) ORDER 2008
POSITION PAPER NO. 1 2008 AMENDMENTS TO THE MONEY LAUNDERING (JERSEY) ORDER 2008 Money Laundering (Amendment No. 2) (Jersey) Order 200- ISSUED OCTOBER 2008 POSITION PAPER If you require any assistance
More informationThe published version of this Notice has been redacted or amended in places to protect the identity of investors and related third parties.
The published version of this Notice has been redacted or amended in places to protect the identity of investors and related third parties. The minimum subscription in one of the Books was generally USD125,000
More informationNotification Form. Financial Services Regulatory Authority (FSRA) Exempt Fund or Qualified Investor Fund Notification Form - (FEQN)
Notification Form Financial Services Regulatory Authority (FSRA) Exempt Fund or Qualified Investor Fund Notification Form - (FEQN) This notification form should be submitted by an ADGM FSRA Authorised
More informationNotice Of A Proposal To Establish A Representative Office In Gibraltar
FOR OFFICE USE ONLY V2.0 FSC Ref Date received Notice Of A Proposal To Establish A Representative Office In Gibraltar Notes For Completion Before completing this questionnaire, those individuals directing
More informationAnti-Money Laundering Awareness Training Insurance Industry-Hong Kong
Anti-Money Laundering Awareness Training Overview This program is intended to give individuals working in the Hong Kong Insurance Industry a basic knowledge of money laundering and terrorism financing,
More informationAPPLICATION FORM FOR ACQUISITION OF SUBSTANTIAL INTEREST 1 IN A BANK. 1.0 Name of bank Name of the applicant...
APPLICATION FORM FOR ACQUISITION OF SUBSTANTIAL INTEREST 1 IN A BANK 1.0 Name of bank.. 2.0 Name of the applicant... 3.0 Identification of the applicant 3.1 Where the applicant is a natural person who
More informationDFSA Annual Supervision Outreach Breakout Group # 3 Financial Crime Risks. 25 June 2018
DFSA Annual Supervision Outreach Breakout Group # 3 Financial Crime Risks 25 June 2018 Breakout Group 3 - Agenda Opening Comments - Lawrence Paramasivam Director, Supervision General updates from the Financial
More informationThis document has been provided by the International Center for Not-for-Profit Law (ICNL).
This document has been provided by the International Center for Not-for-Profit Law (ICNL). ICNL is the leading source for information on the legal environment for civil society and public participation.
More informationStandard 2.4. Customer identification and customer due diligence; Prevention of money laundering, terrorism financing and market abuse
Standard 2.4 Customer identification and customer due diligence; Prevention of money laundering, terrorism financing and market abuse Regulations and guidelines THE FINANCIAL SUPERVISION AUTHORITY 2 Code
More informationDirectors and Officers Liability Insurance
Directors and Officers Liability Insurance Proposal form Completing the Proposal form 1. This application must be completed in full including all required attachments. 2. If more space is needed to answer
More informationGUIDELINES ON AUTHORISATION AND REGISTRATION UNDER PSD2 EBA/GL/2017/09 08/11/2017. Guidelines
EBA/GL/2017/09 08/11/2017 Guidelines on the information to be provided for the authorisation of payment institutions and e-money institutions and for the registration of account information service providers
More informationCENTRAL BANK OF KENYA PRUDENTIAL GUIDELINES FOR INSTITUTIONS LICENSED UNDER THE BANKING ACT
CENTRAL BANK OF KENYA PRUDENTIAL GUIDELINES FOR INSTITUTIONS LICENSED UNDER THE BANKING ACT TABLE OF CONTENTS REFERENCE TITLE PAGE 1. CBK/PG/01 Licensing of New Institutions 2 2. CBK/PG/02 Corporate Governance
More informationR.S.A. c. P98 Anti-Money Laundering and Terrorist Financing Code R.R.A. P98-5. Revised Regulations of Anguilla: P98-5
R.S.A. c. P98 Anti-Money Laundering and Terrorist Financing Code R.R.A. P98-5 Revised Regulations of Anguilla: P98-5 PROCEEDS OF CRIME ACT, R.S.A. c. P98 ANTI-MONEY LAUNDERING AND TERRORIST FINANCING CODE
More informationAIM Rules for Companies (clean) - AIM Notice 50. AIM Rules for Companies
AIM Rules for Companies (clean) - AIM Notice 50. AIM Rules for Companies March 2018 1 AIM Rules for Companies Introduction 3 Part One AIM Rules 4 Retention and role of a nominated adviser 4 Applicants
More informationCORPAC (ver.02) Client Handbook Corporate Actions
Client Handbook Corporate Actions 1 Contents: I. Introduction II. DIFC Client Portal a. User Access III. Compliance Calendar IV. Submission Process on the DIFC Client Portal a. Returned Service Request
More informationClient Handbook. Incorporation/Registration of a DIFC Entity. Company Limited by Shares (LTD)
Client Handbook Incorporation/Registration of a DIFC Entity Company Limited by Shares (LTD) Contents: I. Introduction II. Company Limited by Shares III. In Principle Approval IV. Operating Location V.
More informationAnti-Money Laundering and Counter Terrorism
1 Anti-Money Laundering and Counter Terrorism 1. INTRODUCTION SimpleFX Ltd. ( The Company ) aims to prevent, detect and not knowingly facilitate money laundering and terrorism financing activities. The
More informationSo you think all your clients property is clean? 25 October 2017
So you think all your clients property is clean? 25 October 2017 Nigel Lubbock Director Tom Bailey Director Why this topic? Statistics Professions Increased legislation Softer options for prosecution ICAEW
More informationDIJLLAH JEWELLERY FZCO
1 Account Opening Form - CORPORATE ACCOUNT NUMBER: ACCOUNT NAME: Checklist: Copy of Trade License Copy of Signature Circular Copy of Certificate of Incorporation Copy of Articles of Association Copy of
More informationAPPLICATION FOR REGISTRATION AS A BANKING INSTITUTION. Do not leave any questions blank or unanswered: where necessary answer Not
FORM BK1 ZIMBABWE BANKING ACT [Chapter 24:20] BANKING REGULATIONS 2000 (Section 8) APPLICATION FOR REGISTRATION AS A BANKING INSTITUTION Instructions on how to complete this form. Attach annexures wherever
More informationCLEARING, SETTLEMENT AND CENTRAL DEPOSITORY MODULE
CLEARING, SETTLEMENT AND CENTRAL DEPOSITORY MODULE MODULE: CSD: CLEARING, SETTLEMENT AND CENTRAL DEPOSITORY Table of Contents CSD-A CSD-B CSD-1 CSD-2 Date Last Changed Introduction CSD-A.1 Purpose 04/2016
More informationAnti - Money Laundering and Auditors Role AML Team 23 November 2011
Anti - Money Laundering and Auditors Role AML Team 23 November 2011 Session Objectives The objective of this session is to: Define Anti Money Laundering (AML) and Counter Terrorist Financing (CTF) Briefly
More informationCBS REF: APPLICATION FOR A BANKING LICENCE FORM
CBS REF: APPLICATION FOR A BANKING LICENCE FORM APPLICATION FOR A BANKING LICENCE FORM Telephone:[+248] 4282 000 Fax: [+248] 4323 665 E-mail: licence-application@cbs.sc * Use a separate sheet if spaces
More informationOMIP: Application for Membership & Authorisation (Licence) to act as an Insolvency Practitioner [2019]
This form of ten pages when completed should be returned to the IPA Licensing Team, Insolvency Practitioners Association, Valiant House, Heneage Lane, London EC3A 5DQ OMIP: Application for Membership &
More informationThe DFSA approach to regulating Islamic finance Clare College, Cambridge
The DFSA approach to regulating Islamic finance Clare College, Cambridge Simon Gray Director, Supervision 1 st September 2010 East and West Oh, East is East and West is West, and never the twain shall
More informationANTI-MONEY LAUNDERING AND COMBATING THE FINANCING OF TERRORISM (AML/CFT) POLICY AND PROCESS: G - 02
ANTI-MONEY LAUNDERING AND COMBATING THE FINANCING OF TERRORISM (AML/CFT) POLICY AND PROCESS: G - 02 GLOSSARY OF TERMS USED IN THE POLICY...4 1. INTRODUCTION...5 2. DMCC S COMMITMENT...5 3. POLICY CUSTODIAN...6
More informationANNEX II QUESTIONNAIRE
ANNEX II QUESTIONNAIRE Fit and proper assessment of members of the board of directors and key function holders Name of credit institution LEI code of credit institution General Electronic Commercial Registry
More informationAPPLICATION FOR APPROVAL OF ACTUARIES/ AUDITORS/ OTHER INDEPENDENT OFFICERS
FORM B-1 [Paragraph 21] APPLICATION FOR APPROVAL OF ACTUARIES/ AUDITORS/ OTHER INDEPENDENT OFFICERS This application is for the approval by the Commission of: Auditor Actuary Other (Please specify): 1.
More informationTHE TRINIDAD AND TOBAGO STOCK EXCHANGE LIMITED MEMBERSHIP APPLICATION PROCEDURE
THE TRINIDAD AND TOBAGO STOCK EXCHANGE LIMITED MEMBERSHIP APPLICATION PROCEDURE An applicant for membership with The Trinidad and Tobago Stock Exchange Limited ( the Stock Exchange ) must complete this
More informationIn this document underlining indicates new text and striking through indicates deleted text. COMPANIES LAW AMENDMENT LAW
In this document underlining indicates new text and striking through indicates deleted text. COMPANIES LAW AMENDMENT LAW DIFC LAW NO. 2 OF 2013 PART 1: GENERAL 1. Title This Law may be cited as the Companies
More informationBusiness Account Signature Signing Instructions
Business Account Signature Signing Instructions Customer Checklist To help us act on your request as soon as possible please ensure all documents outlined below are submitted to the bank. When submitting
More informationANTI-MONEY LAUNDERING POLICY. (2 nd Edition)
APPROVED by the Board of Directors on 27 th of June, 2018 Effective from 16 th of July, 2018 ANTI-MONEY LAUNDERING POLICY (2 nd Edition) Riga, 2018 1 1. TERMS AND ABBREVIATIONS GRUPEER GRUPEER SIA, registration
More information