APPLICATION FORMS AND NOTICES (AFN) –CIR

For DFSA use only

Form CIR

Notification of the marketing and selling of Funds


Purpose of this form

The purpose of this form is to assist an Authorised Firm with its reporting requirements in the Collective Investment Rules of the DFSA Rulebook in relation to the marketing and selling of Foreign Funds and Domestic Funds.

The form consists of four sections:

1.  Authorised Firm information

2.  Marketing and selling of Foreign Funds

3.  Marketing and selling of Domestic and External Funds

4.  Declaration

All firms must complete sections 1 and 4, together with section 2 or 3 as applicable, or both, if this is the case.

On receipt of this form, the DFSA may, as appropriate, request any other information to provide further clarification.

Notes for completing this form

·  Defined terms are identified throughout this application 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.

·  Questions must be answered fully and the use of abbreviations or acronyms should be avoided or defined.

·  Do not leave any questions blank. If a question is not applicable this should be indicated in the response section.

·  Answers must be typed in electronic format and the form must be signed by the Compliance Officer, Senior Executive Officer, or a Licensed Director/Partner of the Authorised Firm, or an individual designated by one of these persons for the purpose of completing this form.

Applicant’s contact person for this notification
Position/title
Correspondence address
Telephone / fax number:
E-mail address

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APPLICATION FORMS AND NOTICES (AFN) –CIR

SECTION 1 – AUTHORISED FIRM INFORMATION

1.1 / Full name of the Authorised Firm
1.2 / DFSA Licence number

SECTION 2 – MARKETING AND SELLING OF FOREIGN FUNDS

PART A: DESIGNATED FUNDS

Name of Fund / Name of the Fund Manager / Recognised Jurisdiction CIR 15.1.5
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50

[continue on a separate sheet if necessary]


PART B: OTHER FOREIGN FUND CRITERIA

Name of Fund / Place of domicile or incorporation / Name of Fund Manager / If Fund is rated or graded as investment grade provide name of rating agency / Please indicate which of the eligible criteria relates to the Fund Custodian under CIR 15.1.6(2) / Please indicate which of the eligible criteria relates to the Investment Manager under CIR 15.1.6(3) / Please indicate which of the eligible criteria relates to the Person where it is both Custodian & Investment Manager under CIR 15.1.6(4)
CIR 15.1.6(2) / CIR 15.1.6(3) / CIR 15.1.6(4)
(a) / (b) / (c) / (d) / (a) / (b) / (c) / (a) / (b) / (c)
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18

[continue on a separate sheet if necessary]

7 of 7 CIR1/VER4/04-12

APPLICATION FORMS AND NOTICES (AFN) –CIR

PART C: Recommendation-Based Offers of Units of Foreign Funds

Name of Fund / Place of domicile or incorporation / Name of Fund Manager/ Regulated Y or N / Name of Custodian / Regulated Y or N / Name of Investment Manager / Regulated Y or N / Confirm Suitability Assessment
CIR 15.1.8 / COB 3.4.2
1 / Y N / Y N / Y N
2 / Y N / Y N / Y N
3 / Y N / Y N / Y N
4 / Y N / Y N / Y N
5 / Y N / Y N / Y N
6 / Y N / Y N / Y N
7 / Y N / Y N / Y N
8 / Y N / Y N / Y N
9 / Y N / Y N / Y N
10 / Y N / Y N / Y N
11 / Y N / Y N / Y N
12 / Y N / Y N / Y N
13 / Y N / Y N / Y N
14 / Y N / Y N / Y N
15 / Y N / Y N / Y N
16 / Y N / Y N / Y N
17 / Y N / Y N / Y N
18 / Y N / Y N / Y N


PART D: Offers of Units of Foreign Funds that meet Exempt Fund criteria

Name of Fund / Place of domicile or incorporation / Name of Fund Manager / Regulated Y or N / Name of Custodian / Regulated Y or N / Name of Investment Manager / Regulated Y or N / Confirm Fund meets Exempt Fund criteria
CIR 15.1.9 / CI Law Article 16(4) / CIR 12.1 (1)
(a) / (b) / (c) / (d)
1 / Y N / Y N / Y N
2 / Y N / Y N / Y N
3 / Y N / Y N / Y N
4 / Y N / Y N / Y N
5 / Y N / Y N / Y N
6 / Y N / Y N / Y N
7 / Y N / Y N / Y N
8 / Y N / Y N / Y N
9 / Y N / Y N / Y N
10 / Y N / Y N / Y N
11 / Y N / Y N / Y N
12 / Y N / Y N / Y N
13 / Y N / Y N / Y N
14 / Y N / Y N / Y N
15 / Y N / Y N / Y N
16 / Y N / Y N / Y N
17 / Y N / Y N / Y N
18 / Y N / Y N / Y N

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APPLICATION FORMS AND NOTICES (AFN) –CIR

SECTION 3 – MARKETING AND SELLING OF DOMESTIC AND EXTERNAL FUNDS

Name of Fund / Name of DIFC Fund Manager
1
2
3
4
5
6
7
8
9
10

[continue on a separate sheet if necessary]

SECTION 4 - DECLARATION

4.1 Declaration by the Authorised Firm

  1. 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.
  1. I confirm that I have the authority to make this notification, to declare as specified above and sign this form for, or on behalf of, the Authorised Firm.

Signature of Compliance Officer, Senior Executive Officer or Licensed Director/Partner, or individual nominated by any of the aforementioned / Date
Name of above person
Position/title

Please return the completed form to the Authorised Firm’s relevant Supervision Relationship Manager at the following address:

Dubai Financial Services Authority

Supervision Department

Level 13, The Gate Building

Dubai International Financial Centre

PO Box 75850

Dubai, UAE

Firms are advised to retain a copy of the form for their records.

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