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Transcript
APPLICATION FORMS AND NOTICES (AFN) – AUT – EXF
For DFSA use only
Form AUT – EXF
External Fund: Notification Form
Please submit this completed Notification Form to [email protected]
This form should be submitted by a DFSA Authorised Firm which is licensed to carry on the
Financial Service of Managing a Collective Investment Fund, and is seeking to notify the DFSA
that it is about to establish a new External Fund.
This form will not be accepted by the DFSA until after an applicant for authorisation has fully
completed the licensing process and become an Authorised Firm.
Please note any waivers/modifications should be granted and any other policy issues
should be resolved prior to submission of this notification form.
The Notes for Applicants contain information that may assist you to complete this form. Please
refer to the section entitled “External Fund Form” in the notes. Each note is linked to a specific
question in this form via a referenced number.
Page 1 of 6
AUT–EXF/VER2/03-15
APPLICATION FORMS AND NOTICES (AFN) – AUT – EXF
SECTION 1: DECLARATION
Declaration
1.
I declare that, to the best of my knowledge and belief, having made due enquiry, the
information given in this form, the supplements and documents attached, as well as
any applicable supporting documents, 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.
2.
I confirm that I have the authority to make this notification, to declare as specified
above and to sign this form.
Signature of Director/Partner *
Date
Name of Director/Partner *
Position/title
*Or the person who will be authorised by the entity once it has been incorporated or
established within the DIFC.
Firms are advised to retain a copy of this External Fund form and all attachments for their
records.
Page 2 of 6
AUT–EXF/VER2/03-15
APPLICATION FORMS AND NOTICES (AFN) – AUT – EXF
SECTION 2: CONTACT DETAILS
EX1.
Name of Fund Manager
EX2.
Contact person for this notification.
Name
Telephone number
Fax number
E-mail
Postal address
EX3.
Professional adviser(s) assisting with this notification, if any.
Name
Telephone number
Fax number
E-mail
Postal address
Yes
EX4.
Would you like us to copy any correspondence to your adviser?
SECTION 3: EXTERNAL FUND STRUCTURE AND INVESTMENT POLICY
EX5.
Full name of the External Fund to which this notification relates.
EX6.
Fund Structure
Investment
Investment
Company
Partnership
Investment
Trust
Please specify:
Other
Closed-Ended
Fund
Feeder Fund
Open-Ended Fund
Master Fund
Umbrella Fund
 Formed as a PCC
Standalone Fund
 Not a PCC
If the External Fund is an Umbrella Fund, please provide names of the sub-funds:
Page 3 of 6
AUT–EXF/VER2/03-15
No
APPLICATION FORMS AND NOTICES (AFN) – AUT – EXF
EX7.
Type of Fund
Traditional
Private equity
Money market
REIT
Managed
currency
EX8.
Islamic
Hedge fund
Fund of funds
ETF
Index tracker
Venture capital
Property
Other
CTA
Asset Class
Equities
Property (Real Estate)
Bills/Notes/Commercial
Paper
Microfinance
EX9.
Investment Strategy
Long-only
Market neutral
Event-driven
(special
situation)
Dividend
arbitrage
Fixed income
arbitrage
Global macro
Government
Bonds
Commodities
Futures/Options
Corporate
Bond / Credit
ETFs
Other
Infrastructure
Long-short
Emerging
market
Statistical
arbitrage
Balanced
Distressed
securities
Multi-strategy
Short bias
Merger
arbitrage (risk
arbitrage)
Quantitative
Convertible
arbitrage
Volatility
arbitrage
Other
EX10. Please specify the typical leverage as a multiple of fund equity to be used by the fund and also the
typical purpose of the leverage (e.g. to leverage existing positions, reduce risk, diversify portfolio).
EX11. Please specify the main sectors and geographical regions in which the fund will invest as well as
indices for benchmark purposes.
EX12. Based on asset class and investment strategy, how would you categorise the risk of the fund?
Low
Medium
High
SECTION 4: EXTERNAL FUND REQUIREMENTS
EX13. Please provide the name of the jurisdiction in which your External Fund is domiciled and
regulated?
EX14. Please specify the nature of regulatory requirements applicable to the External Fund in its
jurisdiction including the name of the fund legislation and fund category.
Page 4 of 6
AUT–EXF/VER2/03-15
APPLICATION FORMS AND NOTICES (AFN) – AUT – EXF
EX15. Does that jurisdiction’s regulatory approval for your External Fund enable you
to have retail clients?
Yes
No
EX16. Please specify what AML/CTF legislation applies to the External Fund in your jurisdiction.
Yes
EX17. Please advise whether the jurisdiction is FATF compliant.
No
EX18. Please provide contact details for the regulator responsible for authorisation and ongoing
supervision of your External Fund.
Name of regulatory
body
Name of contact
Telephone number
Fax number
E-mail
Postal address
EX19. If the marketing and distribution of Units of the External Fund is to be undertaken in the DIFC,
please confirm whether this will be by the Fund Manager and/or another Authorised Firm, and give
details of those firms.
EX20. In relation to the requirements of CIR Rule 6.2.2 please confirm that the External Fund will:
a) Have systems and controls which are adequate to ensure compliance
Yes
with the requirements that apply to the External Fund in the jurisdiction in
which it is established or domiciled; and
No
b) To the extent that there are requirements applying to such a Fund in the
jurisdiction of its establishment or domicile which conflict with any DFSA
requirements applicable to the Fund Managers in respect of the Fund, it
will show how such conflicts will be resolved to the satisfaction of the
DFSA.
Yes
No
c) Comply with the disclosure requirements in CIR 14.2.5 – 14.2.7.
Yes
No
Yes
No
EX21. Have any waivers/modifications from applicable rules been granted by the
DFSA in relation to any requirements that conflict with the requirements
applying to such a Fund in its own jurisdiction?
If so, please provide the Waiver/Modification Notice Number:
SECTION 5: PARTIES TO THE FUND
At the time of submission of this notification form, any third-party agreements noted below,
where relevant, must be complete and be ready for inspection by the DFSA.
By ticking the “Complete, and ready to be inspected” box, you are confirming the agreements
meet all applicable requirements in the Collective Investment Law and the DFSA Rulebook:
Collective Investment Rules including all Rules, Appendices and Guidance, The DFSA may
request inspection of the supporting documents at any stage.
Page 5 of 6
AUT–EXF/VER2/03-15
APPLICATION FORMS AND NOTICES (AFN) – AUT – EXF
Party
Name
Address
Regulated By
(where relevant)
Agreement – Complete,
and ready to be
inspected
Yes
No
Custodian
Trustee
Fund
Administrator
Investment
Manager(s)
Auditor
Prime Broker
Shari’a
Supervisory
Board
Distribution
Agent(s)
Others
SECTION 6: COMPULSORY SUPPORTING DOCUMENTS FOR A FUND
Documents attached
Yes
EX22. Prospectus
SECTION 7: DISCLOSURE
Disclosure of information to the Dubai International Financial Centre Authority
(DIFCA)
The provision of certain information by the DFSA to the DIFCA under the following consent will
assist the DIFCA in exercising its functions and powers. It is not mandatory to provide consent.
I consent
DIFCA:
1.
/ I do not consent
to disclosure of the following information by the DFSA to the
The fact of the filing of this notification, together with the name of the Fund Manager.
Page 6 of 6
AUT–EXF/VER2/03-15
No