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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