Request for Corporate Action (Approval - Consult

Request for Corporate Action (Approval - Consult - Consent)

Application for seeking approval, consent or consulting the DFSA for corporate actions including but not limited to purchase of own Shares, Takeovers, Rights Issue, Bonus Issue, etc.

SERVICE FEES: Not Applicable
PAYMENT METHODS: Not Applicable

Service Process

Enquire

Generate and get your
enquiry screened

Apply

Submit your
application

Evaluate

Undergo application
review

Fulfil

Complete invoicing
and acceptance

Approve

Receive service delivery
and approval

Service Pre-requisites

Compliance with Markets Rules and Takeover Rules Module.

Required Documents

As required under Markets Rules (MKT).

Service Fees

No Fees applicable

Enquire

Apply

Evaluate

Fulfil

Approve

Contact the DFSA for guidance on the requirements and process to request approval, consent, or consultation for corporate actions.

Duration
Not specified.

Channel
DFSA Website

Document
Not applicable.

Submit an application to the DFSA with details of the proposed corporate action, including all required supporting documents.

Duration
Not specified.

Channel
DFSA Website

Document
Documents as outlined in Markets Rules (MKT). Additional documents if requested by the DFSA.

The DFSA reviews the application to ensure compliance with regulatory requirements and may request further details or documents.

Duration
Not specified.

Channel
Email/Phone/Website

Document
Additional documentation if requested by the DFSA.

Provide any additional information or meet conditions outlined by the DFSA during the evaluation process.

Duration
Not specified.

Channel
Email/Phone/Website

Document
Any additional documentation requested by the DFSA.

The DFSA issues its decision, granting approval, consent, or advice for the proposed corporate action, if all conditions are satisfied.

Duration
Not specified.

Channel
Email/Phone/Website

Document
None unless specified by the DFSA.

Paired Services

Request for New Authorisation
Financial Services

Request authorisation to carry Financial Services in or from the DIFC.

Request for New Authorisation
Representative Offices

Obtain authorisation to operate a Representative Office in the DIFC.

Request for New Authorisation
Credit Rating Agencies

Obtain authorisation to operate as a Credit Rating Agency in or from the DIFC.

Request for Information to DFSA
Supervision

Seek clarification or guidance on specific regulatory requirements of supervisory processes.

Request for Amendment of
Supervision Scope

Apply to change the scope of your licence

Request for Amendment to
Ownership and Control Structure

Notify, or seek approval from, the DFSA on changes in the ownership or control structure of your Authorised Firm.

Withdraw
Authorisation

Request to withdraw your licence as an Authorised Firm, ceasing to carry Financial Services in or from the DIFC.

Submit
Reports

Submit financial reports produced by your auditor.

Submit
Notifications

Submit Notifications

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