Request for New Authorisation (Key Individual)

Application to the DFSA for approval for an individual to be granted Key Individual status.

SERVICE FEES: 0
PAYMENT METHODS: Bank Transfer

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 AMI Rule 3.3 of the DFSA Rulebook
Contact the DFSA Markets team
DFSA E-services Portal Login Credentials

Required Documents

If applicable, the documents the DFSA is likely to request to be submitted with the application form include but are not limited to:

Service Fees

USD 500. Service Fees are paid through bank transfer to the DFSA.

Enquire

Apply

Evaluate

Fulfil

Approve

Submit an enquiry to confirm eligibility for Key Individual authorisation.Submit an enquiry to confirm eligibility for Key Individual authorisation.

Duration
TBC

Channel
DFSA Website

Document
Not applicable.

Complete the application form on the DFSA e-Portal and submit it with all required documents.

Duration
TBC

Channel
DFSA Website

Document
All documents listed under "Required Documents".

The DFSA will conduct a thorough assessment of the application and may request additional details if necessary.

Duration
TBC

Channel
Email/Phone/Website

Document
Any additional documents requested by the DFSA during the evaluation process.

Ensure all conditions for Key Individual authorisation are met, as specified by the DFSA.

Duration
TBC

Channel
Email/Phone/Website

Document
Any documents required to fulfil the authorisation conditions.

Upon successful assessment, the DFSA will authorise the individual as a Key Individual.

Duration
TBC

Channel
Email/Phone/Website

Document
None, unless explicitly requested 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

Authorised Individuals/Key Individuals