APPLICATION FORMS AND NOTICES (AFN) – DNF1
(For DFSA use only)
Form DNF1
Designated Non-Financial Business or
Profession (DNFBP)
Registration Form
Name of DNFBP
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Purpose of this form
This form must be submitted by a DNFBP in order to register with the DFSA to carry on its business activity
in or from the DIFC. A registration notice must be submitted in relation any of the DNFBP types contained in
section 2. In some cases, the DFSA may require additional information in order to complete the processing
of this application. If this is necessary, the DFSA will contact the DNFBP’s nominated person identified in
section 1 and/or section 3.
Contents
This form consists of seven sections:
1.
2.
3.
4.
5.
6.
DNFBP details
Type of DNFBP
Anti Money Laundering
Declaration
Applicable Fees
Attachments
Notes for completing this form

Defined terms are identified throughout this form by the capitalisation of the initial letter of a word or
phrase and are defined in the AML module of the DFSA’s Rulebook. Some of the defined terms and
abbreviations may also be found in the Glossary module of the DFSA Rulebook.

You should read and be familiar with the AML module (AML) of the DFSA Rulebook.

All relevant sections must be completed.

Questions must be fully answered and the use of abbreviations should be avoided.

Do not leave any questions blank – if a question is not applicable this should be indicated in the
response section.

Answers must be typed and the form must be signed by a Director/Partner, or a member of the
DNFBP’s senior management.

Please ensure any supporting documentation is clearly labelled and securely attached.
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SECTION 1 - DNFBP DETAILS
1.1
Full or proposed name of the
DNFBP
1.2
Registered office in DIFC
(Please indicate if current or
proposed)
1.3
Main telephone number of
address in 1.2
(incl. country and area codes)
1.4
Main fax number of address in
1.2
(incl. country and area codes)
1.5
Head office if different from 1.2
1.6
Head office telephone number of
address in 1.5
1.7
Head office fax number of
address in 1.5
1.8
Website address
1.9
DNFBP’s contact person for this
form
Position/title
Correspondence address
(if different from 1.2 above)
Telephone number
Mobile number
E-mail address
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1.10
Legal nature of DNFBP
(e.g. Company, LLP, Partnership, etc)
1.11
Date and place of incorporation
/formation of the DNFBP
Note:
Please attach a copy of the DNFBP’s certificate of incorporation/company registration (if applicable). If in the
process of being formed, please state “in formation”.
1.12
The DNFBP’s expected end of
financial year date
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SECTION 2 - Type of Designated Non-Financial Business or Profession
2.1
Please select the type of Designated Non-Financial Business or Profession (as defined
in AML):
Real estate developer or agency which carries out transactions with a
customer involving the buying or selling of real property
Dealer in precious metals or precious stones
Dealer in any saleable item of a price equal to or greater than $15,000
Law firm, notary firm, or other independent legal business
Accounting firm, audit firm or insolvency firm
Company Service Provider
Single Family Office
2.2
If applying for the activity of Law firm, notary firm, or other independent
legal business, have you been granted a Ruler’s Court Licence?
Yes
No
If “YES”, please attach a copy along with an English translation.
If “NO”, please note that before submitting this registration form any DNFBP which
proposes to carry on legal services must be appropriately licensed by the Dubai Ruler’s
Court.
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SECTION 3 - ANTI MONEY LAUNDERING
3.1
Money Laundering Reporting Officer (MLRO)
(not applicable to a DNFBP which is a dealer in precious metals or precious stones or a dealer in any saleable
item of a price equal to or greater than $15,000)
3.1.1 Full Name of MLRO
(as stated in passport)
3.1.2 Date of birth (DD/MM/YYYY)
3.1.3 Place of birth
3.1.4 Passport number
3.1.5 Please state the country and place
of issue of the MLRO’s passport
Please attach a copy of the current passport held by the MLRO, and a copy of their current visa.
3.1.6 Job title/level within the firm
3.1.7
Please confirm the MLRO will ordinarily reside in the UAE
3.1.8
Residential address
3.1.9
Contact details
Yes
No
Telephone
Mobile
E-mail
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3.1.10 What steps has the DNFBP taken to ensure that the MLRO is capable and suitably
qualified to undertake the roles and responsibilities as set out in AML module of the DFSA
Rulebook. Please provide details.
3.2
AML Policies and Procedures, systems and controls
Please attach the DNFBP’s Anti Money Laundering policies, procedures, systems and controls, which must
be specific to its DIFC activities and comply with the AML module of the DFSA. These policies, procedures,
systems and controls should include, amongst other things, arrangements to:
a)
Ensure senior management of the Relevant Person is aware of their responsibility for the Relevant
Person’s compliance with the AML module, and the duty to exercise due skill, care and diligence in
carrying out these responsibilities;
b)
Comply with the UAE Federal Law No.4 of 2002 and any other relevant UAE Federal laws;
c)
Monitor for, detect and report suspicious activities, customers and transactions;
Note: Applicants should ensure the procedures include a requirement to comply with the Rules for
the making of Suspicious Activity Reports (SARs) in the correct format to the Anti Money Laundering
Suspicious Cases Unit (AMLSCU) of the UAE Central Bank, and the DFSA being immediately
notified that a report has been made. Details of the required format of the report and details for
submission can be found on the DFSA website;
d)
Conduct risk assessments of its business and customers, the finding of which should be used to
inform and determine the appropriate level of Customer Due Diligence;
e)
Review the effectiveness of its anti money laundering policies, procedures, systems and controls at
periodic intervals;
f)
Where relevant, establish and maintain systems and controls to obtain and make appropriate use of
relevant resolutions or sanctions issued by the United Nations Security Council;
g)
Where relevant, establish and maintain systems and controls to obtain and make appropriate use of
any findings, recommendations, guidance, directives, resolutions, sanctions, notices or other
conclusions issued by government of the of UAE, Central Bank of UAE, Financial Action Task Force,
UAE enforcement agencies and the DFSA;
h)
Assess its risks in relation to money laundering and to perform enhanced due diligence investigations
as appropriate in light of the risks;
i)
Establish and maintain an AML training and awareness programme; and
j)
Ensure compliance with any other obligation in the DFSA's AML module.
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3.3
MLRO Declaration
3.3.1 I declare that, I have read and understood the AML module of the DFSA Rulebook and am aware of
the obligations and requirements I must adhere to as a MLRO.
Name of MLRO
/
Signature of MLRO
/
Date
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SECTION 4 - DECLARATION
4.1
Declaration by the firm
4.1.1 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.
4.1.2 I agree to provide the DSFA with further or more detailed information upon request where the DFSA
considers such information necessary to process this registration.
4.1.3 I declare that the above-named DNFBP has taken steps to ensure its Employees understand and are
aware of the requirement and obligations contained in the AML module.
4.1.5 I confirm that I have the authority to make this registration, to declare as specified above and sign
this form for, or on behalf of, the DNFBP. I also confirm that I have the authority to give the consent
specified above.
4.1.6 For the purposes of complying with DIFC Data Protection Law 2007, I understand that any Personal
Data provided to the DFSA will be used to discharge its regulatory functions under the Regulatory
Law 2004 and other relevant legislation and may be disclosed to third parties for those purposes.
Name of a Director/Partner
/
Signature of a Director/Partner
/
Date
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7.
Fees
Details of the fees are contained in the Fees module of the DFSA Rulebook.
Please make the payment by Bank transfer in US Dollars to the account listed below. Cheques or bank
drafts will not be accepted.
Account name
Dubai Financial Services Authority
Account number
020-683751-100
IBAN
AE080200000020683751100
Bank details
HSBC Bank Middle East
PO Box 66
Dubai, UAE
Swift code
BBMEAEAD
Reference to be quoted
Application fee – [applicant name]
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SECTION 6 - ATTACHMENTS
Section
Document
Attached
1.11
Certificate of Incorporation/Company Registration
2.2
Approval from Ruler’s Court of Dubai (if applicable) – copy of
Licence
3.1.5
Copy of passport
3.2
Anti Money Laundering policies and procedures
Other
Please list
Please return completed form to:
DUBAI FINANCIAL SERVICES AUTHORITY
AUTHORISATION DEPARTMENT
LEVEL 13, THE GATE BUILDING
DUBAI INTERNATIONAL FINANCIAL CENTRE
PO BOX 75850
DUBAI, UAE
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