Form AUT - IND 4 - Applying to become the Principal Representative - Notes for completing the form

Sep 1, 2026

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Form AUT – IND 4 is used to apply to the Dubai Financial Services Authority (DFSA) for Principal Representative Status. The form requires complete answers to all questions, discourages abbreviations unless defined, and mandates typed responses and signatures by appropriate principals. Applicants must provide passport copies and submit the completed form with any attachments to DFSA as specified. Declarations cover accuracy, fitness and propriety, possible follow-up information requests, verification consent, and DIFC Data Protection Law usage of provided Personal Data.

LanguageEnglish

CategoryForms

FormatDOCX

Pages6

Reading Time2 min

AccessFree to download

Notes for completing this form

Definitions and scope

Completion and submission requirements

Declaration by the Principal Representative

Declaration by Applicant Firm

General Information

For DFSA use only Form AUT – IND 4 Applying to become the Principal Representative Notes for completing this form Defined terms are identified throughout this application form by the capitalisation of the initial letter of a word or phrase and are defined in the Glossary module (GLO) of the DFSA’s Rulebook. Unless otherwise specified, applicant refers to the individual for whom Principal Representative Status is being sought. Unless otherwise specified, Authorised Firm refers to the firm on whose behalf the applicant will be carrying out the Principal Representative function and includes, for the purposes of this application, a firm applying for licensing as a Representative Office. All sections of the form must be completed. Questions must be answered fully and the use of abbreviations or acronyms should be avoided or defined. Do not leave any questions blank. If a question is not applicable this should be indicated in the response section. Failure to answer questions or provide full responses will delay the progress of the application. Answers must be typed in electronic format and the form must be signed by a Director/Partner of the head office as well as the Principal Representative. Versions of this form on the DFSA’s website are in PDF format. Editable Microsoft Word versions can be obtained from the DFSA. Passport copy must be provided. Please return the completed form to: Dubai Financial Services Authority Level 13, The Gate Building, Dubai International Financial Centre PO Box 75850, Dubai, UAE Firms are advised to retain a copy of this form, any supplement and all attachments for their records. Declaration by the Principal Representative 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. I declare that, I am fit and proper to perform the function of Principal Representative to which this application relates and, in the event of a failure on my part to remain fit and proper, I shall notify the DFSA of such fact as reasonably practical. I declare my understanding that the DFSA may request more detailed information (including but not limited to, personal, educational, employment and financial information) should it be deemed necessary to assess my fitness and propriety adequately. I consent to the DFSA contacting any previous employers, educational institutions, professional organisations or any other organisation, to verify any information contained in this form. 4. 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. Declaration by Applicant Firm I declare that, the applicant’s competence has been assessed in accordance with the requirements of the DFSA Rulebook and I declare that the applicant is competent to perform the role of Principal Representative. I declare that, to the best of my knowledge and belief, having made due enquiry into the applicant’s background and qualifications, 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. I declare that to the best of my knowledge and belief, having made due enquiry, the applicant is fit and proper to perform the role of Principal Representative. I confirm that I have the authority to make this applicat

FAQs

Who must sign the AUT – IND 4 application form?

The form must be signed in electronic format by a Director/Partner of the head office as well as the Principal Representative.

What happens if a question is left blank or not fully answered?

Failure to answer questions or provide full responses will delay the progress of the application. If a question is not applicable, this must be indicated.

How does the form address verification and data protection?

The Principal Representative consents to DFSA contacting prior employers, educational institutions, and other organisations to verify information. Personal Data provided will be used for DFSA regulatory functions and may be disclosed to third parties for those purposes under DIFC Data Protection Law 2007.

Sep 1, 2026

Upload by Jacob