AU-5.2.3

When submitting Form 3, investment firm licensees must ensure that the Form 3 is:

(a) Submitted to the CBB with a covering letter signed by an authorised representative of the investment firm licensee, seeking approval for the proposed controlled function;
(b) Submitted in original form;
(c) Submitted with a certified copy of the applicant's passport, original or certified copies of educational and professional qualification certificates (and translation if not in Arabic or English) and the Curriculum Vitae; and
(d) Signed by an authorised representative of the licensee and all pages stamped with the licensee's seal.
(e) Submitted with the existing organisation chart or a proposed organisation chart (if the existing organisation chart is to be amended) reflecting the reporting line of the applicant. This is for all controlled functions listed in Rule AU-1.2.2 except a & e.
Amended: October 2016
Amended: July 2015
Amended: October 2009