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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
Laws
Recognised Jurisdictions and Funds
Declaration Notices
Financial Markets Tribunal
Archive
Rulebook Modules
Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER34/12-19]
Sourcebook Modules
Consultation Papers
Policy Statements
DFSA Codes of Practice
Amendments to Legislation
Media Releases
Notices

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  • PIB 2.3 Reporting to the DFSA

    • PIB 2.3.1

      (1) An Authorised FirmG must comply with the accounting and prudential reporting requirements set out in this chapter and PRUG which apply to it.
      (2) The DFSAG may impose additional reporting requirements on an Authorised FirmG .
      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

    • PIB 2.3.2

      An Authorised FirmG must, subject to PIB Rule 2.3.3:

      (a) prepare its returns in accordance with the RulesG in this chapter, the instructional guidelines in PRUG , and the requirements of the DFSA'sG electronic prudential reporting system; and
      (b) submit the returns to the DFSAG using the electronic prudential reporting system.
      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

      • PIB 2.3.2 Guidance

        The returns and instructional guidelines are provided in PRUG and the DFSA'sG electronic prudential reporting system.

        Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

    • PIB 2.3.3

      The DFSAG may by way of a written notice direct an Authorised FirmG to submit its returns in a form, manner or frequency other than as prescribed in PIB Rule 2.3.2. An Authorised FirmG must continue to submit its returns in accordance with this direction until the DFSAG by way of written notice directs otherwise.

      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

    • PIB 2.3.4

      (1) The submission of any return must be accompanied by a Form B100 (Declaration by Authorised FirmsG ) signed by the Authorised FirmG in the manner set out in (2) or (3) as applicable.
      (2) In relation to an annual return the form must be signed by two officers of the Authorised FirmG each of whom is a DirectorG , PartnerG or individual previously approved by the DFSAG for that purpose.
      (3) In relation to a quarterly return the form must be signed by one officer of the Authorised FirmG who is a DirectorG , PartnerG or individual previously approved by the DFSAG for that purpose.
      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

    • PIB 2.3.5

      An original signed hard copy of Form B100 (Declaration by Authorised FirmsG ), together with a copy of the return submitted to the DFSAG must be kept for at least 6 years for inspection by the DFSAG .

      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

    • PIB 2.3.6

      If the DFSAG notifies an Authorised FirmG , or the Authorised FirmG itself forms the view, that a return that has been submitted to the DFSAG appears to be inaccurate or incomplete, the Authorised FirmG must consider the matter and within a reasonable time it must correct any inaccuracies and make good any omissions, and re-submit the relevant parts of the return.

      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]

    • PIB 2.3.7

      (1) An Authorised FirmG must prepare and submit returns in accordance with Table 1 in PIB section A2.4 of PIB App2, which forms part of these RulesG .
      (2) All returns must be completed in thousands of dollars ($).
      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
      [Amended] DFSA RM135/2014 (Made 21st August 2014). [VER22/06-14]

    • PIB 2.3.8

      (1) An Authorised FirmG must submit to the DFSA any annual return required by Table 1 in PIB section A2.4 of PIB App2, within four months of the end of the Authorised Firm'sG financial year.
      (2) An Authorised FirmG must submit to the DFSAG any other return required by Table 1 in PIB section A2.4 of PIB App2, within one month after the end of the reporting period to which the return relates.
      Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
      [Amended] DFSA RM135/2014 (Made 21st August 2014). [VER22/06-14]

    • PIB 2.3.9 [Deleted]

      [Deleted] DFSA RM209/2017 (Made 4th July 2017). [VER28/08-17]

      • PIB 2.3.9 Guidance [Deleted]

        [Deleted] DFSA RM209/2017 (Made 25th October 2017). [VER30/01-18]