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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)
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  • Not in use — see new PRU Sourcebook

    • PFN PIB Forms 1–11

      Purpose of these forms

      An Authorised Firm must submit the appropriate forms contained in this chapter in accordance with its category as defined in PIB appendix 7 and at the frequency stated in that appendix.

      Notes for completing these forms

      •   All figures must be typed and the declaration (in form PFN PIB 10) signed by the person authorised to sign the return in accordance with PIB Rule 1.6.1.
      •   The Authorised Firm’s name, licence number and reporting period should be identified on each form.
      •   Unless otherwise agreed with the DFSA, the Authorised Firm or Group’s reporting currency must be in US Dollars.
      •   Within the forms ‘N’ represents the reports for the current period and ‘N-1’ should contain figures provided in the previous period’s reporting statements. For the avoidance of doubt, for a reporting statement that is made on a quarterly basis, ‘N-1’ will be represent the previous quarter’s comparators, whereas for an annual reporting statement, ‘N-1’ will be the prior year’s reporting statement.
      •   Figures that related to expenses, losses or other negative amounts should be entered in brackets ‘(xxx)’.
      •   Forms must be presented in the English language.
      •   Authorised Firms are reminded that guidance notes are provided in form PFN PIB 11 which provides further detail on individual sections and boxes of the forms.
      •   When completed, submit the forms in line with SUP chapter 8. You may send applications by post or hand delivered and addressed to your usual supervisory contact.

      The address for postal submission is:

      DUBAI FINANCIAL SERVICES AUTHORITY
      AUTHORISATION DEPARTMENT
      LEVEL 13, THE GATE
      PO BOX 75850
      DUBAI, UAE

      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN PIB 1 Balance Sheet

      Please download the Form in PDF format.

      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

      • PFN PIB 1 App1 Detail of Non-trading Book Assets

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 1 App2 Detail of Non-Market Risk in the Trading Book

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 1 App3 Detail of Market Risk in the Trading Book

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 1 App4 Calculation of DCR

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

    • PFN PIB 2 Islamic Business — Balance Sheet

      Please download the Form in PDF format.

      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

      • PFN PIB 2 App1 Detail of Non-Trading Book Self-Financed Assets

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App2 Detail of Non-Trading Book Assets Financed By Unrestricted PSIAs

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App3 Detail of Non-Trading Book Assets Financed By Restricted PSIAs

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App4 Detail of Non Market Risk in the Trading Book Self-Financed

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App5 Detail on Non-Market Risk in the Trading Book - PSIAU Financed

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App6 Detail of Non Market Risk in the Trading Book – PSIAR Financed

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App7 Detail of Market Risk in the Trading Book

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App8 Islamic — Calculation of DCR

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

      • PFN PIB 2 App9 Analysis of Reserves Movement

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

    • PFN PIB 3 Profit and Loss Statement

      Please download the Form in PDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN PIB 4 Profit and Loss Statement for Islamic Financial Institutions

      Please download the Form in PDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN PIB 5 Expenditure Based Capital Minimum — Solo

      Please download the Form in PDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN PIB 6 Capital Adequacy Calculation — Solo

      Please download the Form in PDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN PIB 7 Large Exposures

      Please download the Form in PDF format.

      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

      • PFN PIB 7 App1 Detail of Largest 25 Exposures by Contract Type

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

    • PFN PIB 8 Liquidity Schedule — Maturity Mismatch

      Please download the Form in PDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN PIB 9 Branch Return

      Please download the Form in PDF format.

      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

      • PFN PIB 9 App1 Large Exposures Undertaken out of the Branch

        Please download the Form in PDF format.


        Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
        [Amended][VER4/06-05]

    • PFN PIB 10 Declaration by Authorised Firm

      Please download the Form in PDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]

    • PFN PIB 11 Instruction Guidelines

      Please download the Form in PDF format.


      Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]
      [Amended][VER4/06-05]