Entire Section

  • GEN 6.10 GEN 6.10 Provision of information to the DFSA

    • GEN 6.10 Guidance

      1. This section sets out how certain information must be provided to the DFSA. It applies to information in an AFN form and in any other application, notification, report or return that must be provided to the DFSA under a Rule. It does not apply to PIB or PIN returns, which are subject to a special system: the DFSA Electronic Prudential Reporting System (EPRS).
      2. The DFSA has enabled certain information to be submitted online using the electronic system on its website. If information can be submitted online, that online electronic system is to be used — see GEN Rule 6.10.2. In other cases, information must be provided to the DFSA in accordance with GEN Rule 6.10.3.

      Derived from DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]

    • GEN 6.10.1

      (1) This section applies to a Person providing information to the DFSA in:
      (a) an AFN form; or
      (b) any other application, notification, report or return required to be provided or submitted to the DFSA under a Rule.
      (2) This section does not apply to an Authorised Person providing a return under PIB or PIN.
      (3) In this section, a reference to information that can be submitted online is a reference to information that can be submitted to the DFSA online using the appropriate electronic system on the DFSA website.

      Derived from DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]

    • Method of Providing Information

      • GEN 6.10.2

        If information can be submitted online, a Person must submit the information to the DFSA using the online system.


        Derived from DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]

      • GEN 6.10.3

        If information cannot be submitted online then, unless a Rule states otherwise, a Person must ensure that information it provides to the DFSA:

        (a) is provided to the DFSA in writing;
        (b) sets out the Person's full name and, if applicable, its authorisation or registration number;
        (c) is addressed to the attention of:
        (i) the Markets Department if the information is being provided under AMI, REC, MKT, PRS or TKO; or
        (ii) the Supervision Department in any other case; and
        (d) is delivered to the DFSA:
        (i) by post to the current address of the DFSA;
        (ii) by hand to the current address of the DFSA; or
        (iii) by electronic mail to an address provided by the DFSA.

        Derived from DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]

    • Evidence that Information was Provided

      • GEN 6.10.4

        A Person who provides information to the DFSA must retain sufficient evidence to be able to demonstrate to the DFSA, upon request, that the information was submitted or delivered.


        Derived from DFSA RM176/2016 (Made 19th June 2016) [VER37/08-16]