GEN 6.10 GEN 6.10 Provision of information to the DFSA
GEN 6.10 Guidance1. This section sets out how certain information must be provided to the
DFSA. It applies to information in an AFNform and in any other application, notification, report or return that must be provided to the DFSAunder a Rule. It does not apply to PIBor PINreturns, which are subject to a special system: the DFSAElectronic Prudential Reporting System (EPRS).2. The DFSAhas 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 DFSAin accordance with GEN Rule 6.10.3.
GEN 6.10.1(1) This section applies to a
Personproviding information to the DFSAin:(a) an AFNform; or(b) any other application, notification, report or return required to be provided or submitted to the DFSAunder a Rule.(2) This section does not apply to an Authorised Personproviding a return under PIBor 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 DFSAonline using the appropriate electronic system on the DFSAwebsite.
Method of Providing Information
If information can be submitted online, a
Personmust submit the information to the DFSA using the online system.
If information cannot be submitted online then, unless a Rule states otherwise, a
Personmust ensure that information it provides to the DFSA:(a) is provided to the DFSAin writing;(b) sets out the Person'sfull 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, PRSor 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.
Evidence that Information was Provided
Personwho provides information to the DFSAmust retain sufficient evidence to be able to demonstrate to the DFSA, upon request, that the information was submitted or delivered.