PRU-EPRS 1.32 Instructional Guidelines
Past version: effective from 16/12/2007 - 13/04/2013
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1. All figures relating to income statement items, other expense accounts, volumes, activity levels, number of accounts or units sold/traded and any other data relating to amounts invested/deposited except outstanding balances in any of the quarterly returns must correspond to the current reporting period (quarter) and not cumulative or year-to-date amounts.
2. The data being sought in all the three sections of this form are self explanatory given the description provided in the title column, except for the following specific points.
3. B200_3100: Include all
High Net Worth Individuals and any of the personal investment vehicles, like trusts, investment companies etc. used by such clients to manage their wealth.
4. B200_3300: Include all wholesale investors who are not identified as a separate category in this section of the form. This would include, but is not limited to, pension funds, private investment/holding companies, corporate entities, insurers and their insurance funds/cells, etc.
5. B200_3400: Include
Collective Investment Funds (CIFs) of all types — irrespective of whether they are recognised by the CI Law or Rules of the DFSA.
6. Third section on domicile of customers: The classification in this section is intended to be mutually exclusive. For example, information on accounts of customers domiciled in the GCC & MENA, B180_2030 should not include the accounts of customers domiciled in the
UAE or in the DIFC, because they are reported in the previous two items. Similarly, data reported in B180_2020 should not include the accounts reported in B180_2010.
Derived from GM5/2007 (Made 16th December 2007). [VER1/12-07]