PRU-EPRS 1.39 Instructional Guidelines

Past version: effective from 16/12/2007 - 13/04/2013
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1. An Authorised Firm completing this form must present:
a. in the header portion of the Form the information required by PIB Rule A7.2.2(2)(a), (b) and (c);
b. at item 1, the Financial Group Capital Resources;
c. at item 2, the Financial Group Capital Requirement
2. An Authorised Firm completing this form must present at item 4:
a. the names of all Authorised Firms and Financial Institutions in the Financial Group; and
b. where an entity disclosed at (a) is itself the Parent of a Financial Group, the Financial Group Capital Resources of that group and the Financial Group Capital Requirement of that group.
3. Where an entity is disclosed in accordance with instructional guideline 5(a) is not the Parent of a Financial Group, there is no need to report the group capital position entries at columns 1 and 2 of item 4 must be left blank.
4. An Authorised Firm completing this form must present at item 5:
a. the names of all Authorised Firms and Financial Institutions meeting the conditions set out at PIB Rule A7.2.2(2)(i);
b. the Capital Resources or Adjusted Capital Resources as applicable of that entity; and
c. in column 2, the capital requirement of that entity calculated in accordance with PIB Rule A7.2.2 (4).
Derived from GM5/2007 (Made 16th December 2007). [VER1/12-07]