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
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
The address for postal submission is:
DUBAI FINANCIAL SERVICES AUTHORITY
LEVEL 13, THE GATE
PO BOX 75850
Derived from DFSA RM11/2004
(Made 16th September 2004). [VER1/09-04]