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Instructional Guidelines

1. An Authorised Firm that is required to prepare a Financial Group Capital Adequacy Report may use this form to submit that Report. Use of this form is not mandatory.
2. Where an Authorised Firm chooses to use form PRU PIN17 for its Financial Group Capital Adequacy Report, it must do so in accordance with the instructional guidelines in this section.
3. An Authorised Firm completing this form must present:
a. in the header portion of the Form the information required by PIN Rule 6.6.2(2)(a), (b) and (c);
b. at item 1, the Financial Group Capital Resources;
c. at item 2, the Financial Group Capital Requirement
4. 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 at column 1, and the Financial Group Capital Resources Requirement of that group at column 2.
5. Where an entity is disclosed in accordance with instructional guideline 5(a) is not the Parent of a Financial Group, the entries at columns 1 and 2 of item 4 must be left blank.
6. 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 PIN Rule 6.6.2(2)(i);
b. in column 1, 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 PIN Rule 8.3.3.
7. Where the space on the form is inadequate for the disclosures required at item 4 or item 5, the Authorised Firm completing the form must attach a continuation sheet in the form of PRU PIN17. Separate continuation sheets must be used for disclosures required at items 4 and 5. Continuation sheets must be sequentially numbered and each continuation sheet must be completed in accordance with the Rules applicable to items 4 and 5.
8. At each of item 4 and item 5, the Authorised Firm completing the form must indicate whether or not a continuation sheet is attached, and if so the number of such continuation sheets.
9. Form PRU PIN17 must be signed in accordance with PIN Rule 6.6.2(4).

[Added] DFSA GM2/2007 (Made 5th July 2007). [VER3/08-07]