PFN PIB Forms 1–11

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 that appendix.

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 contact.

The address for postal submission is:

PO BOX 75850

Derived from DFSA RM11/2004 (Made 16th September 2004). [VER1/09-04]