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DFSA | THE INDEPENDENT REGULATOR OF FINANCIAL SERVICES
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DFSA Rulebook

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Dubai Financial Services Authority (DFSA)

  • Dubai Financial Services Authority (DFSA)
    • Laws
    • Recognised Jurisdictions and Funds
    • Declaration Notices
    • Financial Markets Tribunal
    • Archive
    • Rulebook Modules
      • Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER19/04-22]
      • Authorised Market Institutions (AMI) [VER21/04-22]
      • Auditor Module (AUD) [VER05/04-22]
      • Conduct of Business Module (COB) [VER39/10-21]
      • Collective Investment Rules (CIR) [VER/33/06-22]
      • Fees Module (FER) [VER26/06-22]
      • Fund Protocol Rules (FPR) [VER1/02-19]
      • General Module (GEN) [VER55/06-22]
      • Glossary Module (GLO) [VER54/06-22]
      • Islamic Finance Rules (IFR) [VER18/10-21]
      • Markets Rules (MKT) [VER18/10-21]
      • Price Stabilisation Module (PRS) [VER7/04-18]
      • Prudential — Insurance Business Module (PIN) [VER17/04-21]
      • Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER42/06-22]
        • PIB 1 Application, Interpretation and Categorisation
        • PIB 2 General Requirements
        • PIB 3 Capital
          • Introduction
          • PIB 3 Part 1 — Application
          • PIB 3 Part 2 — Basic Requirements
          • PIB 3 Part 3 — Calculating the Capital Requirement
            • PIB 3.3 Capital Requirements for Categories 1 and 5
            • PIB 3.4 Capital Requirements for Categories 2 and 3A
            • PIB 3.5 Capital Requirements for Categories 3B, 3C, 3D and 4
            • PIB 3.6 Base Capital Requirement
            • PIB 3.7 Expenditure Based Capital Minimum
            • PIB 3.8 Risk Capital Requirement
            • PIB 3.8A Stored Value Capital Requirement
            • PIB 3.9 Capital Conservation Buffer
            • PIB 3.8B Transaction Based Capital Requirement
            • PIB 3.9A Countercyclical Capital Buffer (CCyB)
            • PIB 3.9B HLA Capital Buffer
            • PIB 3.9C Failure to meet a Capital Buffer Requirement
              • PIB 3.9C Guidance
              • PIB 3.9C.1
              • Restrictions on Distributions
                • PIB 3.9C.2
                • PIB 3.9C.3
                • PIB 3.9C.4
                • PIB 3.9C.5
                • PIB 3.9C.6
                • PIB 3.9C.7
              • Capital Conservation Plan
          • PIB 3 Part 4 — Calculating Capital Resources
          • PIB 3 Part 5 — Calculating the Leverage Ratio
        • PIB 4 Credit Risk
        • PIB 5 Market Risk
        • PIB 6 Operational Risk
        • PIB 7 Interest Rate Risk in the Non-Trading Book
        • PIB 8 Group Risk
        • PIB 9 Liquidity Risk
        • PIB 10 Supervisory Review and Evaluation Processes
        • PIB 11 Disclosure Requirements
        • PIB App1 Categories of Authorised Firms
        • PIB App2 General Requirements
        • PIB App3 Capital
        • PIB App4 Credit Risk
        • PIB App5 Market Risk
        • PIB App6 Calculating the Operational Risk Capital Requirement
        • PIB App7 Not Used
        • PIB App8 Not Used
        • PIB App9 Liquidity
        • PIB App10 Supervisory Review and Evaluation Processes
        • PIB App11 Public Disclosure Requirements
      • Recovery and Resolution (RAR) [VER1/04-21]
      • Recognition (REC) [VER12/01-18]
      • Representative Office Module (REP) [VER11/09-21]
      • Takeover Rules Module (TKO) [VER08/04-20]
      • Archive
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  1. Dubai Financial Services Authority (DFSA)
  2. Rulebook Modules
  3. Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER42/06-22]
  4. PIB 3 Capital
  5. PIB 3 Part 3 — Calculating the Capital Requirement
  6. PIB 3.9C Failure to meet a Capital Buffer Requirement
  7. Restrictions on Distributions
  8. PIB 3.9C.7
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  Versions

 
  • Dec 09 2012 - Dec 31 2017
  • Jan 01 2018
‹ PIB 3.9.6 Guidance Capital Conservation Plan ›

PIB 3.9C.7

An Authorised Firm must maintain systems and processes to ensure that the amount of distributable profits and the maximum distributable amount are calculated accurately, and must be able to demonstrate that accuracy to the DFSA on request.

Derived from RM111/2012 (Made 15th October 2012). [VER20/12-12]
[Amended] DFSA RM209/2017 (Made 25th October 2017). [VER30/01-18]
‹ PIB 3.9.6 Guidance Capital Conservation Plan ›
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