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Appendix 3: List of Compulsory Reports and Forms

N 35/2018 STA

Prudential reporting and submission deadlines

The Licensed Person must submit the following returns/reports to the Central Bank within the deadlines mentioned hereunder:

No.Name of the Return/ReportFrequencyDeadlineSubmitted to
1Daily Remittance Data - via Daily Remittances Reporting Systems of the Central BankDailyBefore the end of next business dayFID via online systems
2Submission of ERF 20, 21 & 38 - Online reporting via IRR SystemsMonthlyOn or before the 15th of the month following the end of the reporting periodBSD via online systems
3Submission of ERF 93 & 94 - Online reporting via IRR SystemsQuarterlyOn or before the 15th of the month following the end of the reporting periodBSD via online systems
4Statement of Assets and Liabilities and Contra Accounts - Form 1MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
5Profit and Loss Account - Form 2MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
6Due from/to Banks and Exchange Houses - Form 3MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
7Encumbered Placements - Form 4MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
8Statement of Borrowings - Form 5MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
9Statement of Remittances Payable - Form 6MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
10Related Party Transactions - Form 7MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
11List of Outstanding Guarantees Issued by Banks/Financial Institutions on behalf of the Exchange House - Form 8MonthlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
12Statement of Staff Position - Form 9QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
13List of Accounts with Banks, Exchange Houses and Financial Institutions outside the UAE - Form 10QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
14List of Accounts with Banks, Exchange Houses and Financial Institutions in the UAE - Form 11QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
15List of Vostro Accounts - Form 12QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
16Currency Exposures - Form 13QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
17Exchange Transactions - Form 14QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
18List of Branches with Address - Emirate-wise - Form 15QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
19List of Branches/Affiliates/Liaison Offices Abroad - Form 16QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
20Number of Correspondents (Nostro Accounts) - Form 17QuarterlyOn or before the 14th of the month following the end of the reporting periodBSD via Email
21Bi-Annual Compliance Report from the Compliance Officer as per Paragraph 16.25.5 of Chapter 16Bi-AnnualWithin four months from the end of the reporting periodBSD and FID
22Submission of Auditors’ Report, Financial Statements and Management Letter as per Paragraphs 7.3.4 (a) and 7.3.5 (d) of Chapter 7AnnualOn or before 31st March of the year following the end of the reporting periodBSD
23Submission of External Auditor’s findings based on the Agreed-Upon Procedures on AML/CFT Compliance function as per Paragraph 16.26.2 of Chapter 16AnnualOn or before 30th April of the year following the end of the reporting periodBSD

 

Notes:

  1. 1.“Annual return/report” means a return/report for the period from 1st January to 31st December of each financial year;
  2. 2.“Bi-Annual returns/reports” are returns/reports for the six (6) months period ending on 30th June and 31st December of each financial year;
  3. 3.“Quarterly returns/reports” are returns/reports for the three (3) months period ending on 31st March, 30th June, 30th September and 31st December of each financial year;
  4. 4.In the case of a startup business, the starting date of a return/report will be the actual date of commencement of business in all above cases;
  5. 5.The Central Bank reserves the right to alter the format or add/remove the information required in any return/report or introduce additional return(s)/report(s) or discontinue existing return(s)/report(s) at any point in time;
  6. 6.Form 1 to Form 17 (i.e. items from 4 to 20 of the above table) must be submitted to the Banking Supervision Department via email info.ehs@cbuae.gov.ae only;
  7. 7.Bi-Annual Compliance Report from the Compliance Officer (i.e. item 21 of the above table) must be submitted to the Banking Supervision Department via email mfo.ehs@cbuae.gov.ae in addition to submitting a hard copy to the FID; and
  8. 8.Auditors’ Report, Financial Statements, Management Letter and External Auditor’s findings based on the Agreed-Upon Procedures on AML/CFT Compliance function (i.e. items 22 and 23 of the above table) must be submitted to the Banking Supervision Department via email info.ehs@cbuae.gov.ae in addition to submitting the hard copies.