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/Report	Frequency	Deadline	Submitted to
1	Daily Remittance Data - via Daily Remittances Reporting Systems of the Central Bank	Daily	Before the end of next business day	FID via online systems
2	Submission of ERF 20, 21 & 38 - Online reporting via IRR Systems	Monthly	On or before the 15^th of the month following the end of the reporting period	BSD via online systems
3	Submission of ERF 93 & 94 - Online reporting via IRR Systems	Quarterly	On or before the 15^th of the month following the end of the reporting period	BSD via online systems
4	Statement of Assets and Liabilities and Contra Accounts - Form 1	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
5	Profit and Loss Account - Form 2	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
6	Due from/to Banks and Exchange Houses - Form 3	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
7	Encumbered Placements - Form 4	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
8	Statement of Borrowings - Form 5	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
9	Statement of Remittances Payable - Form 6	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
10	Related Party Transactions - Form 7	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
11	List of Outstanding Guarantees Issued by Banks/Financial Institutions on behalf of the Exchange House - Form 8	Monthly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
12	Statement of Staff Position - Form 9	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
13	List of Accounts with Banks, Exchange Houses and Financial Institutions outside the UAE - Form 10	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
14	List of Accounts with Banks, Exchange Houses and Financial Institutions in the UAE - Form 11	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
15	List of Vostro Accounts - Form 12	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
16	Currency Exposures - Form 13	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
17	Exchange Transactions - Form 14	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
18	List of Branches with Address - Emirate-wise - Form 15	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
19	List of Branches/Affiliates/Liaison Offices Abroad - Form 16	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
20	Number of Correspondents (Nostro Accounts) - Form 17	Quarterly	On or before the 14^th of the month following the end of the reporting period	BSD via Email
21	Bi-Annual Compliance Report from the Compliance Officer as per Paragraph 16.25.5 of Chapter 16	Bi-Annual	Within four months from the end of the reporting period	BSD and FID
22	Submission of Auditors’ Report, Financial Statements and Management Letter as per Paragraphs 7.3.4 (a) and 7.3.5 (d) of Chapter 7	Annual	On or before 31^st March of the year following the end of the reporting period	BSD
23	Submission of External Auditor’s findings based on the Agreed-Upon Procedures on AML/CFT Compliance function as per Paragraph 16.26.2 of Chapter 16	Annual	On or before 30^th April of the year following the end of the reporting period	BSD

Notes:

1.“Annual return/report” means a return/report for the period from 1^st January to 31^st December of each financial year;
2.“Bi-Annual returns/reports” are returns/reports for the six (6) months period ending on 30^th June and 31^st December of each financial year;
3.“Quarterly returns/reports” are returns/reports for the three (3) months period ending on 31^st March, 30^th June, 30^th September and 31^st December of each financial year;
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.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.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.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.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.