Regulatory Reporting Requirements for Authorised Firms

Authorised Firms are required to submit the following key regulatory returns as part of ongoing supervision obligations:

• Quarterly Prudential Returns: Prudential Reporting Unit (PRU) Investment Firms must submit the following within one month after the end of each reporting quarter:
  • Completed Excel return
  • Signed and scanned PDF version (signed by the Finance Officer and either the Senior Executive Officer or a Director)
  • Accompanying explanatory note
• Audited Annual Prudential Return: Must be submitted within four months after the end of the financial year, including a prudential report certified by the same auditor responsible for auditing the firm’s annual financial statements.
• Annual AML Return: Relevant Person must submit AFSA’s Annual AML Return form within two months after the end of each calendar year.

Note: This list is not exhaustive. Additional reporting obligations may apply under other regulatory functions. Firms remain responsible for reviewing all applicable AIFC Acts to ensure full compliance with all reporting obligations.