The Custodian Declaration Form is a mandatory regulatory document required by UAE financial authorities for institutions providing custody services. It is used when an entity seeks to provide or continue providing custody services within the UAE jurisdiction, serving as a formal attestation of their compliance with regulatory requirements. The document must be submitted to the Securities and Commodities Authority (SCA) and potentially the UAE Central Bank, depending on the scope of services. The form includes comprehensive declarations about the institution's operational capabilities, risk management frameworks, and compliance systems, ensuring alignment with UAE financial regulations and international best practices for custody services. This declaration is particularly crucial in the UAE's developing financial markets, where proper custody arrangements are essential for market stability and investor protection.
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1. Custodian Details: Full legal name, license details, and contact information of the custodian entity
2. Regulatory Status: Declaration of regulatory licenses and authorizations held by the custodian
3. Scope of Custody Services: Detailed description of the custody services to be provided
4. Compliance Declarations: Specific declarations regarding compliance with UAE laws and regulations
5. Risk Management: Declaration of risk management procedures and systems in place
6. Asset Segregation: Declaration regarding the segregation of client assets from custodian's own assets
7. Record Keeping: Confirmation of record-keeping practices and systems
8. Reporting Commitments: Declaration of reporting obligations and commitments
9. Authorization: Signature block and authorization details
1. Sub-Custody Arrangements: Details of any sub-custodian arrangements, used when the custodian employs third-party sub-custodians
2. Special Asset Classes: Specific declarations for special asset classes like derivatives or Islamic financial products
3. Cross-Border Activities: Additional declarations for cross-border custody services, required when operating across multiple jurisdictions
4. Digital Asset Custody: Specific declarations for digital asset custody services, if applicable
5. Group Structure Details: Information about the custodian's group structure, required for custodians part of larger financial groups
1. Schedule 1 - License Details: Copies or details of all relevant regulatory licenses and authorizations
2. Schedule 2 - Key Personnel: List of key personnel responsible for custody operations
3. Schedule 3 - Systems and Controls: Detailed description of custody systems and control mechanisms
4. Schedule 4 - Sub-Custodian Network: List of approved sub-custodians and their jurisdictions, if applicable
5. Schedule 5 - Asset Classes: Detailed list of asset classes covered under the custody services
6. Appendix A - Compliance Certificates: Copies of relevant compliance certificates and attestations
7. Appendix B - Insurance Coverage: Details of professional indemnity and other relevant insurance coverage
Relevant legal definitions
Approved Bank
Assets Under Custody
Authority
Business Day
Central Bank
Client
Client Assets
Client Money
Custody Account
Custody Agreement
Custodian
Custodian License
Digital Assets
Financial Instruments
Financial Market
Financial Year
Internal Control Systems
License
Market Rules
Nominee
Regulatory Body
Safekeeping
Securities
Sub-Custodian
UAE
Working Hours
Assets Under Custody
Authority
Business Day
Central Bank
Client
Client Assets
Client Money
Custody Account
Custody Agreement
Custodian
Custodian License
Digital Assets
Financial Instruments
Financial Market
Financial Year
Internal Control Systems
License
Market Rules
Nominee
Regulatory Body
Safekeeping
Securities
Sub-Custodian
UAE
Working Hours
Clauses
Regulatory Compliance
Asset Segregation
Client Asset Protection
Record Keeping
Risk Management
Systems and Controls
Reporting Obligations
Sub-Custody Arrangements
Conflict of Interest
Professional Indemnity
Confidentiality
Data Protection
Anti-Money Laundering
Business Continuity
Operational Capabilities
Staff Competency
Internal Controls
Asset Valuation
Corporate Actions
Settlement Procedures
Asset Segregation
Client Asset Protection
Record Keeping
Risk Management
Systems and Controls
Reporting Obligations
Sub-Custody Arrangements
Conflict of Interest
Professional Indemnity
Confidentiality
Data Protection
Anti-Money Laundering
Business Continuity
Operational Capabilities
Staff Competency
Internal Controls
Asset Valuation
Corporate Actions
Settlement Procedures
Relevant Industries
Financial Services
Banking
Investment Management
Securities Services
Asset Management
Wealth Management
Fund Administration
Capital Markets
Islamic Finance
Relevant Teams
Legal
Compliance
Operations
Risk Management
Internal Audit
Client Services
Regulatory Reporting
Securities Services
Client Assets
Executive Management
Relevant Roles
Chief Compliance Officer
Head of Custody Services
Legal Counsel
Chief Operating Officer
Risk Manager
Compliance Manager
Operations Director
Head of Securities Services
Chief Executive Officer
Head of Client Assets
Regulatory Reporting Officer
Internal Audit Manager
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