Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p84
Version: federal_register_of_legislation:F2024C01107
Segment Type: other
Provision Reference: 
Character Range: 227749–230621

Participant's financial position.
In my opinion, the Market Participant's systems, controls and accounting records:
    ☐ have been properly and accurately maintained and form an appropriate basis upon which to assess and regularly review the financial stability of the Market Participant.
    ☐ have not been properly and accurately maintained and do not form an appropriate basis upon which to assess and regularly review the financial stability of the Market Participant.
In my opinion:
    ☐ No events have occurred or are anticipated up to the date of this statement which may result in a significant deterioration in the financial stability of the Market Participant and there are reasonable grounds to believe the Market Participant will be able to meet its obligations as and when they fall due.
    ☐ Events have occurred or are anticipated up to the date of this statement which may result in a significant deterioration in the financial stability of the Market Participant and there are reasonable grounds to believe the Market Participant will not be able to meet its obligations as and when they fall due.
To the best of my knowledge and belief the Income Statement and Balance Sheet:
    ☐ have been drawn to comply with: the requirements of sections 988A and 988B of the Corporations Act 2001 or equivalent legislation in the Place of Incorporation (as applicable); and the accounting standard generally accepted in Australia; and the ASIC Market Integrity Rules (Capital) 2021.
    ☐ have not been drawn to comply with: the requirements of sections 988A and 988B of the Corporations Act 2001 or equivalent legislation in the Place of Incorporation (as applicable); and the accounting standard generally accepted in Australia; and the ASIC Market Integrity Rules (Capital) 2021.
To the best of my knowledge and belief the Core Capital, Liquid Capital calculation and the calculation of the Total Risk Requirement:
    ☐have been drawn to comply with the requirements of the ASIC Market Integrity Rules (Capital) 2021.
    ☐have not been drawn to comply with the requirements of the ASIC Market Integrity Rules (Capital) 2021.
Since the date of the last reporting statement the Market Participant:
    ☐ has complied with the Risk-Based Capital Requirements
    ☐ has not complied with the Risk-Based Capital Requirements
Authoriser's full name:

Authorisation date:

Schedule 1C Form 3 Risk-Based Return (Summary, Monthly and Annual*)
*For the Annual Audited Risk Based Return, the 'Prior' column represents the values that were set out in the monthly risk-based return submitted by the Market Participant for the end of period to which the Annual return relates.
For the Monthly Risk Based Return, the 'Prior' column represents the values that were set out in the previous month's risk-based return submitted by the market participant.
For the Summary Risk