Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p97
Version: federal_register_of_legislation:F2024C01107
Segment Type: other
Provision Reference: 
Character Range: 266017–269722

61-90  90+  Total Due

Less provision for doubtful debts
Total
Aging Analysis Percent (%)

Core capital, liquid capital, liquid margin and ratio

Core Capital

                                                                                                           Current  Prior
Ordinary Issued and Paid-Up Shares
Non-Cumulative Preference Shares
All reserves Excluding Revaluation reserves other than Financial Asset and Liability Revaluation Reserves
Opening Retained Earnings/Accumulated losses Adjusted for all Current Year Movements
Core Capital

Core Capital must not be less than the amount specified in the Market Integrity Rules. Should it fall below this level you must notify ASIC immediately.

Liquid Capital calculation

                                                                                    Current  Prior
Core Capital
Cumulative Preference Shares
Approved Subordinated Debt
Revaluation reserves other than Financial Asset and Liability Revaluation Reserves
Less Excluded Assets
Property, plant and equipment
Intangible assets
Deferred tax assets1
Other non-current assets2
Unsecured deposits/loans with non ADTI
Unsecured non ADTI related/associated person balances3
Other trade receivables realisable after 31 days
Prepayments realisable after 31 days
Other illiquid assets 4
Other charged assets
Other prescribed assets 5
Less Excluded Liabilities
Guarantees and Indemnities
Other prescribed liabilities
Liquid Capital

 1.        Includes future income tax benefits.
 2.        Includes non-current trade receivables, financial assets, loans and deposits and non-current Related/Associated Person Balances.
 3.        Non-current Related/Associated Person Balances are included in 'Other Non-current assets'.
 4.        Use the additional comments function to provide a description of the illiquid assets you have reported.
 5.        Use the additional comments section to provide details of what these balances relate to.

Liquid Margin calculation

                                                    Current  Prior
Liquid Capital
Operational Risk Requirement
Counterparty Risk Requirement
Large Exposure Risk Requirement
Position Risk Requirement
Underwriting and Sub Underwriting Risk Requirement
Non-Standard Risk Requirement
Total Risk Requirement
Liquid Margin

Liquid Capital must always be greater than the Total Risk Requirement.

Capital Ratio

                                                   Current  Prior
Ratio of Liquid Capital to Total Risk Requirement

Liquid Capital must always be greater than the Total Risk Requirement. Should the ratio of Liquid Capital to Total Risk Requirement fall to 1.2 or less, you must notify ASIC immediately.

Credit facilities and overdraft

Standby credit facilities granted in favour of the Market Participant
Type                                                                   Full name of provider  Terms and availability  Amount of limit

Total standby credit facilities

       * You can select more than one type of facility.
       * If a Participant has no credit/overdraft, enter 'No Facility' in 'Type', Nil in 'Full name of provider', 'Terms and availability', and $0 in 'Amount'.

Describe Security given to Provider(s), together with any other comments considered relevant

Additional comments

Use this comment section to include any additional information you consider relevant for this return

Schedule 1C Form 5: Risk-Based Capital Requirements—Auditor's Report

PRO FORMA AUDITOR'S REPORT ON FINANCIAL INFORMATION

Pro Forma Auditor's Report on Financial Information

KEY

The following key applies throughout this document.

* Where the Participant is a body