Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p83
Version: federal_register_of_legislation:F2024C01107
Segment Type: other
Provision Reference: 
Character Range: 224325–228038

Supervisory Authority of Denmark)
Europe          European Central Bank
                European Securities and Markets Authority
Finland         Finanssivalvonta/Finansinspektionen (Finnish Financial Supervisory Authority)
France          Autorité des marchés financiers (Financial Markets Regulator)
Germany         Bundesanstalt für Finanzdienstleistungsaufsicht (Federal Financial Supervisory Authority)
Greece          The Bank of Greece
                 The Hellenic Capital Market Commission
Hong Kong       Hong Kong Monetary Authority
                Hong Kong Securities and Futures Commission
Iceland         Central Bank of Iceland
Ireland         Central Bank of Ireland
Italy           Banca d'Italia
                Commissione Nazionale per le Società e la Borsa
Japan           Financial Services Agency
Liechtenstein   Finanzmarktaufsicht Liechtenstein (Financial Market Authority of Liechtenstein)
Luxembourg      Commission de Surveillance du Secteur Financier
Netherlands     Autoriteit Financiële Markten (Netherlands Authority for the Financial Markets)
New Zealand     Financial Markets Authority
                New Zealand Stock Exchange
Norway          Finanstilsynet (Financial Supervisory Authority of Norway)
Portugal        Comissão do Mercado de Valores Mobiliáros (Portuguese Securities Market Commission)
Singapore       Monetary Authority of Singapore
                Stock Exchange of Singapore
South Africa    Johannesburg Stock Exchange
                South African Futures Exchange
Spain           Banco de Espana (for Banks and Credit Institutions)
                Comision Nacional del Mercado de Valores
Sweden          Finansinspektionen (Financial Supervisory Authority of Sweden)
United Kingdom  Financial Conduct Authority
United States   Securities and Exchange Commission
                 Commodity Futures Trading Commission
                Financial Industry Regulatory Authority

Part A5.4  Underwriting Risk
Table A5.4.1: Underwriting Risk Factor
Risk Factor
All Underwritings  5%

Schedule 1C: Forms

Schedule 1C Form 1 Ad Hoc Risk-Based Return

Return date
Core Capital
Approved Subordinated Debt
Cumulative Preference Shares/revaluation reserve
Less Excluded Assets
Less Excluded Liabilities
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
Ratio of Liquid Capital to Total Risk Requirement
Component of the Counterparty Risk Requirement that is the Non-margined Financial Instruments method (NMFIM) amount greater than 10 Business Days

Schedule 1C Form 2 Risk-Based Return Declaration

   (the Market Participant)

By submitting this document, I confirm on behalf of the Market Participant that:
1. I am authorised by the Market Participant to submit the information set out in this form and any attachments;
2. I am aware that submitting false or misleading information may be an offence.
The assets and liabilities of each company controlled by the Market Participant or any other venture in which the Market Participant has a financial interest:
    ☐ are not in my opinion such as to affect adversely to a material extent the Market Participant's financial position.
    ☐ are in my opinion such as to affect adversely to a material extent the Market 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.