Document ID: chunk:federal_register_of_legislation:F2024C01107:body:0:p96
Version: federal_register_of_legislation:F2024C01107
Segment Type: other
Provision Reference: 
Character Range: 263073–266420

Person Balance' definition) that are not secured by liquid assets in the 'unsecured' column. If the Related/Associated Person is not an ADTI, this 'unsecured' asset must be treated as an 'Excluded Asset' and excluded from the liquid capital calculation.
      * If you have entered an amount in the current, secured, 'Non ADTI and Other' area, use the comments section to provide a description of the collateral used to secure the amount.

Collateral comment

Contingent Liabilities

Underwriting
Gross Underwriting Commitments

Gross Sub Underwriting Commitments

Total

Reduce underwriting and sub underwriting commitments by sub underwritten amounts and/or amounts received from client placement

Net underwriting commitments

Guarantees

For the purpose of the Rules

Ordinary course of business

To settle legal proceedings

Subtotal (Sum of all values above)

Related/Associated persons

Other

Other Guarantees total

      * If you have entered an amount in the 'Underwriting' or Guarantees' section, use the comment section to provide a description of the nature of the commitments.

Underwriting and/or Guarantee comment

Other Contingent Liabilities

Total Contingent Liabilities

Legal/insurance/encumbrances

Are there any actual/potential/legal proceedings and/or insurance claims?

Date you first became aware of potential circumstance
Gross contingent liability
Net contingent liability
Full name of cover provider
Date you or another person notified circumstance to cover provider
Date circumstance notified to the Exchange or Clearing House
Date circumstance settled/closed
Details of circumstance
Nature of cover (if any)

Where a legal proceeding and/or an insurance claim has been settled or closed during the month, record the date this occurred in the 'Date circumstance settled/closed' row in the FIRST month this occurs. After you have reported this date, you can delete the item from future returns.

Total legal/insurance

 Gross Contingent Liability  Net Contingent Liability

Is there any charge, pledge, or other encumbrance over any of the assets of the Market Participant?

Provide details below of any encumbrance (or charge or pledge) over any of the assets of the Market Participant, including the nature of the encumbrance, and the maximum potential exposure

Has the Market Participant granted any Credit Facilities to other persons or entities?

Please provide details below of the Credit Facilities granted to other persons/entities

Leases

Description of the lease  Right-of-use-asset (ROU asset) ($)  Lease Liability (LL) ($)  Net of ROU asset and LL ($)
Current

Total current
Non current

Total non current
Total

Other assets

Other current assets              Amount

Other current asset amount total
Other non-current assets          Amount

Non-current assets amount total
Other assets total

Receivables report

Amount owed by                     0-31  32-60  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