Sch 1C Form 4A Pt 1
Annual Audited Return
Market Participant Name:
Return Date:
Return Details
Participant Type
Participant Sub-Type
Return Status:
Version:
Lodgement Date:
Original Lodgement Date:
Annual Audited Return
Return Date:
Return Profile
Counterparty Risk Requirement
Have any of the following transaction types generated a counterparty risk amount/requirement?
Non-margined financial instruments?
Free deliveries?
Securities lending or borrowing agreements?
Margined financial instruments?
OTC derivatives and warrants as principal?
Sub underwritings?
Position Risk Requirement
Part 1 - Equity Position Risk
Are any equity principal positions held which require a position risk requirement to be entered?
Standard Method
Building Block Method
Contingent Loss Matrix Method - Method 1
Contingent Loss Matrix Method - Method 2
Margin Method
Basic Method
Arbitrage Method
Part 2 - Debt Position Risk
Are any debt principal positions held which require a position risk requirement to be entered?
Annual Audited Return
Return Date:
Standard Method
Building Block Method - Maturity Method
Building Block Method - Duration Method
Contingent Loss Matrix Method 2 (Maturity method)
Margin Method
Basic Method
Part 3 - Foreign Exchange Position Risk
Does a foreign exchange position risk requirement need to be entered?
Standard Method
Contingent Loss Matrix Method
Part 4 - The Internals Models Approach
Does the Participant have an Authorised VAR Model?
Equities
Debt
Foreign Exchange
Commodities
Large Exposure Risk Requirement
Part 1 - Counterparty Large Exposure
Is more than 10% of Liquid Capital exposed to a single counterparty?
Indicate type of exposure:
Non-margined financial instruments?
Securities lending or borrowing agreements?
Margined financial instruments?
Annual Audited Return
Return Date:
OTC derivatives and warrants as principal?
Part 2 - Issuer Large Exposure
Does an Issuer Large Exposure Risk Requirement need to be entered?
Equity Method
Does any individual equity net position exceed 25% of Liquid Capital?
Does any individual equity net position exceed 5% of shares on issue?
Debt Method
Does any individual debt net position exceed 25% of Liquid Capital?
Does any individual debt net position exceed 10% of the debt series on issue?
Equity and Debt Method
Does the sum of equity and debt positions to an individual issuer exceed 25% of Liquid Capital?
Underwriting Risk Requirement
Does an underwriting risk requirement need to be entered?
Non-Standard Risk Requirement
Are there any unusual or non-standard exposures?
Secondary Requirement
Has a secondary requirement been imposed on the Participant?
Annual Audited Return
Return Date:
Counterparty Risk Requirement
Counterparty Risk Amounts (after Counterparty Risk Weightings)
Summary | 0% | 10% | 20% | 50% | 100% | Total |
Non-Margined Financial Instruments Method | | | | | | |
Free Delivery Method | | | | | | |
Securities Lending and Borrowing Method | | | | | | |
Margined Financial Instruments Method | | | | | | |
OTC Derivatives And Warrants as Principal Method | | | | | | |
Sub-underwritten Positions Method | | | | | | |
SUB Total | | | | | | |
less Provision for Doubtful Debts: | |
TOTAL COUNTERPARTY RISK REQUIREMENT: | |
Annual Audited Return
Return Date:
Non-Margined Financial Instruments Method
Risk Amounts By Counterparty Risk Weighting (CRW) Category
Transaction Type | 0% | 10% | 20% | 50% | 100% | Total |
≤ 10 Business Days: Aggregate of Net Client Balances @ 3% | | | | | | |
> 10 Bus' Days: Transaction @ 3% | | | | | | |
> 10 Business Days: Excess of market value over contract value in case of a sale / Excess of contract value over market value in case of a purchase | | | | | | |
100% of Contract value/100% of Market value | | | | | | |
Sub Total - Unweighted Amounts | | | | | | |
Total Risk Amounts - Weighted by CRW | | | | | | |
Amount Of Collateral Utilised To Reduce The Above Amounts. | | | | | | |
Annual Audited Return
Return Date:
Free Delivery Method
Risk Amounts By Counterparty Risk Weighting (CRW) Category
Transaction Type | 0% | 10% | 20% | 50% | 100% | Total |
< 2 Business Days @8% | | | | | | |
≥ 2 Business Days @100% | | | | | | |
Sub Total - Unweighted Amounts | | | | | | |
Total Risk Amounts - Weighted by CRW | | | | | | |
Amount of Collateral Utilised to Reduce the Above Amounts | | | | | | |
Annual Audited Return
Return Date:
Securities Lending and Borrowing Method
Risk Amounts By Counterparty Risk Weighting (CRW) Category
Transaction Type | 0% | 10% | 20% | 50% | 100% | Total |
Option 1: > $10,000 and counterparty exposure ≤ 15% of value received: 8% of counterparty exposure | | | | | | |
> $10,000 and counterparty exposure > 15% of value received : 8% of 15% of value received | | | | | | |
> $10,000 and counterparty exposure > 15% of value received : 100% of counterparty exposure over 15% of value received | | | | | | |
Option 2: > $10,000 : 100% of counterparty exposure | | | | | | |
Sub Total - Unweighted Amounts | | | | | | |
Total Risk Amounts - Weighted by CRW | | | | | | |
Annual Audited Return
Return Date:
Margined Financial Instruments Method
Risk Amounts By Counterparty Risk Weighting (CRW) Category
Transaction Type | 0% | 10% | 20% | 50% | 100% | Total |
Settlement Amount, Premium, Deposit or Margin owed by Counterparty @ 100% | | | | | | |
Total Risk Amounts Weighted by CRW | | | | | | |
Amount of Collateral Utilised To Reduce The Above Amounts | | | | | | |
Annual Audited Return
Return Date:
OTC Derivatives and Warrants Executed as Principal Method
Risk Amounts By Counterparty Risk Weighting (CRW) Category
Transaction Type | 0% | 10% | 20% | 50% | 100% | Total |
Written Premium Not Received @ 100% | | | | | | |
Current Credit Exposure : Equity @ 8% | | | | | | |
Potential Credit Exposure : Equity @ 8% | | | | | | |
Current Credit Exposure : Debt @ 8% | | | | | | |
Potential Credit Exposure : Debt @ 8% | | | | | | |
Current Credit Exposure : Fx @ 8% | | | | | | |
Potential Credit Exposure : Fx @ 8% | | | | | | |
Sub Total - Unweighted Amounts | | | | | | |
Total Risk Amounts - Weighted by CRW | | | | | | |
Amount Of Collateral Utilised To Reduce The Above Amounts. | | | | | | |
Annual Audited Return
Return Date:
Sub-Underwritten Positions Method
Risk Amounts By Counterparty Risk Weighting (CRW) Category
Transaction Type | 0% | 10% | 20% | 50% | 100% | Total |
Unweighted Amount | | | | | | |
Total Risk Amounts - Weighted by CRW | | | | | | |
Amount of Collateral Utilised To Reduce The Above Amounts | | | | | | |
Annual Audited Return
Return Date:
Currency Exposure
Annual Audited Return
Return Date:
Counterparty Concentration
| Counterparty Name | Counterparty Type | Gross 'Unweighted Value' | Counterparty Risk Weighting % | Counterparty Risk Amount (Risk Weighted) |
1 | | | | | |
Annual Audited Return
Return Date:
Position Risk Requirement
Summary | Total |
Part 1 - Equity Position Risk | |
Part 2 - Debt Position Risk | |
Part 3 - Foreign Exchange Position Risk | |
Part 4 - VaR | |
TOTAL POSITION RISK REQUIREMENT | |
Annual Audited Return
Return Date:
Equity Position Risk
Summary | Total AUD |
Standard Method | |
Building Block Method | |
Contingent Loss Matrix Method - Method 1 | |
Contingent Loss Matrix Method - Method 2 | |
Margin Method | |
Basic Method | |
Arbitrage Method - Similar Indexes | |
Arbitrage Method - Matching Basket - 2nd Method | |
EQUITY POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Standard Method
Country | Equity Net Positions @ 8% | Equity Net Positions @ 12% | Equity Net Positions @ 16% | Total Position Risk Amount $ |
| | | | |
TOTAL | | | | |
TOTAL STANDARD METHOD POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Building Block Method
| Number of Positions | Specific Risk | General Risk | |
Country | Long | Short | Equity Net Position 2% | Equity Net Position 4% | Equity Net Position 8% | Specific Risk Total $ | Aggregate Equity Net 8% | Total Position |
Risk Amount $ |
| | | | | | | | |
TOTAL | | | | | | | | |
TOTAL BUILDING BLOCK METHOD POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Contingent Loss Matrix Method 1
Country | Total Position Risk Amount (Aggregate Of Greatest Losses) |
| |
Total | |
Annual Audited Return
Return Date:
Contingent Loss Matrix – Method 2
| Number of Positions | Specific Risk | General Risk | |
Country | Long | Short | Equity Net Positions | Equity Net Positions | Equity Net Positions | Total Specific Risk Amount | Amount Aggregate Of Greatest Losses | Total Position Risk Amount |
| | | @ 2 % | @ 4 % | @ 8 % | $ | $ | $ | |
| | | | | | | | |
TOTAL | | | | | | | | |
TOTAL METHOD 2 POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Margin Method
Country | Primary Margin Requirement | Position Risk Amount $ (4 x Primary Margin Requirement) |
| | |
TOTAL | | |
TOTAL POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Basic Method
| Purchased Options | Written Options |
Country | Aggregate Mark To Market Value of Underlying | Mark To Market Value of Options | Position Risk Amount | Position Risk Amount |
| | | | |
TOTAL | | | | |
TOTAL POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Arbitrage Method
| Similar Indexes | Broadly based Index and a matching basket |
| Mark To Market Value of Futures | Position Risk Amount @ 2% | No. of Separately Managed Arbitrage Positions | Beta | Min Index Weight | Mark To Market Value of Futures | Position Risk Amount @ 2% |
Country | $ | $ | | Min % | Max % | % | $ | $ |
| | | | | | | | |
TOTAL | | | | |
TOTAL POSITION RISK | | TOTAL POSITION RISK | |
| | | | | | | | | |
Annual Audited Return
Return Date:
Equity Principal Concentration
Security Code (or description if code not applicable) | Country | Equity Net Position (Liquid) | Equity Net Position (Illiquid) | Total Position |
| | | | |
Annual Audited Return
Return Date:
Debt Position Risk
Summary | Position Risk Amounts Total |
Standard Method | |
Building Block Method - Maturity Method | |
- Duration Method | |
- Specific Risk | |
Contingent Loss Matrix Method 2 - Maturity Method - General risk | |
- Specific risk | |
- Volatility risk | |
Margin Method | |
Basic Method | |
DEBT POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Standard Method
Total Position Risk Amount | |
Annual Audited Return
Return Date:
Building Block Method
Building Block Method - Specific Risk
| Aggregate Debt Net Positions Absolute Value | (input GROSS numbers) |
| Government | Qualifying 0-6 Months Residual Maturity | Qualifying 6-24 Months Residual Maturity | Qualifying >24 Months Residual Maturity | Other | Specific Risk Position Risk Amount |
Underlying Currency | @ 0% | @ 0.25% | @ 1.00% | @ 1.60%% | @ 8% | $ |
| | | | | | |
TOTAL | | | | | | |
TOTAL SPECIFIC RISK POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Duration Method
| Weighted Debt Net Positions | | | | | | |
| Zone 1 | Zone 2 | Zone 3 | Net | Time | Zone Amount | Adjacent Zone | Non Adjacent | General Risk |
Underlying Currency | Long | Short | Long | Short | Long | Short | Position Amount | Band Amount | | Amount | Zone Amount | Amount |
| | | | | | | | | | | | |
TOTAL | | | | | | | | | | | | |
TOTAL GENERAL RISK POSITION RISK AMOUNT | | |
Annual Audited Return
Return Date:
Maturity Method
| Weighted Debt Net Positions | | | | | | |
| Zone 1 | Zone 2 | Zone 3 | Net | Time | Zone Amount | Adjacent Zone | Non Adjacent | General Risk |
Underlying Currency | Long | Short | Long | Short | Long | Short | Position Amount | Band Amount | | Amount | Zone Amount | Amount |
| | | | | | | | | | | | |
TOTAL | | | | | | | | | | | | |
TOTAL GENERAL RISK POSITION RISK AMOUNT | | |
Annual Audited Return
Return Date:
Contingent Loss Matrix Method – General Risk
Underlying | Notional Weighted Debt Net Positions | Net Position | Time Band | Zone Amount | Adjacent Zone | Non Adjacent Zone | General Risk |
Zone 1 | Zone 2 | Zone 3 |
Currency | Long | Short | Long | Short | Long | Short | Amount | Amount | | Amount | Amount | Amount |
| $ | $ | $ | $ | $ | $ | $ | $ | $ | $ | $ | $ |
| | | | | | | | | | | | |
TOTAL | | | | | | | | | | | | |
TOTAL GENERAL RISK POSITION RISK AMOUNT | | |
Annual Audited Return
Return Date:
Contingent Loss Matrix Method 2 – Specific Risk
Aggregate Delta weighted value of Underlying Instrument (input GROSS numbers) |
Government | Qualifying 0-6 Residual Maturity | Qualifying 6-24 Residual Maturity | Qualifying > 24 Residual Maturity | Other | Specific Risk Position Risk Amount |
Underlying Currency | @ 0% | @ 0.25% | @ 1.00% | @ 1.6% | @ 8% | $ |
| | | | | | |
TOTAL | | | | | | |
TOTAL SPECIFIC RISK POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Contingent Loss Matrix Method 2 – Volatility Risk
Underlying Currency | Absolute Value of the aggregate of the greatest loss for each currency |
| |
TOTAL | |
Annual Audited Return
Return Date:
Margin Method
Underlying Currency | Primary Margin Requirement | Position Risk Amount $ (4 x Primary Margin Requirement) |
| | |
TOTAL | | |
TOTAL POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Basic Method
| Purchased Options | | Written Options |
Underlying Currency | Aggregate Mark To Market Value of Underlying | Mark To Market Value of Options | Position Risk Amount | Position Risk Amount |
| | | | |
TOTAL | | | | |
TOTAL POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Debt Principal Concentration
Security Code (or description if code not applicable) | Underlying Currency | Debt Net Position (Liquid) | Debt Net Position (Illiquid) | Total Position |
| | | | |
Annual Audited Return
Return Date:
Foreign Exchange Position Risk
Summary | Position Risk Amounts Total |
Standard Method | |
Contingent Loss Matrix Method | |
FOREIGN EXCHANGE POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Standard Method
Underlying Currency | Net Open Long Position | Net Open Short Position |
| | |
TOTAL | | |
POSITION RISK AMOUNT – 8% OF MAX OF LONG OR SHORT | |
Annual Audited Return
Return Date:
Contingent Loss Matrix Method
Commodity Currency |
Terms Currency | | | | | | Other | Total |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
Other | | | | | | | |
Total | | | | | | | |
TOTAL POSITION RISK AMOUNT | |
Annual Audited Return
Return Date:
Largest Daily Losses
Annual Audited Return
Return Date:
Equity Stress Testing
National Market | Change in Implied Volatility | Change in Price (%) |
| (%) | -50 | -25 | 0 | +10 | +20 |
| +200 | | | | | |
0 | | | | | |
- 75 | | | |
Annual Audited Return
Return Date:
Debt Stress Testing
| Change in Yield (%) |
| Cash | 90 days | 180 days | 1 year | 3 years | 5 years | 10 years | 15 years |
Yield curve scenario 1 | +20 | +20 | +20 | +20 | +20 | +20 | +20 | +20 |
Yield curve scenario 2 | -20 | -20 | -20 | -20 | -20 | -20 | -20 | -20 |
Yield curve scenarios
| Yield curve scenario 1 | Yield curve scenario 2 |
| | |
Interest rate volatility scenarios
| Volatility scenario 1 | Volatility scenario 2 |
Change in Implied Volatility (%) | +250 | -75 |
| | |
Annual Audited Return
Return Date:
Foreign Exchange Stress Testing
Exchange Rate Scenarios
Change in Price (%) |
Change in Implied Volatility (%) | -20 | -10 | 0 | +10 | +20 |
+100 | | | | | |
0 | | | | | |
-50 | | | |
Annual Audited Return
Return Date:
Large Exposure Risk Requirement
Summary | Total |
Part 1 - Counterparty Large Exposure Amount | |
Part 2 - Issuer Large Exposure - Equity Method | |
Part 3 - Issuer Large Exposure - Debt Method | |
Part 4 - Issuer Large Exposure - Equity & Debt Method | |
Total Large Exposure Risk Requirement | |
Annual Audited Return
Return Date:
Counterparty Large Exposure Amount
Counterparty Large Exposure
Summary | Total |
Total Counterparty Large Exposure Risk Requirement | |
Total number of counterparties | |
Annual Audited Return
Return Date:
Non Margined Financial Instruments Method
Transaction Type | Risk Amounts |
> 10 Business Days : Transactions @ 3% of contract value or excess, whichever is greater | |
> 10 Business Days : 100% of contract value / 100% of market value | |
Sub TOTAL RISK AMOUNT | |
Total Number of Counterparties | |
Annual Audited Return
Return Date:
Securities Lending and Borrowing Method
Transaction Type | Risk Amounts |
Option 1 |
> $10,000 and counterparty exposure ≤15% of value received : 8% of counterparty exposure | |
> $10,000 and counterparty exposure > 15% of value received : 8% of 15% of value received | |
> $10,000 and counterparty exposure > 15% of value received : 100% of counterparty exposure over 15% of the value received | |
Option 2 |
> $10,000 : 100% of counterparty exposure | |
Sub TOTAL RISK AMOUNT | |
Total Number of Counterparties | |
Annual Audited Return
Return Date:
Margined Financial Instruments Method
Transaction Type | Risk Amounts |
Settlement Amount, Premium, Deposit or Margin owed by Counterparty @ 100% | |
Sub TOTAL RISK AMOUNT | |
Total Number of Counterparties | |
Annual Audited Return
Return Date:
OTC Derivatives and Warrants Executed as Principal Method
Transaction Type | Risk Amount |
Written Premium Not Received @ 100% | |
Current Credit Exposure : Equity @ 8% | |
Potential Credit Exposure : Equity @ 8% | |
Current Credit Exposure : Debt @ 8% | |
Potential Credit Exposure : Debt @ 8% | |
Current Credit Exposure : Fx @ 8% | |
Potential Credit Exposure : Fx @ 8% | |
Sub TOTAL RISK AMOUNT | |
Total Number of Counterparties | |
Annual Audited Return
Return Date:
Issuer Large Exposure – Equity Method
Country | Number of Equity Issuers | Equity Net Position | > 25% Of Liquid Capital @ 12% | > 25% Of Liquid Capital @ 16% | > 5% Of Issue @ 12% | > 5% Of Issue @ 16% |  Total Risk
|
Amount $ | |
|
| | | | | | | |
TOTAL | | | | | | | |
Annual Audited Return
Return Date:
Issuer Large Exposure – Debt Method
Underlying Currency | Number of Debt Issuers | Debt Net Position | > 25% Of Liquid Capital | > 10% Of Issue |  Total Risk Amount $
|
|
| | | | | |
TOTAL | | | | | |
Annual Audited Return
Return Date:
Issuer Large Exposure – Equity & Debt Method
Underlying Currency | Number of Equity/Debt Issuers | Equity Net Position Plus Debt Net Position | > 25% Of Liquid Capital @ 12% | > 25% Of Liquid Capital @ 16% | > 25% Of Liquid Capital @ applicable debt position risk factor | Total Risk Amount $ |
| | | | | | |
TOTAL | | | | | | |
Annual Audited Return
Return Date:
Underwriting Risk Requirement
| Equity | Debt Instrument | Total |
Underwriting Risk Amount | | | |
Annual Audited Return
Return Date:
Non Standard Risk Requirement
Detail the nature of the exposure | | | | | | Other | Amount - Total |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
Total | | | | | | | |
Annual Audited Return
Return Date:
Operational Risk Requirement
Minimum Amount | $100,000 |
add Variable amount | |
Counterparty risk requirement | (a) | | |
Position Risk Requirement |  (b)
| | |
Underwriting Risk Requirement | (c) | | |
 Sum (a) + (b) + (c)
| | * 8% = | 
|
add Secondary Requirement | | |
Total Operational Risk | | 
|
| | | | |
Annual Audited Return
Return Date:
Income Statement
Revenue
| Current | Prior |
Profits (Losses) from trading in securities / derivatives: Realised | | | | |
Unrealised | | | | |
Brokerage: Equities | | | | |
Warrants | | |
Futures / Exchange Traded Options | | |
Debt | | |
Other | | | | |
Underwriting commission (less sub-underwriting commission paid) | | | | |
Sub-underwriting commission | | |
Dividends | | |
Interest | | |
Bad debts recovered and provision for doubtful debts no longer required | | |
Directors' fees | | |
Handling fees | | |
Corporate Advisory Fees | | |
Financial planning / Portfolio Management Fees | | |
Management fees | | |
Other fee received from associated entities | | |
Other Revenue |
Annual Audited Return
Return Date:
Additional Total | | | |
TOTAL REVENUE | | | |
Annual Audited Return
Return Date:
Expenses
| Current | Prior |
Salaries (excluding partners, directors and research salaries) | | | | |
Directors' / Partners' salaries | | |
Commissions paid to Traders / Consultants | | |
Other salary costs | | |
Occupancy costs | | |
Interest paid | | |
Travel, Public Relations and Advertising | | |
Research (including research salaries) | | |
Bad and doubtful debts written off / provided for | | |
Audit fees | | |
Admin costs (postage, fax, phone etc) | | |
Professional indemnity insurance | | |
Other insurance costs | | |
All management / service fees paid to associated entities | | |
Depreciation / Amortisation of fixed and intangible assets | | |
Finance lease payments | | |
Operating lease payments (other than occupancy) | | | | |
Other Expenses |
Annual Audited Return
Return Date:
Net Profit / (loss)
| Current | Prior |
PROFIT before income TAX | | |
Income Tax - Expense | | |
If a profit has been made but no tax provision raised, the reason for NOT providing for tax must be recorded in this comment field | |
0 | |
|
Profit / (loss) after TAX from discontinued operations (detail below) | | |
| | | | |
| | | | |
NET PROFIT / (LOSS) for the period | | |
Annual Audited Return
Return Date:
Retained Earnings
| Current | Prior |
Opening Retained Earnings | | |
Adjustments TO retained earnings (detail) - increases | |
| | | |
TOTAL | | |
Dividends | | |
Adjustments from retained earnings (detail) - decreases | |
TOTAL | | | |
Other adjustments to / (from) retained earnings (detail) | |
| | | |
TOTAL | | |
Closing Retained Earnings | | |
Annual Audited Return
Return Date:
Balance Sheet
Assets |
| Current Assets (current) | Current Assets (prior) |
Trade Receivables | | | | |
Less Provision for doubtful debts | | | | |
| Securities Borrowings | | | |
Financial Assets | | |
Cash and Cash Equivalents | | |
Related/ Associated Persons | | |
Client segregated/ Trust Accounts | | |
Deposits at Clearing Houses | | |
Other Current Assets | | |
TOTAL CURRENT ASSETS | | |
Non Current Assets (current) | Non Current Assets (prior) |
Trade Receivables | | | |
Financial Assets | | |
Loans and Deposits | | |
Related/ Associated Persons | | |
Property, Plant & Equipment | | |
Intangible Assets | | |
Deferred Tax Assets | | |
Other Non Current Assets | | |
TOTAL NON CURRENT ASSETS | | |
Total Assets | | |
Annual Audited Return
Return Date:
Liabilities |
| Current Liabilities (current) | Current Liabilities (prior) |
Trade Payables | | |
Securities Lending | | |
Financial Liabilities | | |
Short Term Borrowings | | |
Income Tax Payable | | |
Approved Subordinated Debt | | |
Other Current Liabilities | | |
TOTAL CURRENT LIABILITIES | | |
| Non Current Liabilities (current) | Non Current Liabilities (prior) |
Long Term Borrowings | | |
Deferred Income Tax | | |
Approved Subordinated Debt | | |
Other Non Current Liabilities | | |
TOTAL NON CURRENT LIABILITIES | | |
Total Liabilities | | |
Net Assets | | |
Annual Audited Return
Return Date:
Equity |
| Equity (current) | Equity (prior) |
Ordinary Issued and Paid Up Shares | | | | |
Non Cumulative Preference Shares | | |
Cumulative Preference Shares | | |
Other | | |
Total Equity | | | |
| Reserves (current) | Reserves (prior) |
Revaluation reserves | | | | |
Other reserves | | |
TOTAL RESERVES | | | |
Retained Earnings / (Accumulated Losses) | | |
Total Equity | | |
Annual Audited Return
Return Date:
Balance Sheet Details
Total Contingent Liabilities | |
Annual Audited Return
Return Date:
Cash & Cash Equivalents
Detail FUNDS lodged with: | CURRENT | NON CURRENT |
Approved Deposit Taking Institution (ADTI) | SECURED | UNSECURED | SECURED | UNSECURED |
Total ADTI | | | | |
Petty Cash | | | |
|
Non ADTI and Other |
Total NON ADTI and Other | | | | |
Total Secured / Unsecured | | | | |
Total Current / Non Current: | | | |
Annual Audited Return
Return Date:
Related/ Associated Persons
Cash & Cash Equivalents - Detail | CURRENT | NON CURRENT |
-Approved Deposit Taking Institution (ADTI) | SECURED | UNSECURED | SECURED | UNSECURED |
ADTI Total | | | | |
|
Cash & Cash Equivalents - Detail | | | | |
- Non ADTI and Other | | | | |
Non ADTI Total | | | | |
Total Secured/ Unsecured | | | | |
Total Current/ Non Current | | | | |
Annual Audited Return
Return Date:
Underwriting/ Guarantees
Underwriting and Sub Underwriting: |
Gross Underwriting Commitments | | | |
Gross Sub Underwriting Commitments | |
Gross Underwriting and Sub Underwriting Commitments | |
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 | |
SUB TOTAL | |
Related/Associated persons | | |
Other | |
Other Guarantee Sub Total | |
TOTAL UNDERWRITING / GUARANTEES | |
Annual Audited Return
Return Date:
Legal / Insurance / Encumbrances
Contingent Liabilities
Are there any actual / potential legal proceedings and Insurance Claims? | |
Is there any charge, pledge, or other encumbrance over any of the assets of the Participant? | |
Has the Participant granted any Credit Facilities to other persons or entities? | |
Annual Audited Return
Return Date:
Other Contingent Liabilities and Lease Commitments
Lease Commitments: (including property commitments) |
Detail Operating Leases | |
Other Leases: | | |
TOTAL LEASE COMMITMENTS: | |
Other Contingent Liabilities: |
TOTAL OTHER: | |
Total Lease Commitments / Other Contingent Liabilities: | |
Annual Audited Return
Return Date:
Other Assets
Current Asset Description | Current Asset Amount |
Current Asset Amount Total | |
NON Current Asset Description | NON Current Asset Amount |
NON Current Asset Amount Total | |
Other Assets Total | |
Annual Audited Return
Return Date:
Core Capital
| Current Return Prior Return |
Ordinary Issued and Paid-Up Shares | | |
Non-Cumulative Preference Shares | | |
All Reserves Excluding Revaluation Reserves other than Financial Asset Revaluation Reserves | | |
Opening Retained Earnings/Accumulated Losses Adjusted for all Current Year Movements | | |
Core Capital | | |
Annual Audited Return
Return Date:
Liquid Capital Calculation
| Current Return | Prior Return |
Core Capital | | | | |
Cumulative Preference Shares | | |
Approved Subordinated Debt | | |
Revaluation Reserves other than Financial Asset Revaluation Reserves | | | | |
less Excluded Assets |
Property, Plant and Equipment | | | | |
Intangible Assets | | |
Deferred Tax Assets | | |
Other Non-Current Assets | | |
Unsecured deposits/loans with non approved deposit taking instit's | | |
Unsecured non ADTI related / associated person balances | | |
Other trade receivables realisable after 30 days | | |
Prepayments realisable after 30 days | | |
Other Illiquid Assets | | |
Other charged assets | | |
Other prescribed assets | | | | |
less Excluded Liabilities |
Guarantees and Indemnities | | | | |
Other prescribed liabilities | | | | |
Liquid Capital | | | | |
Annual Audited Return
Return Date:
Liquid Margin Calculation
| Current Return | Prior Return |
Liquid Capital | | | | |
Operational Risk Requirement | | | | |
Counterparty Risk Requirement | | | | |
Large Exposure Risk Requirement | | | | |
Position Risk Requirement | | | | |
Underwriting Risk Requirement | | | | |
Non Standard Risk Requirement | | | | |
Liquid Margin | | | | |
.Ratio of Liquid Capital to Total Risk Requirement
| Current Return | Prior Return |
Ratio of Liquid Capital to | = | Liquid Capital | = | | = | | |
Total Risk Requirement | Total Risk Requirement | |
Annual Audited Return
Return Date:
Additional Comments
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 4A Part 2: Risk Based Capital Requirements - Directors' Declaration to the Annual Audited Return
Return Date: ANNUAL AUDITED RETURN
Director's Declaration
DIRECTORS STATEMENT RELATING TO THE ACCOUNTS OF A PARTICIPANT
…………………
(the Participant)
(a) This return is for the ………………… month(s) ended …………………
(b) The Participant is incorporated in ………………… (the Place of Incorporation).
(c) The assets and liabilities of each company controlled by the Participant, or any other venture in which the Participant has a financial interest <are/are not> in my/our opinion such as to affect adversely to a material extent the Participant's financial position.
(d) In my/our opinion, the 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 Participant.
(e) No events have occurred or are anticipated up to the date of this statement which in my/our opinion may result in a significant deterioration in the financial stability of the Participant and there are reasonable grounds to believe the Participant will be able to meet its obligations as and when they fall due.
(f) The return associated with this statement as identified in (a) above is a true extract from the Participant's financial statements.
(g) I/we certify that the Income Statement and Balance Sheet have, to the best of my/our knowledge and belief, been drawn to comply with
(i) the requirements of sections 988A and 988B of the Corporations Act 2001 or equivalent legislation in the Place of Incorporation (as applicable); and
(ii) the accounting standards generally accepted in …………………; and
(iii) the ASIC Market Integrity Rules (ASX Market) 2010 or ASX Clear Operating Rules (each, the Rules) (as applicable).
(h) I/we certify that the core capital, liquid capital calculation and the calculation of the total risk requirement have to the best of my/our knowledge and belief, been drawn to comply with the requirements of the Rules.
(i) For the period covering the Annual Audited Return the Participant <has/has not> been in compliance with the capital requirements.
(j) I/we are aware that a false declaration may result in disciplinary action being taken against the Participant and should the return be submitted after the due date, the Participant may be liable to a fee or penalty.
Return Date:
Financial Return Authorisation
Sole Director Company: | |
Board Resolution Date | |
Authorisation 1 | |
Authorisation Date 1 | |
Authorisation 2 | |
Authorisation Date 2 | |
Sch 1C Form 4B Part 1
Participant Name: Return Type:
Date:
Date
Counterparty Risk Requirement - Summary
Counterparty Risk Amounts (after Counterparty Risk Weightings) - $ | 0% | 10% | 20% | 50% | 100% | Total |
Non-Margined Financial Instruments method | $ | $ | $ | $ | $ | $ |
| | | | | | |
Securities Lending and Borrowing method | $ | $ | $ | $ | $ | $ |
| | | | | | |
Sub Total | $ | $ | $ | $ | $ | $ |
| | | | | | |
Less Provision for Doubtful Debts: | | | | | | |
| | | | | | |
TOTAL COUNTERPARTY RISK REQUIREMENT | | | | | $ |
Market Participant Name
Date
Counterparty Risk Requirement - Non-Margined Financial Instruments Method
Transaction type | 0% | 10% | 20% | 50% | 100% | Total |
≤ 10 business days: Aggregate of Net Client Balances @ 3% | | | | | | $ |
| | | | | | |
> 10 business days: Transactions @ 3% | | | | | | $ |
| | | | | | |
value in case of a sale/excess of contract value over market value in case of a purchase | | | | | | $ |
| | | | | | |
100% of contract value/100% of market value | | | | | | $ |
| | | | | | |
Sub Total - Unweighted Amounts | $ | $ | $ | $ | $ | $ |
| | | | | | |
Total Risk Amounts - Weighted by CRW | $ | $ | $ | $ | $ | $ |
| | | | | | |
Amount of Collateral utilised to reduce the above amounts | | | | | | $ |
* If you do not wish to reduce the counterparty risk amount by risk weighting, put all calculated counterparty risk amounts in 100% column
* Input calculated counterparty risk amounts pre-risk weighted, but reflecting any reduction due to the recognition of collateral or other relevant rule.
* For reporting purpose only, disclose the amount of collateral that has been used to reduce the counterparty risk amounts reported above.
Market Participant Name
Date
Counterparty Risk Requirement - Securities Lending and Borrowing Method
Transaction type | 0% | 10% | 20% | 50% | 100% | Total |
Option 1 | | | | | | |
> $10,000 and counterparty exposure ≤ 15% of value received: 8% of counterparty exposure | | | | | | $ |
| | | | | | |
> $10,000 and counterparty exposure > 15% of value received: 8% of 15% of value received | | | | | | $ |
| | | | | | |
> $10,000 and counterparty exposure > 15% of value received: 100% of counterparty exposure over 15% of value received | | | | | | $ |
| | | | | | |
Option 2 | | | | | | |
> $10,000: 100% of counterparty exposure | | | | | | $ |
| | | | | | |
Sub Total - Unweighted Amounts | $ | $ | $ | $ | $ | $ |
| | | | | | |
Total Risk Amounts - Weighted by CRW | $ | $ | $ | $ | $ | $ |
| | | | | | |
Market Participant Name
Date
Currency Exposure
Currency | % of Total |
| |
| |
| |
| |
| |
Other | |
| |
TOTAL | % |
* In accordance with the instruction below, please detail by currency, the percentage that each currency represents of the Total
Counterparty Risk Requirement.
* Please ensure the total percentage amounts to 100%
Counterparty Concentration
Counterparty Name | Gross 'Unweighted Value' | Counterparty Risk Weighting % | Counterparty Risk Amount (Risk Weighted) |
| | | $ |
| | | $ |
| | | $ |
| | | $ |
| | | $ |
* Based on the gross unweighted Counterparty Risk Amounts, please detail the 5 counterparties that comprise the greatest percentage of the total Gross Unweighted Counterparty Risk Amount.
* The Gross 'Unweighted Counterparty Risk Amount' is the calculated Counterparty Risk Requirement for that individual counterparty. It is not the client balance for that counterparty.
Market Participant Name
Date
Position Risk Requirement - Summary
Summary | Total |
Equity Position Risk | $ |
FX Position Risk | $ |
| |
TOTAL POSITION RISK REQUIREMENT | $ |
Market Participant Name
Date
Position Risk Requirement - Equity Position Risk - Standard Method
Country | Equity Net Positions @ 8% | Equity Net Positions @ 12% | Equity Net Positions @ 16% | Total Position Risk Amount Amount |
| | | | $ |
| | | | |
| | | | $ |
| | | | |
| | | | $ |
| | | | |
| | | | $ |
| | | | |
| | | | $ |
| | | | |
Other | | | | $ |
| | | | |
Total | $ | $ | $ | |
| | | | |
Total standard method position risk amount | $ |
* Enter amounts for each country in which there are exposures
Market Participant Name
Date
Position Risk Requirement - Foreign Exchange - Standard Method
Underlying Currency | Net open Long Position | Net Open Short Position |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
Other | | |
| | |
Sub total | $ | $ |
| | |
Position Risk Amount - 8% of Max of Long or Short | $ |
| | |
* Enter the AUD equivalent of the net open long or net open short position in each currency.
Market Participant Name
Date
Principal Concentration
Issuer | Country | Equity Net Position - AUD (liquid portion) | Equity Net Position - AUD (Illiquid portion) |
| | | |
| | | |
| | | |
| | | |
| | | |
* Based on the equity net positions, detail the 5 equity net positions that comprise the greatest percentage of the total gross value of the equity portfolio.
Market Participant Name
Date
Large Exposure Risk Requirement - Summary
Summary | Total |
Counterparty Large Exposure Risk Requirement - NMFIM | $ |
Counterparty Large Exposure Risk Requirement - SL&B | $ |
Issuer Large Exposure Risk Requirement | $ |
| |
TOTAL LARGE EXPOSURE RISK REQUIREMENT | $ |
Market Participant Name
Date
Counterparty Large Exposure Risk Requirement - Non-Margined Financial Instruments method |
| | |
Transaction Type | Risk Amounts | |
| | |
>10 Business Days: Transactions @ 3% of contract value or excess, whichever is greater | | |
| | |
>10 Business Days: 100% of contract value/100% of market value | | |
| | |
Sub Total Risk Amount: | $ | |
| | |
Total Number of Counterparties: | | |
| | |
| | |
Market Participant Name
Date
Counterparty Large Exposure Risk Requirement - Securities Lending and Borrowing method | | |
| | |
Transaction Type | Risk Amounts | |
| | |
Option 1 | | |
>$10,000 and counterparty exposure ≤ 15% of value received: 8% of counterparty exposure | | |
| | |
>$10,000 and counterparty exposure > 15% of value received: 8% of 15% of value received | | |
| | |
>$10,000 and counterparty exposure > 15% of value received: 100% of counterparty exposure over 15% of value received | | |
| | |
Option 2 | | |
> $10,000: 100% of counterparty exposure | | |
| | |
Total Risk Amount: | $ | |
| | |
Total Number of Counterparties: | | |
| | |
| | |
Market Participant Name
Date
Issuer Large Exposure Risk Requirement - Equity method |
Country | Number of Equity Issuers | Equity Net Position | >25% of LC @ 12% | >25% of LC @ 16% | >5% of Issue @ 12% | >5% of Issue @ 16% | Total Position Risk Amount |
| | | | | | | $ |
| | | | | | | |
| | | | | | | $ |
| | | | | | | |
| | | | | | | $ |
| | | | | | | |
| | | | | | | $ |
| | | | | | | |
| | | | | | | $ |
| | | | | | | |
Other | | | | | | | $ |
| | | | | | | |
Total | | $ | $ | $ | $ | $ | $ |
| | | | | | | |
* Enter amounts for each country in which there are large exposures.
Market Participant Name
Date
Operational Risk Requirement | | | | | |
| | | | | |
| | | | | |
Minimum Amount | | | | $100,000 | |
| | | | | |
add variable amount | | | | | |
| | | | | |
Counterparty Risk Requirement (a) | | $ | | | |
Position Risk Requirement (b) | | $ | | | |
| | | | | |
Sum (a) + (b) | | $ | * 8% | $ | |
| | | | | |
Total Operational Risk | | | | $ | |
Market Participant Name
Date
Income Statement | | | |
| | | | |
Revenue | | | | |
| Profits/losses from trading in securities/derivatives: | | | |
| Realised | | | |
| Unrealised: | | $ | |
| Brokerage: | | | |
| Equities | | | |
| Warrants: | | | |
| Futures/ETO's | | | |
| Debt | | | |
| Other | | $ | |
| | | | |
| Underwriting commission (less sub-underwriting commission paid) | | | |
| Sub-underwriting commission | | | |
| Dividends | | | |
| Interest | | | |
| Bad debts recovered and provision for doubtful debts no longer required | | | |
| Directors fees | | | |
| Handling fees | | | |
| Corporate Advisory fees | | | |
| Financial planning/portfolio management fees | | | |
| Management fees | | | |
| Other fees received from associated entities | | $ | |
| Other revenue (detail below): | | | |
| Advisor fees | | | |
| Royalties | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | $ | |
| Total Revenue: | | | $ |
| | | | |
Expenses | | | | |
| Salaries (excluding partners, directors and research salaries) | | | |
| Directors'/Partners salaries | | | |
| Commissions paid to Traders/Consultants | | | |
| Other salary costs | | | |
| Occupancy costs | | | |
| Interest paid | | | |
| Travel, Public Relations and Advertising | | | |
| Research (including research salaries) | | | |
| Bad and doubtful debts written off/provided for | | | |
| Audit fees | | | |
| Admin costs (postage, fax, phone etc) | | | |
| Professional Indemnity Insurance | | | |
| Other insurance costs | | | |
| All management/service fees paid to associated entities | | | |
| Depreciation/Amortisation of fixed and intangible assets | | | |
| Finance lease payments | | | |
| Operating lease payments (other than occupancy) | | $ | |
| Other expenses (detail below): | | | |
| Other | | | |
| | | | |
| fees | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | $ | |
| Total Expenses: | | | $ |
| | | | |
Net Profit/Loss | | | | |
| Net Profit/(loss) from continuing operations | | | $ |
| | | | |
| Profit /(loss) from discontinued operations (detail below) | | | |
| | | | |
| | | | |
| | | $ | |
| Net Profit/(loss) for the period: | | | $ |
| | | | |
| Current Account at the start of the year: | | | |
| | | | |
| Partners drawings: | | | |
| | | | |
| | | | |
| | | | |
| | | $ | |
| Current Account at the end of the year | | | $ |
| | | | |
* Please enter the revenue and expenses for the YEAR TO DATE.
Market Participant Name Date
Balance Sheet | | | | | | |
| | | | | | |
ASSETS | | | | | | |
Current Assets | | | | Non-Current Assets | | |
Trade Receivables 1 | | | | Trade Receivables 1 | | |
Less Provision for Doubtful Debts | | $ | | Financial Assets 3 | | |
| Securities Borrowings 2 | | | Loans and Deposits 4 | $ | |
| Financial Assets 3 | | | Related/Associated Persons | $ | |
| Cash & Cash Equivalents4 | $ | | Property, Plant and Equipment | | |
| Related/Associated Persons | $ | | Intangible Assets | | |
| Client segregated/Trust Accounts 5 | | | Deferred Tax Assets 7 | | |
| Deposits at Clearing Houses | | | Other Non Current Assets 6 | | |
| Other Current Assets (excluding deposits with Clearing Houses) 6 | | | | | |
| Total Current Assets | $ | | Total Non-Current Assets | $ | |
| Total Assets | $ | | | | |
| | | | | | |
1. Client and trade receivables only (note: trade related/associated person amounts should be included here. |
2. Only include cash paid for securities borrowings. |
3. All equity, debt and similar investments at market value. |
4. Cash at bank, cash on hand and other deposits other than client trust and segregated |
5. Client trust account and client segregated accounts |
6. Other balances, excluding deposits with clearing house. |
7. Includes future income tax benefit |
|
LIABILITIES | | | | | | |
Current Liabilities | | | | Non-Current Liabilities | | |
Trade Payables 1 | | | | Long Term Borrowings | | |
Securities Lending 2 | | | | Deferred Income Tax | | |
Financial Liablities | | | | Approved Subordinated Debt | | |
Short term borrowings | | | | Other Non Current Liabilities 4 | | |
Income tax payable | | | | | | |
Approved Subordinated Debt | | | | | | |
Other Current Liabilites | | | | | | |
| Total Current Liablities | $ | | Total Non-Current Liabilities | $ | |
| Total Liabilities | $ | | | | |
| | | | | | |
| NET ASSETS | $ | | | | |
| | | | | | |
1. Client and trade payables only (note: trade related/associated person amounts should be included here) |
2. Only include cash received from securities lending | | |
3. All equity, debt and similar instruments at market value | | |
4. Other balances not included above | | |
| | | | | | |
| | | | | | |
PARTNERS ACCOUNTS | | | | | |
Capital Account | | | | | | |
Current Account | | | | | | |
Other Account | | | | | | |
Other | | | | | | |
Total | $ | | | | | |
|
Market Participant Name
Date
Balance Sheet Details - Cash and Cash Equivalents | | | | |
* Do not include related/associated persons | | | | | | | |
| | | | | | | |
Detail funds lodged with: | | | | | | | |
| | Current | | Non-Current | |
Approved Deposit Taking Institutions (ADTI) | Secured | Unsecured | | Secured | Unsecured | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
Total ADTI: | | $ | $ | | $ | $ | |
| | | | | | | |
Petty Cash | | | | | | | |
| | | | | | | |
Non ADTI and Other | | Secured | Unsecured | | Secured | Unsecured | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
| | | | | | | |
Total Non-ADTI and Other | | $ | $ | | $ | | |
Total Secured/Unsecured | | $ | $ | | $ | $ | |
| | | | | | | |
TOTAL CURRENT / NON CURRENT | $ | | $ | |
| | | | | | | |
Market Participant Name
Date
Balance Sheet Details - Related/Associated Persons | | | |
| | | | | | |
Cash & Cash Equivalents - Detail | | | | | | |
| | Current | | Non-Current |
Approved Deposit Taking Institutions (ADTI) | | Secured | Unsecured | | Secured | Unsecured |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
Total ADTI: | | $ | $ | | $ | $ |
| | | | | | |
Cash & Cash Equivalents - Detail | | | | | | |
| | | | | | |
Non ADTI and Other | | Secured | Unsecured | | Secured | Unsecured |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
Total Non-ADTI and Other | | $ | $ | | $ | $ |
Total Secured/Unsecured | | $ | $ | | $ | $ |
| | | | | | |
TOTAL CURRENT / NON CURRENT | | $ | | $ |
| | | | | | |
* Please note: Related/Associated Person's Balances that are not secured by Liquid Assets, must be reported in the
'Unsecured' solumn. This unsecured asset must be treated as an 'Excluded Asset' and excluded from the Liquid Capital calculation.
* Refer 'Related/Associated Person Balance' definition. Only non-trade amounts should be included here unless otherwise advised.
* Although amounts owing from an ADTI do not fall within the definition of 'Related/Associated Person Balance' in the Market Integrity Rules, they should be reported in this section.
Market Participant Name
Date
Balance Sheet Details - Contingent Liabilities - Underwriting- Guarantees | | |
| | |
Underwriting and Sub Underwriting: | | |
Gross Underwriting Commitments | | |
Gross Sub Underwriting Commitments | | |
Gross Underwriting and Sub Underwriting Commitments | | $ |
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 | | |
Sub Total | | $ |
| | |
Related/Associated persons | | |
Other | | |
Sub Total | | $ |
| | |
Total Underwriting/Guarantees: | | $ |
| | |
Note: If an amount is reported in either or both the underwriting and/or sub underwriting commitment lines above an underwriting risk requirement and/or counterparty risk
requirement for a sub underwriting may be required. Refer to relevant Capital rules.
Market Participant Name
Date
Balance Sheet Details - Legal, Encumbrances and Credit Facilities | | | | | |
| | | | | | | | |
Legal Proceedings | | | | | | | | |
Date first aware of potential circumstance | Details of Circumstance | Gross Contingent Liability | Net Contingent Liability | Nature of Cover (if any) | Full Name of Cover provider | Date Circumstance Notified to Cover Provider | Date Circumstance Notified to the Exchange or Clearing House | Date Circumstance Settled/Closed |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
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| | | | | | | | |
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| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
| Total Legal/Insurance: | $ | $ | | | | | |
When a legal proceeding/insurance claim has been settled or closed during the month, record the date this occurred in the "Date Circumstance settled/closed" column in
the FIRST month this occurs. After this date has been reporteed, the item can be deleted from future returns
Encumbrances | | | | | | | | |
| | | | | | | | |
Please provide details below of any encumbrances (or charge or pledge) over any of the assets of the Participant, including the nature of the encumbrance, and the maximum potential exposure |
| | | | | | | | |
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| | | | | | | | |
Details of Credit Facilities | | | | | | | |
| | | | | | | | |
Please provide details below of any credit facilities granted to other persons or entities, including maximum potential exposure. |
| | | | | | | | |
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Market Participant Name
Date
Balance Sheet Details - Other Contingent Liabilities and Lease Commitments |
| | |
Lease Commitments: (including property commitments) | | |
| | |
Detail Operating Leases: | | |
| | |
| | |
| | |
| | |
Other Leases: | | |
Total Lease Commitments | | $ |
| | |
Other Contingent Liabilities: | | |
| | |
| | |
| | |
| | |
| | |
Total Other: | | $ |
Total Lease Commitments / Other Contingent Liabilities: | | $ |
| | |
Market Participant Name
Date
Balance Sheet Details - Credit Facilities and Overdraft | | |
| | | |
Standby Credit facilities granted in favour of the Participant | | |
| | | |
Type (*see list below) | Full name of provider | Terms and Availability (*see list below) | Amount of Limit |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| | | |
| Total Standby Credit Facilities | $ |
Please describe security given to provider(s), together with any other comments considered relevant
*CHESS Settlement Facility * Committed Intraday - Secured
Credit Facility Committed Intraday - Unsecured
Intraday Facility Uncommitted Intraday - Secured
Overnight Facility Uncommitted Intraday - Unsecured
Bank Overdraft Facility Committed on request - Secured
Subordinated Debt Facility Uncommitted on request - Secured
Other Uncommitted on request - Unsecured
Other
Market Participant Name
Date
Core Capital | | |
| | |
Partners Current Accounts | $ | |
| | |
Partners Capital Accounts | $ | |
| | |
Core Capital | $ | |
| | |
Market Participant Name
Date
Liquid Capital | | | |
| | | |
Core Capital | | | $ |
Approved Subordinated Debt | $ | | |
Other Accounts | $ | $ | |
| | | |
Excluded Assets | | | |
Property, Plant and Equipment | $ | | |
Intangible Assets | $ | | |
Deferred Tax Assets¹ | $ | | |
Other Non-Current Assets 2 | $ | | |
Unsecured deposits/loans with non approved deposit taking institutions | $ | | |
Unsecured non ADTI related / associated person balances 3 | $ | | |
Other trade receivables realisable after 30 days | | | |
Prepayments realisable after 30 days | | | |
Other Illiquid Assets | | | |
Other Charged Assets | | | |
Other Prescribed Assets | | $ | |
| | | |
Excluded Liabilities | | | |
Guarantees and Indemnities | $ | | |
Other Prescribed liabilities | | $ | |
| | | |
Liquid Capital | | | $ |
| | | |
¹ Includes Future Income Tax Benefits
2 Includes Non-current trade receivables, financial assets and loans & deposits (Including non-current Related/Associated Persons balances)
3 Non-current are included in Other Non-Current Assets
Market Participant Name
Date
Liquid Margin | | | |
| | | |
Liquid Capital | | | $ |
| | | |
Total Risk Requirement | | | | |
Operational Risk Requirement | $ | | | | |
Counterparty Risk Requirement | $ | | |
Large Exposure Risk Requirement | $ | | |
Position Risk Requirement | $ | | |
| | $ | |
Liquid Margin | | | -$ |
| | | |
| | | |
| Liquid Capital | $ | |
Ratio of Liquid Capital to Total Risk Requirement = | Total Risk Requirement = | $ | _. |
| | | |
| | | |
| | | |
| | | |
| | | | | | | |
* Liquid Capital must at all times be greater than the Total Risk Requirement.
* Should the ratio of Liquid Capital to Total Risk Requirement fall to 1.2 or less, ASIC
must be notified immediately.
Market Participant Name
Date
Additional Comments | | | | | | | |
| | | | | | | |
Please use this screen to include any comments you feel my be needed to clarify this Capital Liquidity Return |
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ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 4B Part 2: Risk Based Capital Requirements - Partners' Declaration to the Annual Audited Return
Return Date:
(the Participant)
Partners Statement relating to the accounts of a Participant
(a) This return is for the month(s)1 ended
(b) The assets and liabilities of each company controlled by the Participant, or any other venture in which the Participant has a financial interest are/are not2 in my/our opinion such as to affect adversely to a material extent the Participant's financial position.
(c) In my/our opinion, the 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 Participant.
(d) No events have occurred or are anticipated up to the date of this statement which in my/our opinion may result in a significant deterioration in the financial stability of the Participant and there are reasonable grounds to believe the Participant will be able to meet its obligations as and when they fall due.
(e) The return associated with this statement as identified in (a) above is a true extract from the Participant's financial statements.
(f) I/we certify that the Income Statement and Balance Sheet have, to the best of my/our knowledge and belief, been drawn to comply with the requirements of sections 988A and 988B of the Corporations Act 2001, accounting standards generally accepted in Australia and ASIC Market Integrity Rules (ASX Market) 2010 (Rules).
(g) I/we certify that the core capital, liquid capital calculation and the calculation of the total risk requirement have to the best of my/our knowledge and belief, been drawn to comply with the requirements of the Rules.
(h) Since the date of the last , the Participant has/has not3 been in compliance with the capital requirements.
(i) I/we are aware that a false declaration may result in disciplinary action being taken against the Participant and should the return be submitted after the due date, the Participant may be liable to a fee.
(j) I/we certify that the Participant has the necessary internal controls and procedures in place to ensure that a return submitted electronically is identical to the return certified by the person(s) noted below as evidenced by this statement pursuant to the Rules.
(To be signed by two partners of the Participant)
Partner 1: Date signed: Signature:
Partner 2: Date signed:
Signature:
Notes:
1. enter the number of months from your last financial year end
2. select as applicable
3. select as applicable
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
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 corporate incorporated or resident outside Australia operating a branch in Australia, the following words may be inserted – “Australian
branch”.
** Delete as applicable.
INDEPENDENT AUDITOR’S REPORT TO THE DIRECTORS/PARTNERS** OF
[PARTICIPANT_NAME]
To: The Directors/Partners**, [Participant_name];
AUDITOR’S REPORT ON THE RETURN
We have audited the financial information set out in the attached.
Instruction: Only one of the following two paragraphs in bold will apply. Hence the paragraph that does not apply should be deleted.
Annual Audited Return, excluding the Directors’ / Partners’ ** Statement Relating to Accounts of a Participant and “Prior Period” balances as shown in the Audited Return, (the “Return”) of [Participant_name]* (“the Participant”) for the [period] ended [date].
**
or
Audited NTA Return, excluding the Directors’ Statement Relating to Accounts of a Participant and “Prior Period” balances as shown in the Audited NTA Return, (the “Return”) of [Participant_name]* (“the Participant”) for the [period] ended [date]. **
The Responsibility of the Directors/Partners ** for the Return
The directors/partners ** of the Participant are responsible for the preparation and fair presentation of the financial information set out in the Return in accordance with the requirements of ASIC Market Integrity Rules (ASX Market) 2010. This responsibility includes: establishing and maintaining internal controls relevant to the preparation and fair presentation of the financial information set out in the Return to ensure that the Return is free from material misstatement, whether due to fraud or error; selecting and applying appropriate accounting policies; and making accounting estimates that are reasonable in the circumstances.
Auditor’s Responsibility
Our responsibility is to express an opinion on the financial information set out in the Return based on our audit. We conducted our audit in accordance with Australian Auditing Standards. These Auditing Standards require that we comply with relevant ethical requirements relating to audit engagements and plan and perform the audit to obtain reasonable assurance whether the financial information set out in the attached Return is free from material misstatement.
An audit involves performing procedures to obtain audit evidence about the amounts and disclosures of the financial information set out in the Return. The procedures selected depend on the auditor’s judgement, including the assessment of the risks of material misstatement of the financial information set out in the Return whether due to fraud or error.
In making those risk assessments, the auditor considers internal controls relevant to the Participant’s preparation and fair presentation of the financial information set out in the Return in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Participant’s internal controls. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by the directors/partners**of the Participant, as well as evaluating the overall presentation of the financial information set out in the Return.
The Return has been:
Instruction: Only one of the following two paragraphs in bold will apply. Hence the paragraph that does not apply should be deleted.
prepared in accordance with Rule 9.2.4 of the ASIC Market Integrity Rules (ASX Market) 2010 as the Participant is complying with the Risk Based Capital Requirements, **
or
prepared in accordance with Rule 9.3.6 of the ASIC Market Integrity Rules (ASX Market) 2010 as the Participant is complying with the NTA Requirements, **
The Return may not be suitable for another purpose. Our report is intended solely for the Participant and ASIC and should not be distributed to or used by parties other than the Participant and ASIC.
We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.
INDEPENDENCE
In conducting our audit, we have complied with the independence requirements of APES
110: Code of Ethics for Professional Accountants.
[QUALIFIED] AUDITOR’S OPINION
In our opinion, [except for the matters referred to in the qualification below], the Return of [Participant_name] for the [period] ended [date] presents fairly, in all material respects, the financial information of the Participant for the [period] ended [date] as required by ASIC in accordance with the ASIC Market Integrity Rules (ASX Market) 2010 that are relevant to the preparation and presentation of the Return.
QUALIFICATION (IF APPLICABLE)
Dated this .................................................. day of .............................................................
Audit Firm “Signature” .....................................................................................................
Name of Audit Firm ............................................................................................................. Address of Audit Firm .......................................................................................................... Partner’s Signature ..............................................................................................................
Name of Partner ..................................................................................................................
If an auditor is not satisfied as to any matter a qualified audit opinion should be expressed.
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 6: Risk Based Capital Requirements – Key
Risks and Internal Systems Statement
ATTESTATION BY DIRECTORS/PARTNERS TO ASIC
KEY RISKS AND INTERNAL SYSTEMS
Participant:.......................................................................................................................
Year Ended:......................................................................................................................
PARTICIPANTS KEY RISKS AND INTERNAL SYSTEMS STATEMENT
We hereby certify and represent that:
The Participant has developed and implemented adequate systems, procedures and controls reasonably designed to achieve compliance, at all times, with the requirements of the ASIC Market Integrity Rules (ASX Market) 2010, and which are appropriate for the nature and extent of the trading activities being conducted.
This includes review of the obligations under the ASIC Market Integrity Rules (ASX Market) 2010, the identification of the key risks facing the Participant and the establishment of systems, procedures and controls to monitor and manage those risks including the establishment of policies and procedures to ensure the accurate calculation of the capital requirements.
The systems, procedures and controls are operating effectively and are adequate having regard to the nature and extent of the Participant’s trading activities to ensure compliance with ASIC Market Integrity Rules (ASX Market) 2010.
We have retained copies of the relevant documentation on which this representation is based and this is available for inspection by ASIC.
Name .........................................................Name........................................................... Director / Partner ......................................Director / Partner..........................................
Dated this ......................................................... day of...................................................
Date of Board Resolution (if applicable)........................................................................
Note: If a Participant considers it necessary to qualify this standard statement, the reasons should be explained in full in an accompanying statement
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 7: Risk Based Capital Requirements – Partnership Statutory Declaration
Market Participants – Partner Statutory Declaration
Basis of preparation
In completing this statutory declaration ALL liabilities, actual or contingent must be declared. Sufficient assets should be declared to demonstrate an excess of assets over liabilities of not less than $50,000. If net assets are less than $50,000 then (i) all assets must be declared as well as all liabilities (actual or contingent) and (ii) a statement must be provided explaining the source of funds required to meet liabilities.
The declaration is required to be made in accordance with the law of the place where the declaration is executed. The table below sets out the persons who may witness a declaration.
State | Persons who may witness declaration |
Victoria | Among others, any justice of the peace, notary public, barrister or solicitor of the Supreme Court, a member of the police force or Parliament, a legally qualified medical practitioner, a bank manager, a dentist or pharmacist, or a public service officer authorised to do so. |
New South Wales | Among others, any justice of the peace, notary public, commissioner of the court for taking affidavits, other person authorised by law to administer an oath, or a solicitor holding a current practising certificate. |
Queensland | Among others, any commissioner for declarations, justice of the peace, notary public or other officer authorised by law to administer an oath, barrister, solicitor or conveyancer. |
Western Australia | Among others, any justice of the peace or other person authorised by law to administer an oath. |
South Australia | Among others, any justice, notary public or any officer authorised by law to administer an oath or affirmation. |
Tasmania | Among others, any justice, person authorised by law to administer an oath or a commissioner for declarations. |
Each page of the notes attached to the statutory declaration must be signed and dated by the partner for identification purposes.
Treatment of property and mortgages
It is intended that the following guidelines be observed in the treatment of property and mortgages:
- only the partner's proportion of the property value may be included as an asset in note 5;
- the partner's proportion of the mortgage debt to be shown as a liability in note 8;
- the proportion of the mortgage debt relating to other owners to be shown as contingent liability in note 9; and
- no proportion of the property owned by the other parties may be included as an asset, contingent or otherwise.
Summary (note 1)
As note 1 is a summary of the totals of other notes, this note must be completed in full.
Treatment of assets (notes 2 to 7)
Accounts as at 30 June last should be attached to this Statutory Declaration in respect of any borrower who is not a recognised borrowing institution.
Assets are to be separately listed in these notes. Where such assets are not registered in the sole name of the partner, particulars must be given. Where assets included in these notes have been offered as security, full particulars must be given.
Treatment of assets pledged for liability of a Participant (note 10)
If any personal assets are pledged as security for a liability of a Participant, those assets should be listed in note 10. They must not be listed in any other notes.
Treatment of assets pledged for other debts not included in note 10 (note 11)
If any of the assets listed are pledged as security for any debt of either the person making this declaration, or a third party, details should be listed in note 11.
Statutory Declaration*
I, | [insert full name] |
of | [insert address] |
, | [insert occupation] |
do solemnly and sincerely declare that: |
- My actual and contingent liabilities of any nature did not exceed the sum of $ and are detailed on notes 8 and 9;
2. The information stated in notes 1 to 11 inclusive is true and correct;
3. The realisable value of my assets (excluding my interest in the Participant of ) exceeded the liabilities referred to in clause 1 by at least $ ; and
4. All insurable assets described in the notes are, at all times, held insured to a value not less than that shown in the attached notes.
|
Victoria - Declaration complying with the Evidence Act 1958 |
| | | | | | |
And I acknowledge that this declaration is true and correct, and I make it in the belief that a person making a false declaration is liable to the penalties for perjury. |
| | | | | | |
Declared at | | ) | | |
| | | | ) | | |
this | | day of | | 20 | | ) | |
| | | | | [Signature of declarant] |
| | | | |
Before me: | | | | |
| [Signature of person before whom the declaration is made] | |
| | | | |
| | | | |
| [Title of person before whom the declaration is made] | |
| | | | | | | | | | | | |
_______________________
* Each partner is required to execute the statutory declaration in accordance with the law of the jurisdiction where the declaration is made. Accordingly, please select the appropriate format and delete or cross out those formats which are not relevant.
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
|
New South Wales* - Declaration under the Oaths Act 1990 |
| | | | | | |
And I make this solemn declaration conscientiously believing the same to be true and by virtue of the provisions of the Oaths Act 1990. |
| | | | | | |
Declared at | | ) | | |
| | | | ) | | |
this | | day of | | 20 | | ) | |
| | | | | [Signature of declarant] |
| | | | |
Before me: | | | | |
| [Signature of person before whom the declaration is made] | |
| | | | |
| | | | |
| [Title of person before whom the declaration is made] | |
| | | | | | | | | | | | |
|
Queensland - Declaration under The Oaths Acts, 1867 to 1988 - |
| | | | | | |
And I make this solemn declaration conscientiously believing the same to be true and by virtue of the provisions of The Oaths Act of 1867. |
| | | | | | |
Signed and declared by the above-named declarant | | | |
| | | | |
at | | in the State of | | ) | |
| | | | ) | | |
this | | day of | | 20 | | ) | |
| | | | | [Signature of declarant] |
| | | | |
Before me: | | | | |
| [Signature of person before whom the declaration is made] | |
| | | | |
| | | | |
| A Justice of the Peace [or as the case may be]. | |
| | | | | | | | | | | | | | |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
|
Western Australia* - Declaration under the Evidence Act 1906 |
| | | | | | |
And I make this solemn declaration by virtue of section 106 of the Evidence Act 1906. |
| | | | | | |
Declared at | | ) | | |
| | | | ) | | |
this | | day of | | 20 | | ) | |
| | | | | [Signature of declarant] |
| | | | |
Before me: | | | | |
| [Signature of person before whom the declaration is made] | |
| | | | |
| | | | |
| [Title of person before whom the declaration is made] | |
| | | | | | | | | | | | |
|
South Australia - Declaration under the Oaths Act 1936 |
| | | | | | |
And I make this solemn declaration conscientiously believing the same to be true and by virtue of the provisions of the Oaths Act 1936. |
| | | | | | |
Declared at | | ) | | |
| | | | ) | | |
this | | day of | | 20 | | ) | |
| | | | | [Signature of declarant] |
| | | | |
Before me: | | | | |
| [Signature of person before whom the declaration is made] | |
| | | | |
| | | | |
| [Title of person before whom the declaration is made] | |
| | | | | | | | | | | | |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
|
Tasmania* - Declaration under the Evidence Act 1910 |
| | | | | | |
And I make this solemn declaration by virtue of section 132 of the Evidence Act 1910. |
| | | | | | |
Declared at | | ) | | |
| | | | ) | | |
this | | day of | | 20 | | ) | |
| | | | | [Signature of declarant] |
| | | | |
Before me: | | | | |
| [Signature of person before whom the declaration is made] | |
| | | | |
| | | | |
| [Title of person before whom the declaration is made] | |
| | | | | | | | | | | | |
_______________________
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Note 1 Summary as at ___/___/20___
| Note | Due not later than 1 year | Due later than 1 year but not later than 3 years | Due later than 3 years |
| | | | |
Assets | | | | |
| | | | |
Cash in Bank | 2 | | | |
| | | | |
Marketable Securities | 3 | | | |
| | | | |
Other Debtors | 4 | | | |
| | | | |
Property | 5 | | | |
| | | | |
Investments | 6 | | | |
| | | | |
Other Assets | 7 | | | |
| | | | |
Total Assets | | | | |
| | | | |
| | | | |
Liabilities | | | | |
| | | | |
Actual Liabilities | 8 | | | |
| | | | |
Contingent Liabilities | 9 | | | |
| | | | |
Total Liabilities | | | | |
| | | | |
Net Assets (Total Assets less Total Liabilities) | | | | |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Note 2 Cash in bank or on deposit
ASSETS AS AT ___/___/20___
Financial institution | Nature of account | Amount ($) |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
| | |
Total cash in bank or on deposit | |
Note 3 Marketable/liquid securities
Company | Number of securities | Type of security | Market value at ___/___/20___ | Total Value |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
Total market value of liquid securities | |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Note 4 Other debtors
Borrower | Interest rate | Term of deposit | Secured/unsecured (if secured, provide details) | Amount ($) |
| | | | |
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| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
Total other debtors | |
Note 5 Property
Address & description | Unimproved capital value as set by valuing authority | Method of valuation | Estimated realisable value | Proportion owned (%) | Value |
| | | | | |
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| | | | | |
| | | | | |
| | | | | |
Total property value | |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Note 6 Investments
Name of business owned | Total net assets | Proportion owned (%) | Value |
| | | |
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Total investment value | |
Note 7 Other assets
Description of Assets | Method of valuation | Estimated realisable value | Proportion owned (%) | Value |
| | | | |
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| | | | |
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| | | | |
| | | | |
| | | | |
Total other assets | |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Note 8 Existing liabilities
| Due within 1 year | Due between 1 year and 3 years | Due after 3 years | Total |
| | | | |
Description | | | | |
| | | | |
Outstanding tax assessments | | | | |
| | | | |
Excess of estimated tax payable over provisional tax paid* | | | | |
| | | | |
Estimate of tax applicable to income for financial year to date | | | | |
| | | | |
Bank Overdrafts | | | | |
| | | | |
Property Mortgages (show address and partner’s share of mortgage) | | | | |
| | | | |
Other Loans | | | | |
| | | | |
*Other Liabilities (details required) | | | | |
| | | | |
Total existing liabilities | | | | |
* Calculate excess of estimated tax payable over provisional tax paid as per below:
Estimated tax payable for the year to 30th June | $ x |
less Provisional tax paid | $ y |
| |
Amount to be declared | $ |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Note 9 Contingent liabilities*
| Due within 1 year | Due between 1 year and 3 years | Due after 3 years | Total |
| | | | |
Description | | | | |
| | | | |
Debt on residence (show address) | | | | |
| | | | |
Debt on all jointly owned properties (show address) | | | | |
| | | | |
Debt on other properties | | | | |
| | | | |
Other contingent liabilities | | | | |
| | | | |
Total contingent liabilities | | | | |
* Show that part of contingent liabilities which relates to debt of parties other than the partner.
Note 10 Assets pledged for liability of a Participant
Description of assets | Pledged to | Maximum liability | Value of assets pledged |
| | | |
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Total assets pledged | $ |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Note 11 Assets pledged for other debts not included in note 10
Description of assets | Pledged to | Maximum liability | Value of assets pledged |
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Total assets pledged | $ |
This page forms part of Statutory Declaration dated: | ___/___/20___ |
Signed by partner: | |
Sch 1C Form 8 Pt 1
Ad Hoc NTA Return
Return Date:
Return Details
Participant Type:
Participant Sub-Type:
Return Status:
Version:
Lodgement Date:
Original Lodgement Date:
Ad Hoc NTA Return
Return Date:
NTA Return Details
Statement of Net Tangible Assets
| Note | Current Period | Prior Period | Movement $ | Movement % |
Current Assets | 1 | | | | |
less Current Liabilities | 2 | | | | |
Net Current Assets (working capital) | | | | | |
|
Non Current Assets | 3 | | | | |
less Non Current Liabilities | 4 | | | | |
Net Assets | | | | | |
Shareholder's Equity funded by: |
Equity | 5 | | | | |
Reserves & Retained earnings | 6 | | | | |
Approved Subordinated Debt | 7 | | | | |
Total Shareholder's Equity | | | | | |
less Excluded/Intangible Assets | 3f | | | | |
Net Tangible Assets | | | | | |
|
Contingent Liabilities | 8 | | | | |
Lease Commitments | 9 | | | | |
Capital Commitments | 10 | | | | |
Net Standby Credit Facilities | 11 | | | | |
Foreign Exchange Exposure | 12 | | | | |
Ad Hoc NTA Return
Return Date:
Current Assets
Current Assets - Note 1
| Current Period | Prior Period | Movement $ | Movement % |
Total Current Assets | | | | |
Ad Hoc NTA Return
Return Date:
Receivables
Current Assets: Receivables- Note 1(a)
| Current Period | Prior Period | Movement $ | Movement % |
|
Futures Clients | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Other Clients | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Dealers | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Other Receivables | | | | |
less provision for doubtful debts | | = | | | = | | | |
Sub Total | | | | | |
Ad Hoc NTA Return
Return Date:
Cash
Current Assets: Cash - Note 1(b)
| Current Period | Prior Period | Movement $ | Movement % |
Cash at Bank (general accounts) | | | | |
Clients' Segregated Account at Bank | | | | |
Trust Account at Bank | | | | |
Cash on Hand | | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Deposits
Current Assets: Deposits - Note 1(c) |
| Current Period | Prior Period | Movement $ | Movement % |
Deposits with ASX Clear - Client Account | | | | |
Deposits with ASX Clear - House Account | | | | |
Deposits with ASX Clear (Futures) - Client Account | | | | |
Deposits with ASX Clear (Futures) - House Account | | | | |
Deposits with ASX Clear Participant | | | | |
Deposits with ASX Clear (Futures) Participant(s) - Client | | | | |
Deposits with ASX Clear (Futures) Participant(s) - House | | | | |
Deposits with ASX Participant | | | | |
Deposits with ASX 24 Participant(s) - Client | | | | |
Deposits with ASX 24 Participant(s) - House | | | | |
Deposits with Overseas Brokers - Client | | | | |
Deposits with Overseas Brokers - House | | | | |
Client funds invested in accordance with legislation | | | | |
Deposits with a stock exchange | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Company Related
Current Assets: Related/Associated Company Receivables - Note 1(d)
| Current Period | Prior Period | Movement $ | Movement % |
Deposits (provide names of related parties) |
| | | | |
Loans (maturing within 12 months) (provide names of related parties) |
| | | | |
Receivables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Other Current Assets
Current Assets: Other - Note 1(e)
| Current Period | Prior Period | Movement $ | Movement % |
Listed Securities (at stated value) |
At market value | | | | |
At cost value | | | | |
At other value (provide details) |
| | | | |
Investment in subsidiaries | | | | |
Investment in associated Companies | | | | |
Bills of Exchange | | | | |
Government & semi-Government Securities | | | | |
Prepayments | | | | |
Loans to Directors | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Current Liabilities
Current Liabilities: Total - Note 2
| Current Period | Prior Period | Movement $ | Movement % |
Total Current Liabilities | | | | |
Ad Hoc NTA Return
Return Date:
Section Name
Current Liabilities: Trade & other Payables - Note 2(a)
| Current Period | Prior Period | Movement $ | Movement % |
Futures Clients - External | | | | |
Futures Clients - Related/Associated | | | | |
Other Clients | | | | |
Dealers | | | | |
Lease Liability | | | | |
Sundry Payables | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Short Term Borrowings
Current Liabilities: Short Term Borrowings - Note 2(b)
| Current Period | Prior Period | Movement $ | Movement % |
Bank Overdraft (provide lender names) |
| | | | |
Bank Loans (provide lender names) |
| | | | |
At call (provide lender names) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Related / Associated Company Payables
Current Liabilities: Related/Associated Company Payables - Note 2(c)
| Current Period | Prior Period | Movement $ | Movement % |
Loans (due within 12 months) (provide names of related parties) |
| | | | |
Payables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Other Current Liabilities
Current Liabilities: Other - Note 2(d)
| Current Period | Prior Period | Movement $ | Movement % |
Provision for Income Tax | | | | |
Provision for Dividend | | | | |
Provision for Annual Leave | | | | |
Provision for long Service Leave | | | | |
Sundry Provisions | | | | |
Sundry Accruals | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Non Current Assets
Non-Current Assets: Total - Note 3
| Current Period | Prior Period | Movement $ | Movement % |
Total Non-Current Assets | | | | |
Ad Hoc NTA Return
Return Date:
Property, Plant & Equipment
Non-Current Assets: Property, Plant & Equipment - Note 3(a)
| Current Period | Prior Period | Movement $ | Movement % |
Land & Buildings - at fair value / cost | | | | |
less accumulated depreciation | | = | | | = | | | |
|
Leasehold Improvement - at fair value / cost | | | | |
less accumulated depreciation | | = | | | = | | | |
|
Plant, vehicles, fixtures & fittings | | | | |
less accumulated depreciation | | = | | | = | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Financial Assets
Non-Current Assets: Financial Assets - Note 3(b)
| Current Period | Prior Period | Movement $ | Movement % |
Government & semi-Government Securities | | | | |
Listed Securities (at stated value) |
At market value | | | | |
At cost value | | | | |
At other value (provide details) |
| | | | |
Investment in subsidiaries | | | | |
Investment in associated Companies | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Loans & Deposits
Non-Current Assets: Loans & Deposits - Note 3(c)
| Current Period | Prior Period | Movement $ | Movement % |
Due between 1-2 years (provide names of parties loan/deposit held with) |
| | | | |
Due after 2 years (provide names of parties loan/deposit held with) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Related / Associated company Receivables
Non-Current Assets: Related/Associated Company Receivables - Note 3(d)
| Current Period | Prior Period | Movement $ | Movement % |
Deposits (provide names of related parties) |
| | | | |
Loans (provide names of related parties) |
| | | | |
Receivables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Other Non Current Assets
Non-Current Assets: Other - Note 3(e)
| Current Period | Prior Period | Movement $ | Movement % |
Prepayments | | | | |
Loans to Directors | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Excluded / Intangible Assets
Non-Current Assets: Excluded/Intangible Assets - Note 3(f)
| Current Period | Prior Period | Movement $ | Movement % |
Formation Costs | | | | |
Goodwill | | | | |
Patents, Trademarks & Preliminary Expenses | | | | |
Deferred Tax Assets | | | | |
Participant Rights / Access Membership to: |
ASX 24 | | | | |
ASX | | | | |
ASX Clear (Futures) | | | | |
ASX Clear | | | | |
Other Exchanges / Clearing Houses (provide details) |
| | | | |
Unlisted Securities (provide details) |
| | | | |
ASX Clear Participant commitment | | | | |
ASX Clear (Futures) Participant commitment (cash only) | | | | |
Other commitments (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Non Current Liabilities
Non-Current Liabilities - Note 4
| Current Period | Prior Period | Movement $ | Movement % |
Total Non-Current Liabilities | | | | |
Ad Hoc NTA Return
Return Date:
Long Term Borrowings
Non-Current Liabilities: Long Term Borrowings - Note 4(a)
| Current Period | Prior Period | Movement $ | Movement % |
Bank Loans (provide names of lenders) |
| | | | |
Other Loans (provide names of lenders) |
| | | | |
Subordinated Loans (provide names of lenders) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Related/Associated Company Payables
Non-Current Liabilities: Related/Associated Company Payables - Note 4(b)
| Current Period | Prior Period | Movement $ | Movement % |
Loans (provide names of related parties) |
| | | | |
Payables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Other Non Current Liabilities
Non-Current Liabilities: Other - Note 4(c)
| Current Period | Prior Period | Movement $ | Movement % |
Provision for Income Tax | | | | |
Provision for Long Service Leave | | | | |
Provision for Dividend | | | | |
Deferred Taxation Liability | | | | |
Lease Liability | | | | |
Other Payables | | | | |
Other Accruals & Sundry Provisions | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Ad Hoc NTA Return
Return Date:
Equity
Equity - Note 5
| Current Period | Prior Period | Movement $ | Movement % |
Voting Shares | | | | |
Non-Voting Shares | | | | |
Other (provide details) |
| | | | |
TOTAL | | | | |
Ad Hoc NTA Return
Return Date:
Reserves & Retained Earnings
Reserves & Retained Earnings - Note 6
| Current Period | Prior Period | Movement $ | Movement % |
Accumulated Profits / (Losses) at beginning of month | | | | |
Profit / (Loss) from Futures Operations for the month | | | | |
Profit / (Loss) from Rest of Operations for the month | | | | |
Accumulated Profits / (Losses) at end of month | | | | |
Adjustment to Retained Earnings - Increases (provide details) |
| | | | |
Adjustment to Retained Earnings - Decreases (provide details) |
| | | | |
Other Revenue Reserves | | | | |
Capital Reserves | | | | |
Dividend | | | | |
Other (provide details) |
| | | | |
Total | | | | |
Ad Hoc NTA Return
Return Date:
Approved Subordinated Debt
Approved Subordinated Debt - Note 7
Lender | Maturity | Facility Limit | Current Period | Prior Period | Movement $ | Movement % |
Total | | | | |
Ad Hoc NTA Return
Return Date:
Contingent Liabilities
Contingent Liabilities - Note 8
| Current Period | Prior Period | Movement $ | Movement % |
Guarantees (provide details) |
| | | | |
Other (provide details) |
| | | | |
TOTAL | | | | |
Ad Hoc NTA Return
Return Date:
Lease Commitments
Lease Commitments - Note 9
| Current Period | Prior Period | Movement $ | Movement % |
Operating Leases (provide details) |
| | | | |
TOTAL | | | | |
Ad Hoc NTA Return
Return Date:
CEC – Capital Expenditure Commitments
Capital Expenditure Commitments - Note 10
| Current Period | Prior Period | Movement $ | Movement % |
| | | | |
TOTAL | | | | |
Ad Hoc NTA Return
Return Date:
Standby Credit Facilities
Standby Credit Facilities - Note 11
| Limit Amount |
Type | Provider/Participant Name | Terms & Availability | Current Period | Prior Period |
Granted in favour of the Participant: |
| | | | |
Sub Total | | |
Granted by the Participant in favour of other: |
| | | | |
Sub Total | | |
Total | | |
Ad Hoc NTA Return
Return Date:
Foreign Exchange Exposure
Foreign Exchange Exposure - Note 12
| Current Period | Prior Period | Movement $ | Movement % |
Net Gain/Loss | | | | |
Ad Hoc NTA Return
Return Date:
Receivables Analysis
Receivables Analysis - Attachment A
Amounts Owed by | Current | 30 Days | 60 Days | 90 Days+ | Total Outstanding |
Future Clients | | | | | |
Other Clients | | | | | |
Dealers | | | | | |
Other Receivables | | | | | |
Less Provision for Doubtful Debt | | | | | |
Sub Total | | | | | |
Ageing Analysis % | | | | | |
Ad Hoc NTA Return
Return Date:
Directors
Directors - Attachment B
Current Period | Prior Period |
Board Directors (Full Name) |
| |
| |
Company Secretary (Full Name) |
| |
CEO (Full Name) |
| |
Ad Hoc NTA Return
Return Date:
Shareholders
Shareholders - Attachment C
Voting |
Class of Shares | Value per Share | Shareholder Name | Number of Shares | Current Period | Prior Period |
| | | | | |
Voting Total | | | |
Non-Voting |
Class of Shares | Value per Share | Shareholder Name | Number of Shares | Current Period | Prior Period |
| | | | | |
Non-Voting Total | | | |
Total Contributed Equity | | | |
Ad Hoc NTA Return
Return Date:
Related/Associated Company Receivables
Related/Associated Company Receivables - Attachment D
Current Assets |
Name of Related/Associated Company | Evidence Provided | Current Period | Prior Period |
| | | |
Sub Total | | |
Non - Current Assets |
| | | |
Sub Total | | |
Total | | |
Ad Hoc NTA Return
Return Date:
Net Liquid Assets
Statement of Net Liquid Assets - Attachment E
| Note | Current Period | Prior Period | Movement $ | Movement % |
Liquid Assets |
Cash at Bank and on Hand | | | | | |
Deposits with ASX Clear (Futures) | | | | | |
Deposits with ASX Clear | | | | | |
Deposits with other Participants | | | | | |
Investments with authorised Institutions (24 hour call or better) | | | | | |
Other Investments (24 hour call or better) | | | | | |
Deposits with a Stock Exchange | | | | | |
Government & Semi- Government Securities | | | | | |
Bank Accepted Bills | | | | | |
Listed Securities | | | | | |
Other (provide details) |
| | | | | |
Total Liquid Assets | | | | |
Liquid Liability |
Other Clients | | | | | |
Other Creditors - at call | | | | | |
Client Credit Margins (if mark to market not used) | | | | | |
Loans & Deposits - at call | | | | | |
Ad Hoc NTA Return
Return Date:
Bank Overdraft | | | | | |
Other (provide details) |
| | | | | |
Total Liquid Liabilities | | | | |
Current Net Liquid Assets | | | | |
Ad Hoc NTA Return
Return Date:
Secured Creditors
Statement of Secured Creditors - Attachment F
| Note | Nature & Extent of Security | Terms | Granted in favour of | Current Period | Prior Period |
Current Liabilities |
Bank Overdraft | | | | | | |
Bank Loans | | | | | | |
Loans & Deposits | | | | | | |
Related/Associate d Company Payables | | | | | | |
Other (provide details) |
| | | | | | |
Total Current Liabilities | | |
Non-Current Liabilities |
Bank Overdraft | | | | | | |
Bank Loans | | | | | | |
Loans & Deposits | | | | | | |
Related/Associate d Company Payables | | | | | | |
Other (provide details) |
| | | | | | |
Total Non-Current Liabilities | | |
Total Secured Creditors | | |
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 8 Part 2: NTA Requirements - Directors' Declaration to the Ad Hoc Return
Return Date: Director's Declaration
DIRECTORS STATEMENT RELATING TO THE ACCOUNTS OF A PARTICIPANT
Participant : …………………
(a) This return is for the …………………
(b) The Participant is incorporated in ………………… (the Place of Incorporation).
(c) The assets and liabilities of each company controlled by the Participant, or any other venture in which the Participant has a financial interest <are/are not> in our opinion such as to affect adversely to a material extent the Participant's financial position.
(d) In my/our opinion, the 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 Participant.
(e) No events have occurred or are anticipated up to the date of this statement which in my/our opinion may result in a significant deterioration in the financial stability of the Participant and there are reasonable grounds to believe the Participant will be able to meet its obligations as and when they fall due.
(f) The return associated with this statement as identified in (a) above is a true extract from our financial statement.
(g) I/we certify that the Balance Sheet has, to the best of my/our knowledge and belief, been drawn to comply with:
(i) the requirements of sections 988A and 988B of the Corporations Act 2001 or equivalent legislation in the Place of Incorporation (as applicable); and
(ii) the accounting standards generally accepted in …………………; and
(iii) the ASX Clear Operating Rules or ASIC Market Integrity Rules (ASX Market) 2010 (each, the Rules) (as applicable).
(h) I/we certify that the net tangible assets calculation has to the best of my/our knowledge and belief, been drawn to comply with the requirements of the Rules.
(i) Since the date of the last reporting statement the Participant <has/has not> been in compliance with the minimum net tangible assets requirements for ASX Market Participants or ASX Clear Direct or General Participants (as applicable).
(j) I/we are aware that a false declaration may result in disciplinary action being taken against the Participant and should the return be submitted after the due date, the Participant may be liable to a fee or penalty.
I/We certify that the above information is to the best of my/our knowledge and belief true and correct.
Return Date:
Financial Return Authorisation
Sole Director Company: | |
Board Resolution Date | |
Authorisation 1 | |
Authorisation Date 1 | |
Authorisation 2 | |
Authorisation Date 2 | |
Sch 1C Form 9 Pt 1
Summary NTA Return
Return Date:
Return Details
Participant Type:
Participant Sub-Type:
Return Status:
Version:
Lodgement Date:
Original Lodgement Date:
Summary NTA Return
Return Date:
NTA Return Details
Statement of Net Tangible Assets
| Note | Current Period | Prior Period | Movement $ | Movement % |
Current Assets | 1 | | | | |
less Current Liabilities | 2 | | | | |
Net Current Assets (working capital) | | | | | |
|
Non Current Assets | 3 | | | | |
less Non Current Liabilities | 4 | | | | |
Net Assets | | | | | |
Shareholder's Equity funded by: |
Equity | 5 | | | | |
Reserves & Retained earnings | 6 | | | | |
Approved Subordinated Debt | 7 | | | | |
Total Shareholder's Equity | | | | | |
less Excluded/Intangible Assets | 3f | | | | |
Net Tangible Assets | | | | | |
|
Contingent Liabilities | 8 | | | | |
Lease Commitments | 9 | | | | |
Capital Commitments | 10 | | | | |
Net Standby Credit Facilities | 11 | | | | |
Foreign Exchange Exposure | 12 | | | | |
Summary NTA Return
Return Date:
Non Current Assets
Non-Current Assets: Total - Note 3
| Current Period | Prior Period | Movement $ | Movement % |
Total Non-Current Assets | | | | |
Summary NTA Return
Return Date:
Excluded / Intangible Assets
Non-Current Assets: Excluded/Intangible Assets - Note 3(f)
| Current Period | Prior Period | Movement $ | Movement % |
Formation Costs | | | | |
Goodwill | | | | |
Patents, Trademarks & Preliminary Expenses | | | | |
Deferred Tax Assets | | | | |
Participant Rights / Access Membership to: |
ASX 24 | | | | |
ASX | | | | |
ASX Clear (Futures) | | | | |
ASX Clear | | | | |
Other Exchanges / Clearing Houses (provide details) |
| | | | |
Unlisted Securities (provide details) |
| | | | |
ASX Clear Participant commitment | | | | |
ASX Clear (Futures) Participant commitment (cash only) | | | | |
Other commitments (provide details) |
| | | | |
Sub Total | | | | |
Summary NTA Return
Return Date:
Reserves & Retained Earnings
Reserves & Retained Earnings - Note 6
| Current Period | Prior Period | Movement $ | Movement % |
Accumulated Profits / (Losses) at beginning of month | | | | |
Profit / (Loss) from Futures Operations for the month | | | | |
Profit / (Loss) from Rest of Operations for the month | | | | |
Accumulated Profits / (Losses) at end of month | | | | |
Adjustment to Retained Earnings - Increases (provide details) |
| | | | |
Adjustment to Retained Earnings - Decreases (provide details) |
| | | | |
Other Revenue Reserves | | | | |
Capital Reserves | | | | |
Dividend | | | | |
Other (provide details) |
| | | | |
Total | | | | |
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 9 Part 2: NTA Requirements – Directors’ Declaration to the Summary Return
Return Date:
Director's Declaration
DIRECTORS STATEMENT RELATING TO THE ACCOUNTS OF A PARTICIPANT
Participant : …………………
(a) This return is for the …………………
(b) The Participant is incorporated in ………………… (the Place of Incorporation).
(c) The assets and liabilities of each company controlled by the Participant, or any other venture in which the Participant has a financial interest <are/are not> in our opinion such as to affect adversely to a material extent the Participant's financial position.
(d) In my/our opinion, the 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 Participant.
(e) No events have occurred or are anticipated up to the date of this statement which in my/our opinion may result in a significant deterioration in the financial stability of the Participant and there are reasonable grounds to believe the Participant will be able to meet its obligations as and when they fall due.
(f) The return associated with this statement as identified in (a) above is a true extract from our financial statement.
(g) I/we certify that the Balance Sheet has, to the best of my/our knowledge and belief, been drawn to comply with:
(i) the requirements of sections 988A and 988B of the Corporations Act 2001 or equivalent legislation in the Place of Incorporation (as applicable); and
(ii) the accounting standards generally accepted in ………………… ; and
(iii) the ASX Clear Operating Rules or ASIC Market Integrity Rules (ASX Market) 2010 (each, the Rules) (as applicable).
(h) I/we certify that the net tangible assets calculation has to the best of my/our knowledge and belief, been drawn to comply with the requirements of the Rules.
(i) Since the date of the last reporting statement the Participant <has/has not> been in compliance with the minimum net tangible assets requirements for ASX Market Participants or ASX Clear Direct or General Participants (as applicable).
(j) I/we are aware that a false declaration may result in disciplinary action being taken against the Participant and should the return be submitted after the due date, the
Participant may be liable to a fee or penalty.
I/We certify that the above information is to the best of my/our knowledge and belief true and correct.
Return Date:
Financial Return Authorisation
Sole Director Company: | |
Board Resolution Date | |
Authorisation 1 | |
Authorisation Date 1 | |
Authorisation 2 | |
Authorisation Date 2 | |
Sch 1C Form 10 Pt 1
Net Tangible Asset Return
Return Date:
Return Details
Participant Type:
Participant Sub-Type:
Return Status:
Version:
Lodgement Date:
Original Lodgement Date:
Net Tangible Asset Return
Return Date:
NTA Return Details
Statement of Net Tangible Assets
| Note | Current Period | Prior Period | Movement $ | Movement % |
Current Assets | 1 | | | | |
less Current Liabilities | 2 | | | | |
Net Current Assets (working capital) | | | | | |
|
Non Current Assets | 3 | | | | |
less Non Current Liabilities | 4 | | | | |
Net Assets | | | | | |
Shareholder's Equity funded by: |
Equity | 5 | | | | |
Reserves & Retained earnings | 6 | | | | |
Approved Subordinated Debt | 7 | | | | |
Total Shareholder's Equity | | | | | |
less Excluded/Intangible Assets | 3f | | | | |
Net Tangible Assets | | | | | |
|
Contingent Liabilities | 8 | | | | |
Lease Commitments | 9 | | | | |
Capital Commitments | 10 | | | | |
Net Standby Credit Facilities | 11 | | | | |
Foreign Exchange Exposure | 12 | | | | |
Net Tangible Asset Return
Return Date:
Current Assets
Current Assets - Note 1
| Current Period | Prior Period | Movement $ | Movement % |
Total Current Assets | | | | |
Net Tangible Asset Return
Return Date:
Receivables
Current Assets: Receivables- Note 1(a)
| Current Period | Prior Period | Movement $ | Movement % |
|
Futures Clients | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Other Clients | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Dealers | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Other Receivables | | | | |
less provision for doubtful debts | | = | | | = | | | |
Sub Total | | | | | |
Net Tangible Asset Return
Return Date:
Cash
Current Assets: Cash - Note 1(b)
| Current Period | Prior Period | Movement $ | Movement % |
Cash at Bank (general accounts) | | | | |
Clients' Segregated Account at Bank | | | | |
Trust Account at Bank | | | | |
Cash on Hand | | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Deposits
Current Assets: Deposits - Note 1(c) |
| Current Period | Prior Period | Movement $ | Movement % |
Deposits with ASX Clear - Client Account | | | | |
Deposits with ASX Clear - House Account | | | | |
Deposits with ASX Clear (Futures) - Client Account | | | | |
Deposits with ASX Clear (Futures) - House Account | | | | |
Deposits with ASX Clear Participant | | | | |
Deposits with ASX Clear (Futures) Participant(s) - Client | | | | |
Deposits with ASX Clear (Futures) Participant(s) - House | | | | |
Deposits with ASX Participant | | | | |
Deposits with ASX 24 Participant(s) - Client | | | | |
Deposits with ASX 24 Participant(s) - House | | | | |
Deposits with Overseas Brokers - Client | | | | |
Deposits with Overseas Brokers - House | | | | |
Client funds invested in accordance with legislation | | | | |
Deposits with a stock exchange | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Company Related
Current Assets: Related/Associated Company Receivables - Note 1(d)
| Current Period | Prior Period | Movement $ | Movement % |
Deposits (provide names of related parties) |
| | | | |
Loans (maturing within 12 months) (provide names of related parties) |
| | | | |
Receivables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Other Current Assets
Current Assets: Other - Note 1(e)
| Current Period | Prior Period | Movement $ | Movement % |
Listed Securities (at stated value) |
At market value | | | | |
At cost value | | | | |
At other value (provide details) |
| | | | |
Investment in subsidiaries | | | | |
Investment in associated Companies | | | | |
Bills of Exchange | | | | |
Government & semi-Government Securities | | | | |
Prepayments | | | | |
Loans to Directors | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Current Liabilities
Current Liabilities: Total - Note 2
| Current Period | Prior Period | Movement $ | Movement % |
Total Current Liabilities | | | | |
Net Tangible Asset Return
Return Date:
Section Name
Current Liabilities: Trade & other Payables - Note 2(a)
| Current Period | Prior Period | Movement $ | Movement % |
Futures Clients - External | | | | |
Futures Clients - Related/Associated | | | | |
Other Clients | | | | |
Dealers | | | | |
Lease Liability | | | | |
Sundry Payables | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Short Term Borrowings
Current Liabilities: Short Term Borrowings - Note 2(b)
| Current Period | Prior Period | Movement $ | Movement % |
Bank Overdraft (provide lender names) |
| | | | |
Bank Loans (provide lender names) |
| | | | |
At call (provide lender names) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Related / Associated Company Payables
Current Liabilities: Related/Associated Company Payables - Note 2(c)
| Current Period | Prior Period | Movement $ | Movement % |
Loans (due within 12 months) (provide names of related parties) |
| | | | |
Payables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Other Current Liabilities
Current Liabilities: Other - Note 2(d)
| Current Period | Prior Period | Movement $ | Movement % |
Provision for Income Tax | | | | |
Provision for Dividend | | | | |
Provision for Annual Leave | | | | |
Provision for long Service Leave | | | | |
Sundry Provisions | | | | |
Sundry Accruals | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Non Current Assets
Non-Current Assets: Total - Note 3
| Current Period | Prior Period | Movement $ | Movement % |
Total Non-Current Assets | | | | |
Net Tangible Asset Return
Return Date:
Property, Plant & Equipment
Non-Current Assets: Property, Plant & Equipment - Note 3(a)
| Current Period | Prior Period | Movement $ | Movement % |
Land & Buildings - at fair value / cost | | | | |
less accumulated depreciation | | = | | | = | | | |
|
Leasehold Improvement - at fair value / cost | | | | |
less accumulated depreciation | | = | | | = | | | |
|
Plant, vehicles, fixtures & fittings | | | | |
less accumulated depreciation | | = | | | = | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Financial Assets
Non-Current Assets: Financial Assets - Note 3(b)
| Current Period | Prior Period | Movement $ | Movement % |
Government & semi-Government Securities | | | | |
Listed Securities (at stated value) |
At market value | | | | |
At cost value | | | | |
At other value (provide details) |
| | | | |
Investment in subsidiaries | | | | |
Investment in associated Companies | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Loans & Deposits
Non-Current Assets: Loans & Deposits - Note 3(c)
| Current Period | Prior Period | Movement $ | Movement % |
Due between 1-2 years (provide names of parties loan/deposit held with) |
| | | | |
Due after 2 years (provide names of parties loan/deposit held with) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Related / Associated company Receivables
Non-Current Assets: Related/Associated Company Receivables - Note 3(d)
| Current Period | Prior Period | Movement $ | Movement % |
Deposits (provide names of related parties) |
| | | | |
Loans (provide names of related parties) |
| | | | |
Receivables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Other Non Current Assets
Non-Current Assets: Other - Note 3(e)
| Current Period | Prior Period | Movement $ | Movement % |
Prepayments | | | | |
Loans to Directors | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Excluded / Intangible Assets
Non-Current Assets: Excluded/Intangible Assets - Note 3(f)
| Current Period | Prior Period | Movement $ | Movement % |
Formation Costs | | | | |
Goodwill | | | | |
Patents, Trademarks & Preliminary Expenses | | | | |
Deferred Tax Assets | | | | |
Participant Rights / Access Membership to: |
ASX 24 | | | | |
ASX | | | | |
ASX Clear (Futures) | | | | |
ASX Clear | | | | |
Other Exchanges / Clearing Houses (provide details) |
| | | | |
Unlisted Securities (provide details) |
| | | | |
ASX Clear Participant commitment | | | | |
ASX Clear (Futures) Participant commitment (cash only) | | | | |
Other commitments (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Non Current Liabilities
Non-Current Liabilities - Note 4
| Current Period | Prior Period | Movement $ | Movement % |
Total Non-Current Liabilities | | | | |
Net Tangible Asset Return
Return Date:
Long Term Borrowings
Non-Current Liabilities: Long Term Borrowings - Note 4(a)
| Current Period | Prior Period | Movement $ | Movement % |
Bank Loans (provide names of lenders) |
| | | | |
Other Loans (provide names of lenders) |
| | | | |
Subordinated Loans (provide names of lenders) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Related/Associated Company Payables
Non-Current Liabilities: Related/Associated Company Payables - Note 4(b)
| Current Period | Prior Period | Movement $ | Movement % |
Loans (provide names of related parties) |
| | | | |
Payables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Other Non Current Liabilities
Non-Current Liabilities: Other - Note 4(c)
| Current Period | Prior Period | Movement $ | Movement % |
Provision for Income Tax | | | | |
Provision for Long Service Leave | | | | |
Provision for Dividend | | | | |
Deferred Taxation Liability | | | | |
Lease Liability | | | | |
Other Payables | | | | |
Other Accruals & Sundry Provisions | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Net Tangible Asset Return
Return Date:
Equity
Equity - Note 5
| Current Period | Prior Period | Movement $ | Movement % |
Voting Shares | | | | |
Non-Voting Shares | | | | |
Other (provide details) |
| | | | |
TOTAL | | | | |
Net Tangible Asset Return
Return Date:
Reserves & Retained Earnings
Reserves & Retained Earnings - Note 6
| Current Period | Prior Period | Movement $ | Movement % |
Accumulated Profits / (Losses) at beginning of month | | | | |
Profit / (Loss) from Futures Operations for the month | | | | |
Profit / (Loss) from Rest of Operations for the month | | | | |
Accumulated Profits / (Losses) at end of month | | | | |
Adjustment to Retained Earnings - Increases (provide details) |
| | | | |
Adjustment to Retained Earnings - Decreases (provide details) |
| | | | |
Other Revenue Reserves | | | | |
Capital Reserves | | | | |
Dividend | | | | |
Other (provide details) |
| | | | |
Total | | | | |
Net Tangible Asset Return
Return Date:
Approved Subordinated Debt
Approved Subordinated Debt - Note 7
Lender | Maturity | Facility Limit | Current Period | Prior Period | Movement $ | Movement % |
Total | | | | |
Net Tangible Asset Return
Return Date:
Contingent Liabilities
Contingent Liabilities - Note 8
| Current Period | Prior Period | Movement $ | Movement % |
Guarantees (provide details) |
| | | | |
Other (provide details) |
| | | | |
TOTAL | | | | |
Net Tangible Asset Return
Return Date:
Lease Commitments
Lease Commitments - Note 9
| Current Period | Prior Period | Movement $ | Movement % |
Operating Leases (provide details) |
| | | | |
TOTAL | | | | |
Net Tangible Asset Return
Return Date:
CEC – Capital Expenditure Commitments
Capital Expenditure Commitments - Note 10
| Current Period | Prior Period | Movement $ | Movement % |
| | | | |
TOTAL | | | | |
Net Tangible Asset Return
Return Date:
Standby Credit Facilities
Standby Credit Facilities - Note 11
| Limit Amount |
Type | Provider/Participant Name | Terms & Availability | Current Period | Prior Period |
Granted in favour of the Participant: |
| | | | |
Sub Total | | |
Granted by the Participant in favour of other: |
| | | | |
Sub Total | | |
Total | | |
Net Tangible Asset Return
Return Date:
Foreign Exchange Exposure
Foreign Exchange Exposure - Note 12
| Current Period | Prior Period | Movement $ | Movement % |
Net Gain/Loss | | | | |
Net Tangible Asset Return
Return Date:
Receivables Analysis
Receivables Analysis - Attachment A
Amounts Owed by | Current | 30 Days | 60 Days | 90 Days+ | Total Outstanding |
Future Clients | | | | | |
Other Clients | | | | | |
Dealers | | | | | |
Other Receivables | | | | | |
Less Provision for Doubtful Debt | | | | | |
Sub Total | | | | | |
Ageing Analysis % | | | | | |
Net Tangible Asset Return
Return Date:
Directors
Directors - Attachment B
Current Period | Prior Period |
Board Directors (Full Name) |
| |
| |
Company Secretary (Full Name) |
| |
CEO (Full Name) |
| |
Net Tangible Asset Return
Return Date:
Shareholders
Shareholders - Attachment C
Voting |
Class of Shares | Value per Share | Shareholder Name | Number of Shares | Current Period | Prior Period |
| | | | | |
Voting Total | | | |
Non-Voting |
Class of Shares | Value per Share | Shareholder Name | Number of Shares | Current Period | Prior Period |
| | | | | |
Non-Voting Total | | | |
Total Contributed Equity | | | |
Net Tangible Asset Return
Return Date:
Related/Associated Company Receivables
Related/Associated Company Receivables - Attachment D
Current Assets |
Name of Related/Associated Company | Evidence Provided | Current Period | Prior Period |
| | | |
Sub Total | | |
Non - Current Assets |
| | | |
Sub Total | | |
Total | | |
Net Tangible Asset Return
Return Date:
Net Liquid Assets
Statement of Net Liquid Assets - Attachment E
| Note | Current Period | Prior Period | Movement $ | Movement % |
Liquid Assets |
Cash at Bank and on Hand | | | | | |
Deposits with ASX Clear (Futures) | | | | | |
Deposits with ASX Clear | | | | | |
Deposits with other Participants | | | | | |
Investments with authorised Institutions (24 hour call or better) | | | | | |
Other Investments (24 hour call or better) | | | | | |
Deposits with a Stock Exchange | | | | | |
Government & Semi- Government Securities | | | | | |
Bank Accepted Bills | | | | | |
Listed Securities | | | | | |
Other (provide details) |
| | | | | |
Total Liquid Assets | | | | |
Liquid Liability |
Other Clients | | | | | |
Other Creditors - at call | | | | | |
Client Credit Margins (if mark to market not used) | | | | | |
Loans & Deposits - at call | | | | | |
Bank Overdraft | | | | | |
Other (provide details) |
| | | | | |
Total Liquid Liabilities | | | | |
Current Net Liquid Assets | | | | |
Net Tangible Asset Return
Return Date:
Secured Creditors
Statement of Secured Creditors - Attachment F
| Note | Nature & Extent of Security | Terms | Granted in favour of | Current Period | Prior Period |
Current Liabilities |
Bank Overdraft | | | | | | |
Bank Loans | | | | | | |
Loans & Deposits | | | | | | |
Related/Associate d Company Payables | | | | | | |
Other (provide details) |
| | | | | | |
Total Current Liabilities | | |
Non-Current Liabilities |
Bank Overdraft | | | | | | |
Bank Loans | | | | | | |
Loans & Deposits | | | | | | |
Related/Associate d Company Payables | | | | | | |
Other (provide details) |
| | | | | | |
Total Non-Current Liabilities | | |
Total Secured Creditors | | |
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 10 Part 2: NTA Requirements - Directors' Declaration to the Monthly Return
Return Date:
DIRECTORS STATEMENT RELATING TO THE ACCOUNTS OF A PARTICIPANT
Participant: …………………
(a) This return is for the ………………
(b) The Participant is incorporated in ……………….. (the Place of Incorporation).
(c) The assets and liabilities of each company controlled by the Participant, or any other venture in which the Participant has a financial interest <are/are not> in our opinion such as to affect adversely
to a material extent the Participant’s financial position.
(d) In my/our opinion, the 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 Participant.
(e) No events have occurred or are anticipated up to the date of this statement which in my/our opinion may result in a significant deterioration in the financial stability of the Participant and there are
reasonable grounds to believe the Participant will be able to meet its obligations as and when they fall due.
(f) The return associated with this statement as identified in (a) above is a true extract from our
financial statement.
(g) I/we certify that the Balance Sheet has, to the best of my/our knowledge and belief, been drawn to comply with:
(i) the requirements of sections 988A and 988B of the Corporations Act 2001 or equivalent legislation in the Place of Incorporation (as applicable); and
(ii) the accounting standards generally accepted in ……………….; and
(iii) the ASX Clear Operating Rules or the ASIC Market Integrity Rules (ASX Market) 2010 (each, the Rules) (as applicable).
(h) I/we certify that the net tangible assets calculation has to the best of my/our knowledge and belief,
been drawn to comply with the requirements of the Rules.
(i) Since the date of the last reporting statement the Participant <has/has not> been in compliance with the minimum net tangible assets requirements for ASX Market Participants or ASX Clear Direct or
General Participants (as applicable).
(j) I/we are aware that a false declaration may result in disciplinary action being taken against the
Participant and should the return be submitted after the due date, the Participant may be liable to a fee or penalty.
I/We certify that the above information is to the best of my/our knowledge and belief true and correct.
Return Date:
Financial Return Authorisation
Sole Director Company: | |
Board Resolution Date | |
Authorisation 1 | |
Authorisation Date 1 | |
Authorisation 2 | |
Authorisation Date 2 | |
Sch 1C Form 11 Pt 1
Annual Audited NTA Return
Return Date:
Return Details
Participant Type:
Participant Sub-Type:
Return Status:
Version:
Lodgement Date:
Original Lodgement Date:
Annual Audited NTA Return
Return Date:
NTA Return Details
Statement of Net Tangible Assets
| Note | Current Period | Prior Period | Movement $ | Movement % |
Current Assets | 1 | | | | |
less Current Liabilities | 2 | | | | |
Net Current Assets (working capital) | | | | | |
|
Non Current Assets | 3 | | | | |
less Non Current Liabilities | 4 | | | | |
Net Assets | | | | | |
Shareholder's Equity funded by: |
Equity | 5 | | | | |
Reserves & Retained earnings | 6 | | | | |
Approved Subordinated Debt | 7 | | | | |
Total Shareholder's Equity | | | | | |
less Excluded/Intangible Assets | 3f | | | | |
Net Tangible Assets | | | | | |
|
Contingent Liabilities | 8 | | | | |
Lease Commitments | 9 | | | | |
Capital Commitments | 10 | | | | |
Net Standby Credit Facilities | 11 | | | | |
Foreign Exchange Exposure | 12 | | | | |
Annual Audited NTA Return
Return Date:
Current Assets
Current Assets - Note 1
| Current Period | Prior Period | Movement $ | Movement % |
Total Current Assets | | | | |
Annual Audited NTA Return
Return Date:
Receivables
Current Assets: Receivables- Note 1(a)
| Current Period | Prior Period | Movement $ | Movement % |
|
Futures Clients | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Other Clients | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Dealers | | | | |
less provision for doubtful debts | | = | | | = | | | |
|
Other Receivables | | | | |
less provision for doubtful debts | | = | | | = | | | |
Sub Total | | | | | |
Annual Audited NTA Return
Return Date:
Cash
Current Assets: Cash - Note 1(b)
| Current Period | Prior Period | Movement $ | Movement % |
Cash at Bank (general accounts) | | | | |
Clients' Segregated Account at Bank | | | | |
Trust Account at Bank | | | | |
Cash on Hand | | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Deposits
Current Assets: Deposits - Note 1(c) |
| Current Period | Prior Period | Movement $ | Movement % |
Deposits with ASX Clear - Client Account | | | | |
Deposits with ASX Clear - House Account | | | | |
Deposits with ASX Clear (Futures) - Client Account | | | | |
Deposits with ASX Clear (Futures) - House Account | | | | |
Deposits with ASX Clear Participant | | | | |
Deposits with ASX Clear (Futures) Participant(s) - Client | | | | |
Deposits with ASX Clear (Futures) Participant(s) - House | | | | |
Deposits with ASX Participant | | | | |
Deposits with ASX 24 Participant(s) - Client | | | | |
Deposits with ASX 24 Participant(s) - House | | | | |
Deposits with Overseas Brokers - Client | | | | |
Deposits with Overseas Brokers - House | | | | |
Client funds invested in accordance with legislation | | | | |
Deposits with a stock exchange | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Company Related
Current Assets: Related/Associated Company Receivables - Note 1(d)
| Current Period | Prior Period | Movement $ | Movement % |
Deposits (provide names of related parties) |
| | | | |
Loans (maturing within 12 months) (provide names of related parties) |
| | | | |
Receivables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Other Current Assets
Current Assets: Other - Note 1(e)
| Current Period | Prior Period | Movement $ | Movement % |
Listed Securities (at stated value) |
At market value | | | | |
At cost value | | | | |
At other value (provide details) |
| | | | |
Investment in subsidiaries | | | | |
Investment in associated Companies | | | | |
Bills of Exchange | | | | |
Government & semi-Government Securities | | | | |
Prepayments | | | | |
Loans to Directors | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Current Liabilities
Current Liabilities: Total - Note 2
| Current Period | Prior Period | Movement $ | Movement % |
Total Current Liabilities | | | | |
Annual Audited NTA Return
Return Date:
Section Name
Current Liabilities: Trade & other Payables - Note 2(a)
| Current Period | Prior Period | Movement $ | Movement % |
Futures Clients - External | | | | |
Futures Clients - Related/Associated | | | | |
Other Clients | | | | |
Dealers | | | | |
Lease Liability | | | | |
Sundry Payables | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Short Term Borrowings
Current Liabilities: Short Term Borrowings - Note 2(b)
| Current Period | Prior Period | Movement $ | Movement % |
Bank Overdraft (provide lender names) |
| | | | |
Bank Loans (provide lender names) |
| | | | |
At call (provide lender names) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Related / Associated Company Payables
Current Liabilities: Related/Associated Company Payables - Note 2(c)
| Current Period | Prior Period | Movement $ | Movement % |
Loans (due within 12 months) (provide names of related parties) |
| | | | |
Payables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Other Current Liabilities
Current Liabilities: Other - Note 2(d)
| Current Period | Prior Period | Movement $ | Movement % |
Provision for Income Tax | | | | |
Provision for Dividend | | | | |
Provision for Annual Leave | | | | |
Provision for long Service Leave | | | | |
Sundry Provisions | | | | |
Sundry Accruals | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Non Current Assets
Non-Current Assets: Total - Note 3
| Current Period | Prior Period | Movement $ | Movement % |
Total Non-Current Assets | | | | |
Annual Audited NTA Return
Return Date:
Property, Plant & Equipment
Non-Current Assets: Property, Plant & Equipment - Note 3(a)
| Current Period | Prior Period | Movement $ | Movement % |
Land & Buildings - at fair value / cost | | | | |
less accumulated depreciation | | = | | | = | | | |
|
Leasehold Improvement - at fair value / cost | | | | |
less accumulated depreciation | | = | | | = | | | |
|
Plant, vehicles, fixtures & fittings | | | | |
less accumulated depreciation | | = | | | = | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Financial Assets
Non-Current Assets: Financial Assets - Note 3(b)
| Current Period | Prior Period | Movement $ | Movement % |
Government & semi-Government Securities | | | | |
Listed Securities (at stated value) |
At market value | | | | |
At cost value | | | | |
At other value (provide details) |
| | | | |
Investment in subsidiaries | | | | |
Investment in associated Companies | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Loans & Deposits
Non-Current Assets: Loans & Deposits - Note 3(c)
| Current Period | Prior Period | Movement $ | Movement % |
Due between 1-2 years (provide names of parties loan/deposit held with) |
| | | | |
Due after 2 years (provide names of parties loan/deposit held with) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Related / Associated company Receivables
Non-Current Assets: Related/Associated Company Receivables - Note 3(d)
| Current Period | Prior Period | Movement $ | Movement % |
Deposits (provide names of related parties) |
| | | | |
Loans (provide names of related parties) |
| | | | |
Receivables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Other Non Current Assets
Non-Current Assets: Other - Note 3(e)
| Current Period | Prior Period | Movement $ | Movement % |
Prepayments | | | | |
Loans to Directors | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Excluded / Intangible Assets
Non-Current Assets: Excluded/Intangible Assets - Note 3(f)
| Current Period | Prior Period | Movement $ | Movement % |
Formation Costs | | | | |
Goodwill | | | | |
Patents, Trademarks & Preliminary Expenses | | | | |
Deferred Tax Assets | | | | |
Participant Rights / Access Membership to: |
ASX 24 | | | | |
ASX | | | | |
ASX Clear (Futures) | | | | |
ASX Clear | | | | |
Other Exchanges / Clearing Houses (provide details) |
| | | | |
Unlisted Securities (provide details) |
| | | | |
ASX Clear Participant commitment | | | | |
ASX Clear (Futures) Participant commitment (cash only) | | | | |
Other commitments (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Non Current Liabilities
Non-Current Liabilities - Note 4
| Current Period | Prior Period | Movement $ | Movement % |
Total Non-Current Liabilities | | | | |
Annual Audited NTA Return
Return Date:
Long Term Borrowings
Non-Current Liabilities: Long Term Borrowings - Note 4(a)
| Current Period | Prior Period | Movement $ | Movement % |
Bank Loans (provide names of lenders) |
| | | | |
Other Loans (provide names of lenders) |
| | | | |
Subordinated Loans (provide names of lenders) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Related/Associated Company Payables
Non-Current Liabilities: Related/Associated Company Payables - Note 4(b)
| Current Period | Prior Period | Movement $ | Movement % |
Loans (provide names of related parties) |
| | | | |
Payables (provide names of related parties) |
| | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Other Non Current Liabilities
Non-Current Liabilities: Other - Note 4(c)
| Current Period | Prior Period | Movement $ | Movement % |
Provision for Income Tax | | | | |
Provision for Long Service Leave | | | | |
Provision for Dividend | | | | |
Deferred Taxation Liability | | | | |
Lease Liability | | | | |
Other Payables | | | | |
Other Accruals & Sundry Provisions | | | | |
Other (provide details) |
| | | | |
Sub Total | | | | |
Annual Audited NTA Return
Return Date:
Equity
Equity - Note 5
| Current Period | Prior Period | Movement $ | Movement % |
Voting Shares | | | | |
Non-Voting Shares | | | | |
Other (provide details) |
| | | | |
TOTAL | | | | |
Annual Audited NTA Return
Return Date:
Reserves & Retained Earnings
Reserves & Retained Earnings - Note 6
| Current Period | Prior Period | Movement $ | Movement % |
Accumulated Profits / (Losses) at beginning of month | | | | |
Profit / (Loss) from Futures Operations for the month | | | | |
Profit / (Loss) from Rest of Operations for the month | | | | |
Accumulated Profits / (Losses) at end of month | | | | |
Adjustment to Retained Earnings - Increases (provide details) |
| | | | |
Adjustment to Retained Earnings - Decreases (provide details) |
| | | | |
Other Revenue Reserves | | | | |
Capital Reserves | | | | |
Dividend | | | | |
Other (provide details) |
| | | | |
Total | | | | |
Annual Audited NTA Return
Return Date:
Approved Subordinated Debt
Approved Subordinated Debt - Note 7
Lender | Maturity | Facility Limit | Current Period | Prior Period | Movement $ | Movement % |
Total | | | | |
Annual Audited NTA Return
Return Date:
Contingent Liabilities
Contingent Liabilities - Note 8
| Current Period | Prior Period | Movement $ | Movement % |
Guarantees (provide details) |
| | | | |
Other (provide details) |
| | | | |
TOTAL | | | | |
Annual Audited NTA Return
Return Date:
Lease Commitments
Lease Commitments - Note 9
| Current Period | Prior Period | Movement $ | Movement % |
Operating Leases (provide details) |
| | | | |
TOTAL | | | | |
Annual Audited NTA Return
Return Date:
CEC – Capital Expenditure Commitments
Capital Expenditure Commitments - Note 10
| Current Period | Prior Period | Movement $ | Movement % |
| | | | |
TOTAL | | | | |
Annual Audited NTA Return
Return Date:
Standby Credit Facilities
Standby Credit Facilities - Note 11
| Limit Amount |
Type | Provider/Participant Name | Terms & Availability | Current Period | Prior Period |
Granted in favour of the Participant: |
| | | | |
Sub Total | | |
Granted by the Participant in favour of other: |
| | | | |
Sub Total | | |
Total | | |
Annual Audited NTA Return
Return Date:
Foreign Exchange Exposure
Foreign Exchange Exposure - Note 12
| Current Period | Prior Period | Movement $ | Movement % |
Net Gain/Loss | | | | |
ASIC Market Integrity Rules (ASX Market) Amendment 2011 (No. 2)
Schedule 1C Form 11 Part 2: NTA Requirements - Directors' Declaration to the Annual Audited Return
Return Date:
DIRECTORS STATEMENT RELATING TO THE ACCOUNTS OF A PARTICIPANT
Participant: …………………
(a) This return is for the ………………
(b) The Participant is incorporated in ……………….. (the Place of Incorporation).
(c) The assets and liabilities of each company controlled by the Participant, or any other venture in which the Participant has a financial interest <are/are not> in our opinion such as to affect adversely to a material extent the Participant’s financial position.
(d) In my/our opinion, the 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 Participant.
(e) No events have occurred or are anticipated up to the date of this statement which in my/our opinion may result in a significant deterioration in the financial stability of the Participant and there are reasonable grounds to believe the participant will be able to meet its obligations as and when they fall due.
(f) The return associated with this statement as identified in (a) above is a true extract from our financial statement and the attached Auditor’s Report is a true copy of the Auditor’s Report thereon.
(g) I/we certify that the Balance Sheet has, to the best of my/our knowledge and belief, been drawn to comply with:
(i) the requirements of sections 988A and 988B of the Corporations Act 2001 or equivalent legislation in the Place of Incorporation (as applicable); and
(ii) the accounting standards generally accepted in ……………….; and
(iii) the ASX Clear Operating Rules or the ASIC Market Integrity Rules (ASX Market) 2010 (each, the Rules) (as applicable).
(h) I/we certify that the net tangible assets calculation has to the best of my/our knowledge and belief, been drawn to comply with the requirements of the Rules.
(i) For the period covering the Annual Audited Return the Participant <has/has not> been in compliance with the minimum net tangible assets requirements for ASX Market Participants or ASX Clear Direct or General Participants (as applicable).
(j) I/we are aware that a false declaration may result in disciplinary action being taken against the Participant and should the return be submitted after the due date, the Participant may be liable to a fee or penalty.
I/We certify that the above information is to the best of my/our knowledge and belief true and correct.
Return Date:
Financial Return Authorisation
Sole Director Company: | |
Board Resolution Date | |
Authorisation 1 | |
Authorisation Date 1 | |
Authorisation 2 | |
Authorisation Date 2 | |
