Component of the CRR that is the NMFIM amount greater than 10 business days
Financial Return Authorisation
| Sole Director Company: | |
| Board Resolution Date | |
| Authorisation 1 | |
| Authorisation Date 1 | |
| Authorisation 2 | |
| Authorisation Date 2 | |
Schedule 1C Form 2 Part 2: Risk-Based Capital Requirements –Risk-Based Return Declaration
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) Since the date of the last reporting statement the Participant <has/has not> been in compliance with the capital requirements.** /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.
Each reference in that Risk-Based Return Declaration to the ASIC Market Integrity Rules (ASX Market) 2010 is taken to be a reference to the ASIC Market Integrity Rules (Securities Markets – Capital) 2017 (see Rule 9.4.2(2)).
** This statement to be included in Risk-Based Return Declarations related to the Summary Risk-Based Return and Monthly Risk-Based Return.
*** This statement to be included in the Risk-Based Return Declarations related to the Annual Audited Risk-Based Return.
Financial Return Authorisation
| Sole Director Company: | |
| Board Resolution Date | |
| Authorisation 1 | |
| Authorisation Date 1 | |
| Authorisation 2 | |
| Authorisation Date 2 | |
Sch 1C Form 3A Pt 1 Risk-Based Return (Summary, Monthly and Annual)