Securities Industry Regulations
3Secured assets/liabilities—associated persons
Start here
Get a plain-English read of 3
Turn the raw legal text into a practical explanation grounded in Securities Industry Regulations.
3 Secured assets/liabilities—associated persons
(a) Current assets—
Secured amounts included in the following categories (state in each case the nature and extent of the security, and show the market value).
| Amount | Nature and extent of security | Market value of security | |
|---|---|---|---|
| Partners ........................ | .......... | ||
| Partners' immediate families, family companies and trusts | |||
| Employees, employees' immediate families, | .......... | ||
| family companies and trusts .......... | .......... | ||
| Other associated persons ............. | .......... |
(b) Non-current assets—
Secured amounts included in the following categories (state in each case the nature and extent of the security, and show the market value).
| Amount | Nature and extent of security | Market value of security | |
|---|---|---|---|
| Partners ........................ | .......... | ||
| Partners' immediate families, family companies and trusts | .......... | ||
| Employees, employees' immediate families, family companies and trusts | .......... | ||
| Other associated persons ............. | .......... |
(c) Current liabilities
Secured amounts included in the following categories (state in each case the nature and extent of the security, the market value, and whether or not the security asset is owned by the dealer or, where he carries on business in partnership, by the firm).
| Amount | Nature and extent of security | Market value of security disclosed in Balance Sheet | Market value of security not owned by dealer or firm | |
|---|---|---|---|---|
| Partners ............... |