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{"sheet":"Form 1 Main","index":0,"n_rows":72,"n_cols":12,"rows_kept":72,"cut":false,"hidden":false,"merged":[[71,1,71,4],[1,1,1,9],[4,4,4,7],[2,1,2,9],[69,2,69,8],[15,6,15,8],[13,6,13,8],[17,6,17,8],[22,6,22,8],[5,1,5,10],[70,2,70,8],[9,1,9,7]]}
[null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"SECURITIES AND FUTURES ORDINANCE (CAP.571)"]
[null,"SECURITIES AND FUTURES (FINANCIAL RESOURCES) RULES (CAP.571N)"]
[null,null,null,null,"    *",null,"[1000]","FINANCIAL RETURN (Note 1)"]
[]
[null,"(Made for the purposes of compliance with the requirements of section 145 of the Securities and Futures Ordinance (Cap.571) as amplified in section 56 of the Securities and Futures (Financial Resources) Rules (Cap.571N))"]
[]
[]
[null,"FORM 1","LIQUID CAPITAL COMPUTATION"]
[]
[]
[]
[]
[null,"(1)","Name of licensed corporation",null,null,null,null,null,null,"[1001]"]
[]
[null,null,"CE number",null,null,null,null,null,null,"[1002]"]
[]
[null,"(2)","Business name",null,null,null,"",null,null,"[1003]"]
[null,null,"(if different from item (1))"]
[]
[null,"(3)","Reporting month (mm/yyyy)",null,null,null,null,null,null,"[1004]",null,""]
[]
[null,null,"Please specify the reporting date (dd/mmm/yyyy)",null,null,null,null,null,null,"[1005]"]
[null,null,"if the financial return is not made up to the calendar month-end date"]
[]
[null,"(4)","Type(s) of regulated activity(ies) for which the licensed corporation is licensed (select where appropriate)"]
[]
[null,null,"Type 1:"]
[null,null,null,"(a)  Dealing in securities and it does not provide securities margin financing",null,null,null,null,null,null,"[1006A]","N"]
[null,null,null,"(b)  Dealing in securities and it provides securities margin financing",null,null,null,null,null,null,"[1006B]","N"]
[null,null,null,"(c)  Dealing in securities solely as a trader",null,null,null,null,null,null,"[1006C]","N"]
[null,null,null,"(d)  Dealing in securities solely as an approved introducing agent",null,null,null,null,null,null,"[1006D]","N"]
[]
[null,null,"Type 2:"]
[null,null,null,"(a)  Dealing in futures contracts",null,null,null,null,null,null,"[1006E]","N"]
[null,null,null,"(b)  Dealing in futures contracts as a futures non-clearing dealer",null,null,null,null,null,null,"[1006F]","N"]
[null,null,null,"(c)  Dealing in futures contracts solely as a trader",null,null,null,null,null,null,"[1006G]","N"]
[null,null,null,"(d)  Dealing in futures contracts solely as an approved introducing agent",null,null,null,null,null,null,"[1006H]","N"]
[]
[null,null,"Type 3:"]
[null,null,null,"(a)  Leveraged foreign exchange trading",null,null,null,null,null,null,"[1006I]","N"]
[null,null,null,"(b)  Leveraged foreign exchange trading solely as an approved introducing agent",null,null,null,null,null,null,"[1006J]","N"]
[]
[null,null,"Type 4: "]
[null,null,null,"(a)  Advising on securities and it is subject to specified licensing condition (Note 2)",null,null,null,null,null,null,"[1006K]","N"]
[null,null,null,"(b)  Advising on securities and it is not subject to specified licensing condition",null,null,null,null,null,null,"[1006L]","N"]
[]
[null,null,"Type 5: "]
[null,null,null,"(a)  Advising on futures contracts and it is subject to specified licensing condition",null,null,null,null,null,null,"[1006M]","N"]
[null,null,null,"(b)  Advising on futures contracts and it is not subject to specified licensing condition",null,null,null,null,null,null,"[1006N]","N"]
[]
[null,null,"Type 6:"]
[null,null,null,"(a)  Advising on corporate finance and it is subject to specified licensing condition",null,null,null,null,null,null,"[1006O]","N"]
[null,null,null,"(b)  Advising on corporate finance and it is not subject to specified licensing condition",null,null,null,null,null,null,"[1006P]","N"]
[]
[null,null,"Type 7:"]
[null,null,null,"Providing automated trading services",null,null,null,null,null,null,"[1006Q]","N"]
[]
[null,null,"Type 8:"]
[null,null,null,"Securities margin financing",null,null,null,null,null,null,"[1006R]","N"]
[]
[null,null,"Type 9:"]
[null,null,null,"(a)  Asset management and it is subject to specified licensing condition",null,null,null,null,null,null,"[1006S]","N"]
[null,null,null,"(b)  Asset management and it is not subject to specified licensing condition",null,null,null,null,null,null,"[1006T]","N"]
[]
[null,null,"Type 10:"]
[null,null,null,"(a)  Providing credit rating services and it is subject to specified licensing condition",null,null,null,null,null,null,"[1006U]","N"]
[null,null,null,"(b)  Providing credit rating services and it is not subject to specified licensing condition",null,null,null,null,null,null,"[1006V]","N"]
[]
[null,"Note 1: ","The financial return is to be submitted on semi-annual basis by a licensed corporation licensed for one or more of the regulated activities of advising on securities, advising on futures contracts, advising on corporate finance and/or asset management and where the licensed corporation is subject to specified licensing condition.  Other licensed corporations shall submit the financial returns on monthly basis, save for some forms which are due on quarterly basis.  Please refer to section 56 of the Securities and Futures (Financial Resources) Rules for submission requirements."]
[null,"Note 2: ","For the purpose of the financial return, unless specified otherwise, specified licensing condition refers to the licensing condition that the licensed corporation shall not hold client assets."]
[null,"        * Select where appropriate"]

{"sheet":"Form 1 Assets","index":1,"n_rows":96,"n_cols":9,"rows_kept":96,"cut":false,"hidden":false,"merged":[[66,8,67,8],[12,8,15,8],[16,5,20,5],[16,8,20,8],[61,6,62,6],[61,7,62,7],[63,6,64,6],[63,7,64,7],[16,7,20,7],[38,7,42,7],[66,5,67,5],[0,0,0,4],[48,6,56,6],[48,7,56,7],[21,6,25,6],[21,7,25,7],[26,6,29,6],[26,7,29,7],[38,6,42,6],[30,6,33,6],[3,6,3,7],[16,2,16,3],[21,4,22,4],[34,6,37,6],[9,4,10,4],[4,4,5,4],[4,2,4,3],[94,6,97,6],[94,7,97,7],[92,6,93,6],[92,7,93,7],[88,6,91,6],[88,7,91,7],[9,6,11,6],[9,7,11,7],[12,6,15,6],[12,7,15,7],[43,7,47,7],[16,6,20,6],[43,6,47,6],[94,8,97,8],[12,5,15,5],[82,8,84,8],[88,5,91,5],[86,6,87,6],[86,7,87,7],[69,7,70,7],[82,6,84,6],[82,7,84,7],[71,6,76,6],[71,7,76,7],[78,6,79,6],[78,7,79,7],[69,6,70,6],[59,6,60,6],[66,6,67,6],[77,4,78,4],[16,4,17,4],[30,7,33,7],[34,7,37,7],[59,7,60,7],[66,7,67,7]]}
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[]
[]
[null,null,null,null,null,null,"Amounts included in"]
[null,"Item","Assets",null,"section ref. \n(Note 3)",null,"Liquid capital computation","Balance sheet"]
[null,null,null,null,null,null,"(HK$'000)","(HK$'000)"]
[null,5,"Bank balances",null,"20"]
[null,null,"-","held in segregated accounts",null,"[1007]",0,0,"[1008]"]
[null,null,"-","held in other accounts and cash in hand (Note 4)",null,"[1009]",0,0,"[1010]"]
[null,6,"Amounts receivable from",null,"22(1) & (2)",null,0,0]
[null,null,null,"margin clients (Note 5)"]
[null,null,null,null,null,"[1011]",null,null,"[1012]"]
[null,7,"Amounts receivable from",null,"21(5)","[1013]",0,0,"[1014]"]
[null,null,null,"clients for subscription of securities"]
[]
[]
[null,"8","Amounts receivable from ",null,"21(2), (3) & (6)","[1015]",0,0,"[1016]"]
[null,null,null,"rolling balance cash clients"]
[]
[]
[]
[null,"9","Other amounts",null,"21(1), (4) & (6)",null,0,0]
[null,null,null,"receivable from clients arising from"]
[null,null,null,"dealing in securities"]
[]
[null,null,null,null,null,"[1017]",null,null,"[1018]"]
[null,"10","Amounts receivable from",null,"24(2) & 25",null,0,0]
[null,null,null,"licensed corporations licensed"]
[null,null,null,"for securities margin financing"]
[null,null,null,null,null,"[1019]",null,null,"[1020]"]
[null,"11","Proprietary positions in",null,"27",null,0,0]
[null,null,null,"securities and specified investments"]
[]
[null,null,null,null,null,"[1021]",null,null,"[1022]"]
[null,"12","Proprietary positions in",null,"31",null,0,0]
[null,null,null,"exchange-traded unlisted options contracts"]
[]
[null,null,null,null,null,"[1023]",null,null,"[1024]"]
[null,"13","Amounts receivable from",null,"30",null,0,0]
[null,null,null,"clients arising from dealing in exchange-"]
[null,null,null,"traded unlisted options contracts"]
[]
[null,null,null,null,null,"[1025]",null,null,"[1026]"]
[null,"14","Amounts receivable from",null,"23 & 24(1)",null,0,0]
[null,null,null,"other dealers and clearing participants etc. "]
[null,null,null,"in respect of securities"]
[]
[null,null,null,null,null,"[1027]",null,null,"[1028]"]
[null,"15","Amounts receivable from",null,"29",null,0,0]
[null,null,null,"other dealers and clearing participants"]
[null,null,null,"in respect of futures, unlisted options and "]
[null,null,null,"leveraged foreign exchange contracts"]
[]
[]
[]
[]
[null,null,null,null,null,"[1029]",null,null,"[1030]"]
[null,"16","Amounts receivable from",null,"28"]
[null,null,null,"clearing houses"]
[null,null,null,"- Hong Kong Securities Clearing ",null,null,0,0]
[null,null,null,"  Company Limited (\"HKSCC\")",null,"[1031]",null,null,"[1032]"]
[null,null,null,"- The SEHK Options Clearing ",null,null,0,0]
[null,null,null,"  House Limited (\"SEOCH\")",null,"[1033]",null,null,"[1034]"]
[null,null,null,"- HKFE Clearing Corporation ",null,null,0,0]
[null,null,null,"  Limited (\"HKFECC\")",null,"[1035]",null,null,"[1036]"]
[null,null,null,"- Euroclear Bank S.A./N.V.,\n  Euroclear France S.A.,\n  Clearstream Banking S.A.,\n  Clearstream Banking AG or\n  Korea Securities Finance Corporation",null,"[1037]",0,0,"[1038]"]
[null,null,null,"- other clearing houses",null,"[1039]",0,0,"[1040]"]
[]
[]
[]
[]
[null,"17","Amounts receivable from ",null,"34",null,0,0]
[null,null,null,"recognized counterparties"]
[null,null,null,"and floating profits in respect"]
[null,null,null,"of open positions arising from"]
[null,null,null,"leveraged foreign exchange trading"]
[null,null,null,null,null,"[1041]",null,null,"[1042]"]
[null,"18","Other assets arising from",null,"26, 32, 33 & 35"]
[null,null,null,"- advising on securities",null,null,0,0]
[null,null,null,"  and/or futures contracts",null,"[1043]",null,null,"[1044]"]
[null,null,null,"- advising on corporate finance",null,"[1045]",0,0,"[1046]"]
[null,null,null,"- asset management",null,"[1047]",0,0,"[1048]"]
[null,null,null,"- amounts receivable from group",null,null,null,0,"[1049]"]
[null,null,null,"  companies or other related parties"]
[]
[null,null,null,"- provision of credit rating services",null,"[1049A]",0,0,"[1049B]"]
[null,null,null,"- others",null,null,0,0]
[null,null,null,null,null,"[1050]",null,null,"[1051]"]
[null,"19","Total liquid assets",null,null,"[1052]",{"$f":"SUM(G8:G88)","v":0}]
[null,null,null,"(aggregate of amounts in item 5 to 18)"]
[]
[]
[null,"20","Fixed assets",null,null,null,null,0]
[null,null,null,null,null,null,null,null,"[1053]"]
[null,"21","Total assets (aggregate of amounts in items",null,null,null,null,{"$f":"SUM(H8:H94)","v":0},"[1054]"]
[null,null,null,"5 to 18 & 20)"]

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[]
[]
[null,null,null,null,null,null,"Amounts included in"]
[null,"Item","Liabilities",null,"section ref.",null,"Liquid capital computation","Balance sheet"]
[null,null,null,null,null,null,"(HK$'000)","(HK$'000)"]
[null,"22","Short positions in securities and",null,"43(1)","[1055]",0,0]
[null,null,null,"investments held for own account"]
[]
[null,null,null,null,null,null,null,null,"[1056]"]
[null,"23","Amounts payable to clients",null,"37 & 38","[1057]",0,0]
[]
[]
[null,null,null,null,null,null,null,null,"[1058]"]
[null,"24","Amounts payable to",null,"39(2)","[1059]",0,0]
[null,null,null,"securities dealers arising from provision of"]
[null,null,null,"securities margin financing to common clients"]
[]
[]
[null,null,null,null,null,null,null,null,"[1060]"]
[null,"25","Amounts payable to clearing houses",null,"37"]
[null,null,null,"- HKSCC",null,"[1061]",0,0,"[1062]"]
[null,null,null,"- SEOCH",null,"[1063]",0,0,"[1064]"]
[null,null,null,"- HKFECC",null,"[1065]",0,0,"[1066]"]
[null,null,null,"- Euroclear Bank S.A./N.V.,\n  Euroclear France S.A.,\n  Clearstream Banking S.A.,\n  Clearstream Banking AG or \n  Korea Securities Finance Corporation",null,"[1067]",0,0,"[1068]"]
[null,null,null,"- other clearing houses",null,null,0,0]
[null,null,null,null,null,"[1069]",null,null,"[1070]"]
[]
[]
[null,"26","Amounts payable to",null,"37 & 39(1)","[1071]",0,0,"[1072]"]
[null,null,null,"licensed corporations licensed for"]
[null,null,null,"securities margin financing and"]
[null,null,null,"other securities dealers "]
[null,null,null,"in respect of dealing in securities"]
[]
[]
[null,"27","Amounts payable to",null,"37",null,0,0]
[null,null,null,"other dealers and clearing participants"]
[null,null,null,"in respect of dealing in futures and"]
[null,null,null,"unlisted options contracts"]
[]
[null,null,null,null,null,"[1073]",null,null,"[1074]"]
[null,"28","Other payables and liabilities",null,"53(1)(a)\n- (e) & (h)"]
[null,null,null,"- loans and overdrafts from\n  authorized financial institutions",null,"[1075]",0,0,"[1076]"]
[null,null,null,"- loans and overdrafts from other \n  financial institutions",null,"[1077]",0,0,"[1078]"]
[null,null,null,"- amounts payable to group",null,"[1079]",0,0,"[1080]"]
[null,null,null,"  companies or other related parties"]
[]
[]
[null,null,null,"- accruals, amounts payable and",null,null,0,0]
[null,null,null,"  other liabilities other than approved "]
[null,null,null,"  subordinated loan"]
[null,null,null,null,null,"[1081]",null,null,"[1082]"]
[null,"29","Provisions for contingent liabilities and floating losses ",null,"41(1)(b),\n53(1)(f) & (g)","[1083]",0,0,"[1084]"]
[]
[]
[null,"30","Approved subordinated loan",null,"53(2)(a)",null,null,0,"[1085]"]
[]
[]
[null,"31","Ranking liabilities relating to"]
[null,null,null,"- gearing adjustment in respect of","42(2)",null,0]
[null,null,null,"  securities margin financing",null,"[1086]"]
[null,null,null,"- short selling of securities on behalf of clients","43(10)","[1087]",0]
[]
[]
[null,null,null,"- futures & unlisted options contracts","40","[1088]",0]
[]
[null,null,null,"- concentration of margin clients","42(1)","[1089]",0]
[]
[null,null,null,"- increase in amounts in respect of short positions","43(2) - (9)","[1090]",0]
[null,null,null,"  held for own account"]
[]
[null,null,null,"- concentrated proprietary positions","44","[1091]",0]
[null,null,null,"- securities borrowing and lending","45 & 46",null,0]
[null,null,null,"  and repurchase transactions",null,"[1092]"]
[null,null,null,"- introduction of transactions to","51","[1093]",0]
[null,null,null,"  another person for execution or clearing"]
[]
[null,null,null,"- net underwriting commitments","47","[1094]",0]
[]
[]
[null,null,null,"- off-exchange traded derivative","48 & 49","[1095]",0]
[null,null,null,"  contracts and interest rate"]
[null,null,null,"  swap agreements"]
[]
[null,null,null,"- guarantees and other financial commitments","52(1)(a)","[1096]",0]
[]
[null,null,null,"- foreign exchange agreements and","50 & 51A","[1097]",0]
[null,null,null,"  foreign currency positions"]
[]
[null,null,null,"- insufficient margin received","41(1)(a) & 41(2)","[1098]",0]
[null,null,null,"  for leveraged foreign exchange trading"]
[]
[]
[]
[null,null,null,"- miscellaneous ranking liabilities","52(1)(b), (d) & (e)","[1099]",0]
[]
[null,"32","Total liabilities (aggregate of amounts in items 22 to 30)",null,null,null,null,{"$f":"SUM(H7:H59)","v":0},"[1100]"]
[]
[]
[]
[]
[null,"33","Redeemable shares (other than",null,"52(1)(c)","[1101]",0]
[null,null,null,"approved redeemable shares)"]
[null,"34","Total ranking liabilities (aggregate of",null,null,"[1102]",{"$f":"SUM(G7:G104)","v":0}]
[null,null,null,"amounts in items 22 to 29, 31 & 33)"]
[]
[]
[]
[]
[null,"35","Liquid capital (amount in item 19",null,null,"[1103]",{"$f":"'Form 1 Assets'!G89-G105","v":0}]
[null,null,null," less amount in item 34)"]
[]
[]
[null,"36","Required liquid capital",null,"2","[1104]",0]
[]
[]
[null,"37","Excess liquid capital/(Required liquid capital deficit)",null,null,"[1105]",{"$f":"G111-G115","v":0}]
[null,null,null,"(amount in item 35 less amount in item 36)"]
[]
[]
[]
[null,"38","Shareholders' funds (amount in item 21 less",null,null,null,null,0,"[1106]"]
[null,null,null,"amount in item 32) (Note 6)"]
[]
[]
[null,"Note 3:","Unless specified otherwise, references to sections/subsections in the financial return are to sections/subsections of the Securities and Futures (Financial Resources) Rules and are made for the purpose of identifying the amounts to be included in the financial return."]
[]
[null,"Note 4:","Amounts of “bank balances held in other accounts and cash in hand” included in liquid assets are comprised of: "]
[null,null,null,"Bank balances -",null,null,null,"(HK$'000)"]
[null,null,null,"  - Encumbered or pledged",null,null,null,0,"[1107]"]
[null,null,null,"  - Unencumbered",null,null,null,0,"[1108]"]
[null,null,null,"Cash in hand",null,null,null,0,"[1109]"]
[]
[]
[null,null,null,"Amounts included in cell 1009",null,null,null,{"$f":"SUM(H131:H133)","v":0},"[1110]"]
[null,"Note 5:","Margin shortfall under section 22(2) is calculated on:"]
[null,null,"(select where appropriate)"]
[]
[]
[]
[null,"Note 6:","Analysis of shareholders' funds",null,"section ref.",null,null,"(HK$'000)"]
[null,null,"Paid-up share capital",null,"5",null,null,0,"[1113]"]
[]
[null,null,"Retained profits/(accumulated losses)",null,null,null,null,0,"[1114]"]
[]
[null,null,"Other reserves",null,null,null,null,0,"[1115]"]
[]
[]
[]
[null,null,"Amounts included in cell 1106",null,null,null,null,{"$f":"H143+H145+H147","v":0},"[1116]"]

{"sheet":"Declaration","index":3,"n_rows":45,"n_cols":10,"rows_kept":45,"cut":false,"hidden":false,"merged":[[44,2,45,7],[0,0,0,4],[4,1,4,7],[42,2,43,7],[31,2,31,3],[5,2,5,7]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)&\" as of the end of reporting month \"&IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":"  as of the end of reporting month "},null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"DECLARATION"]
[]
[]
[null,"I certify that the information in the following entries, returns, analyses or reports is true and correct to the best of my knowledge and belief.  I also confirm that where I have left blank any entry, return, analysis or report, this signifies a nil return or that the entry, return, analysis or report will not be applicable:"]
[]
[null,null,null,null,null,null,"(Select where appropriate)"]
[null,null,"Forms to be submitted on monthly basis: (Note 1)"]
[null,null,"Form 1","Liquid capital computation",null,null,null,"[1117]",null,"N"]
[null,null,"Form 2","Required liquid capital computation",null,null,null,"[1118]",null,"N"]
[null,null,"Form 3","Credit facility summary",null,null,null,"[1119]",null,"N"]
[null,null,"Form 4","Margin client analysis",null,null,null,"[1120]",null,"N"]
[null,null,"Form 5","Analysis of securities collateral",null,null,null,"[1121]",null,"N"]
[null,null,"Form 6","Rolling balance cash client analysis",null,null,null,"[1122]",null,"N"]
[null,null,"Form 7","Profit and loss account",null,null,null,"[1123]",null,"N"]
[null,null,"Form 8","Analysis of client assets",null,null,null,"[1124]",null,"N"]
[null,null,"Form 9","Foreign currency position of licensed corporation",null,null,null,"[1125]",null,"N"]
[null,null,null,"   licensed for leveraged foreign exchange trading"]
[]
[]
[null,null,"Forms to be submitted on quarterly basis together with monthly financial"]
[null,null,"return for March, June, September and December: (Note 1)"]
[]
[null,null,"Form 10","Report on proprietary derivative positions",null,null,null,"[1126]",null,"N"]
[null,null,"Form 11","List of recognized counterparties",null,null,null,"[1127]",null,"N"]
[null,null,"Form 12","Client profile and aggregate net value of assets",null,null,null,"[1128]",null,"N"]
[null,null,null,"   under management"]
[]
[]
[]
[null,null,"Name of the person who signs the return electronically (Note 2) :"]
[null,null,null,null,"[1130]"]
[]
[null,null,"Capacity* : "]
[null,null,null,null,null,null,null,"[1131]"]
[]
[null,null,"Date : (dd/mmm/yyyy e.g 01/Jan/2009)"]
[null,null,null,"[1132]"]
[]
[null,"      * Select where appropriate"]
[]
[]
[null,"Note 1:  ","A licensed corporation licensed for one or more of the regulated activities of advising on securities, advising on futures contracts, advising on corporate finance and/or asset management and where the licensed corporation is subject to specified licensing condition should submit Forms 1, 2, 7 and 12 on semi-annual basis."]
[]
[null,"Note 2:  ","State the name of the person who signs the return electronically in the manner required by section 56(6) of the Securities and Futures (Financial Resources) Rules."]

{"sheet":"Form 2","index":4,"n_rows":62,"n_cols":15,"rows_kept":62,"cut":false,"hidden":false,"merged":[[61,13,62,13],[7,13,9,13],[47,10,48,10],[52,10,53,10],[54,10,57,10],[58,13,60,13],[25,10,28,10],[29,10,30,10],[40,10,41,10],[42,10,44,10],[23,11,24,11],[61,12,62,12],[54,11,57,11],[58,12,60,12],[47,11,48,11],[52,11,53,11],[23,4,23,8],[12,10,13,10],[15,10,17,10],[18,10,19,10],[23,10,24,10],[19,4,19,7],[2,12,2,13],[18,11,19,11],[7,12,9,12],[12,11,13,11],[15,11,17,11],[25,11,28,11],[29,11,30,11],[42,11,44,11],[40,11,41,11],[44,4,44,7],[31,10,39,10],[31,11,39,11]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 2",null,null,"REQUIRED LIQUID CAPITAL COMPUTATION"]
[null,null,null,null,"AS OF THE END OF REPORTING MONTH",null,null,null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]"]
[]
[]
[null,null,null,null,null,null,null,null,"section ref.",null,null,null,"(HK$'000)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(OR('Form 1 Main'!L45=\"Y\", 'Form 1 Main'!L49=\"Y\", 'Form 1 Main'!L53=\"Y\", 'Form 1 Main'!L63=\"Y\", 'Form 1 Main'!L67=\"Y\"), 100,0)","v":0}]
[null,null,"(I) ","  Floor requirement: HK$100,000, HK$500,000, HK$3,000,000",null,null,null,null,"Table 2",null,null,null,{"$f":"MAX(O7:O10)","v":0},"[2000]",{"$f":"IF(OR('Form 1 Main'!L31=\"Y\", 'Form 1 Main'!L32=\"Y\", 'Form 1 Main'!L36=\"Y\", 'Form 1 Main'!L37=\"Y\", 'Form 1 Main'!L38=\"Y\"), 500,0)","v":0}]
[null,null,null,"    or HK$15,000,000 (A)",null,null,null,null,"in Schedule 1",null,null,null,null,null,{"$f":"IF(OR('Form 1 Main'!L29=\"Y\", 'Form 1 Main'!L30=\"Y\", 'Form 1 Main'!L35=\"Y\", 'Form 1 Main'!L42=\"Y\", 'Form 1 Main'!L46=\"Y\", 'Form 1 Main'!L50=\"Y\", 'Form 1 Main'!L54=\"Y\", 'Form 1 Main'!L57=\"Y\", 'Form 1 Main'!L60=\"Y\", 'Form 1 Main'!L64=\"Y\", 'Form 1 Main'!L68=\"Y\"), 3000,0)","v":0}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF('Form 1 Main'!L41=\"Y\", 15000,0)","v":0}]
[null,null,"(II)","  Variable required liquid capital",null,null,null,null,"2",null,null,"(HK$'000)"]
[]
[null,null,null,"  On-balance sheet liabilities including provisions made for",null,null,null,null,null,null,"[2001]",0]
[null,null,null,"    liabilities already incurred or for contingent liabilities (B)"]
[null,null,null,"  Less: ","Accounts payable to clients for:"]
[null,null,null,null,"-  client money held in segregated account in ",null,null,null,null,null,"[2002]",0]
[null,null,null,null,"   accordance with Securities & Futures (Client"]
[null,null,null,null,"   Money) Rules (C)"]
[null,null,null,null,"-  other client money held in segregated account with",null,null,null,null,null,"[2003]",0]
[null,null,null,null,"   authorized financial institutions and/or with approved \n   banks incorporated outside Hong Kong (D)"]
[]
[]
[]
[null,null,null,null,"-  client money held in segregated account with",null,null,null,null,null,"[2004]",0]
[null,null,null,null,"    futures or options clearing house (E)"]
[null,null,null,null,"Client money held by clearing house other than futures",null,null,null,null,null,"[2005]",0]
[null,null,null,null,"   or options clearing house, clearing participant, futures"]
[null,null,null,null,"   dealer or securities dealer as margin (F)"]
[]
[null,null,null,null,"Approved subordinated loan (G)",null,null,null,null,null,"[2006]",0]
[]
[null,null,null,null,"Amount of liabilities arising from tenancy agreement",null,null,null,null,null,"[2006A]",0]
[null,null,null,null,"   entered into in respect of the premises the licensed"]
[null,null,null,null,"   corporation used in carrying on regulated activity for "]
[null,null,null,null,"   which it is licensed; and is equal to the total value of its"]
[null,null,null,null,"   assets arising from the tenancy agreement which are "]
[null,null,null,null,"   not included in its liquid assets under any provision in "]
[null,null,null,null,"   Division 3 of Part 4 of the Securities and Futures "]
[null,null,null,null,"   (Financial Resources) Rules (H) "]
[]
[null,null,null,"Adjusted liabilities (I) = (B) - (C) - (D) - (E) - (F) - (G) - (H)",null,null,null,null,"2",null,"[2007]",{"$f":"IF(L13-L16-L19-L24-L26-L30-L32 > 0, L13-L16-L19-L24-L26-L30-L32, 0)","v":0}]
[]
[null,null,null,"Add:","Aggregate of initial margin requirements and ",null,null,null,null,null,"[2008]",0]
[null,null,null,null,"amounts of margin required to be deposited in "]
[null,null,null,null,"respect of outstanding futures and unlisted \noptions contracts held on behalf of clients (J)"]
[]
[]
[null,null,null,"Aggregate of adjusted liabilities and clients' margin",null,null,null,null,null,null,"[2009]",{"$f":"L41+L43","v":0}]
[null,null,null,"(K) = (I) + (J)"]
[]
[]
[]
[null,null,null,"Basic amount (L) = (K) x 5%",null,null,null,null,"2",null,"[2010]",{"$f":"ROUND(L48*0.05,0)","v":0}]
[]
[null,null,null,"Add:","1.5% of aggregate gross foreign currency position for",null,null,null,null,null,"[2011]",0]
[null,null,null,null,"licensed corporation licensed for leveraged foreign"]
[null,null,null,null,"exchange trading (M)"]
[]
[null,null,null,"Variable required liquid capital (N) = (L) + (M)",null,null,null,null,null,null,null,null,{"$f":"L53+L55","v":0},"[2012]"]
[]
[]
[null,null,"(III)","  Required liquid capital (being the higher of (A) and (N))",null,null,null,null,"2",null,null,null,0,"[2013]"]

{"sheet":"Form 3","index":5,"n_rows":82,"n_cols":17,"rows_kept":82,"cut":false,"hidden":false,"merged":[[22,12,22,13],[1,10,1,11],[5,5,5,8],[19,12,19,13],[20,12,20,13],[21,12,21,13],[4,3,4,4],[5,10,5,13],[10,12,10,13],[18,12,18,13],[15,12,15,13],[16,12,16,13],[17,12,17,13],[9,12,9,13],[5,3,5,4],[13,12,13,13],[14,12,14,13],[12,12,12,13],[8,12,8,13],[7,12,7,13],[11,12,11,13],[83,4,83,15],[70,4,70,15],[76,5,76,7],[76,8,76,12],[80,5,80,7],[80,8,80,12],[74,3,74,15],[77,3,77,15],[78,3,78,15],[81,3,81,15],[72,3,72,15],[73,3,73,15],[71,3,71,15],[27,12,27,13],[26,12,26,13],[23,12,23,13],[32,12,32,13],[28,12,28,13],[29,12,29,13],[30,12,30,13],[31,12,31,13],[25,12,25,13],[24,12,24,13],[33,12,33,13],[44,12,44,13],[53,12,53,13],[49,12,49,13],[45,12,45,13],[34,12,34,13],[35,12,35,13],[36,12,36,13],[37,12,37,13],[38,12,38,13],[39,12,39,13],[46,12,46,13],[47,12,47,13],[48,12,48,13],[40,12,40,13],[41,12,41,13],[42,12,42,13],[43,12,43,13],[63,3,63,15],[62,13,62,14],[54,12,54,13],[50,12,50,13],[51,12,51,13],[52,12,52,13],[59,12,59,13],[56,12,56,13],[57,12,57,13],[55,12,55,13],[59,3,59,4],[58,12,58,13],[65,3,65,15],[66,3,66,15],[67,3,67,15],[68,3,68,15],[69,3,69,15]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 3",null,null,"CREDIT FACILITY SUMMARY AS OF THE END OF REPORTING MONTH",null,null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]"]
[]
[]
[]
[null,null,null,"Name of financial institution\n(Note 3)",null,"Type of credit facility and limit\n(Note 4)",null,null,null,"Amount drawn or utilized by the licensed corporation\n(Note 1)","Type of security provided\n(Note 5)",null,null,null,"Market value of security provided","Acceptable discounted value of security provided\n(Note 6)"]
[]
[null,null,"Credit facility group (Note 2)","Code of financial institution","Name","Credit facility code","Nature","Maturity or expiry date","Limit",null,"Security code","Type","Name of provider and its relationship with the licensed corporation"]
[null,"Row",null,null,null,null,null,"(dd/mm/yyyy)\n","(HK$'000)\n","(HK$'000)\n",null,null,null,null,"(HK$'000)\n","(HK$'000)\n","Row"]
[null,"[1]",null,"","","","","",0,0,"","","",null,0,0,"[1]"]
[null,"[2]",null,"","","","","",0,0,"","","",null,0,0,"[2]"]
[null,"[3]",null,"","","","","",0,0,"","","",null,0,0,"[3]"]
[null,"[4]",null,"","","","","",0,0,"","","",null,0,0,"[4]"]
[null,"[5]",null,"","","","","",0,0,"","","",null,0,0,"[5]"]
[null,"[6]",null,"","","","","",0,0,"","","",null,0,0,"[6]"]
[null,"[7]",null,"","","","","",0,0,"","","",null,0,0,"[7]"]
[null,"[8]",null,"","","","","",0,0,"","","",null,0,0,"[8]"]
[null,"[9]",null,"","","","","",0,0,"","","",null,0,0,"[9]"]
[null,"[10]",null,"","","","","",0,0,"","","",null,0,0,"[10]"]
[null,"[11]",null,"","","","","",0,0,"","","",null,0,0,"[11]"]
[null,"[12]",null,"","","","","",0,0,"","","",null,0,0,"[12]"]
[null,"[13]",null,"","","","","",0,0,"","","",null,0,0,"[13]"]
[null,"[14]",null,"","","","","",0,0,"","","",null,0,0,"[14]"]
[null,"[15]",null,"","","","","",0,0,"","","",null,0,0,"[15]"]
[null,"[16]",null,"","","","","",0,0,"","","",null,0,0,"[16]"]
[null,"[17]",null,"","","","","",0,0,"","","",null,0,0,"[17]"]
[null,"[18]",null,"","","","","",0,0,"","","",null,0,0,"[18]"]
[null,"[19]",null,"","","","","",0,0,"","","",null,0,0,"[19]"]
[null,"[20]",null,"","","","","",0,0,"","","",null,0,0,"[20]"]
[null,"[21]","","","","","","",0,0,"","","",null,0,0,"[21]"]
[null,"[22]","","","","","","",0,0,"","","",null,0,0,"[22]"]
[null,"[23]","","","","","","",0,0,"","","",null,0,0,"[23]"]
[null,"[24]","","","","","","",0,0,"","","",null,0,0,"[24]"]
[null,"[25]","","","","","","",0,0,"","","",null,0,0,"[25]"]
[null,"[26]","","","","","","",0,0,"","","",null,0,0,"[26]"]
[null,"[27]","","","","","","",0,0,"","","",null,0,0,"[27]"]
[null,"[28]","","","","","","",0,0,"","","",null,0,0,"[28]"]
[null,"[29]","","","","","","",0,0,"","","",null,0,0,"[29]"]
[null,"[30]","","","","","","",0,0,"","","",null,0,0,"[30]"]
[null,"[31]","","","","","","",0,0,"","","",null,0,0,"[31]"]
[null,"[32]","","","","","","",0,0,"","","",null,0,0,"[32]"]
[null,"[33]","","","","","","",0,0,"","","",null,0,0,"[33]"]
[null,"[34]","","","","","","",0,0,"","","",null,0,0,"[34]"]
[null,"[35]","","","","","","",0,0,"","","",null,0,0,"[35]"]
[null,"[36]","","","","","","",0,0,"","","",null,0,0,"[36]"]
[null,"[37]","","","","","","",0,0,"","","",null,0,0,"[37]"]
[null,"[38]","","","","","","",0,0,"","","",null,0,0,"[38]"]
[null,"[39]","","","","","","",0,0,"","","",null,0,0,"[39]"]
[null,"[40]","","","","","","",0,0,"","","",null,0,0,"[40]"]
[null,"[41]","","","","","","",0,0,"","","",null,0,0,"[41]"]
[null,"[42]","","","","","","",0,0,"","","",null,0,0,"[42]"]
[null,"[43]","","","","","","",0,0,"","","",null,0,0,"[43]"]
[null,"[44]","","","","","","",0,0,"","","",null,0,0,"[44]"]
[null,"[45]","","","","","","",0,0,"","","",null,0,0,"[45]"]
[null,"[46]","","","","","","",0,0,"","","",null,0,0,"[46]"]
[null,"[47]","","","","","","",0,0,"","","",null,0,0,"[47]"]
[null,"[48]","","","","","","",0,0,"","","",null,0,0,"[48]"]
[null,"[49]","","","","","","",0,0,"","","",null,0,0,"[49]"]
[null,"[50]","","","","","","",0,0,"","","",null,0,0,"[50]"]
[null,null,null,"Total",null,null,null,"[3000]",{"$f":"SUM(I10:I59)","v":0},{"$f":"SUM(J10:J59)","v":0},"[3001]",null,"[3002]",null,{"$f":"SUM(O10:O59)","v":0},{"$f":"SUM(P10:P59)","v":0},"[3003]"]
[]
[]
[null,null,"Note 1:","(a)  Total financial accommodation obtained by the licensed corporation wholly or partly secured by collateral provided by margin clients:",null,null,null,null,null,null,null,null,"HK$",0,null,"('000) [3004]","."]
[null,null,null,"(b)  Total loans and overdrafts from authorized financial institutions or from other financial institutions reported in this form should respectively equal to cell 1076 or cell 1078 of the \n       balance sheet in Form 1.  "]
[]
[null,null,"Note 2:","Please assign group number to each credit facility in ascending order (i.e. input “1” for group 1, “2” for group 2 and so on) in accordance with the following:"]
[null,null,null,"(a)  each credit facility should be reported in separate row and assigned an unique group number;"]
[null,null,null,"(b)  where one credit facility is secured by more than one type of security, each type of security should be reported in a separate row and the rows in question should be assigned\n       with a common group number; "]
[null,null,null,"(c)  where one type of security is used to secure more than one credit facility, each credit facility should be reported in a separate row and the rows in question should be assigned \n       with a common group number; and/or"]
[null,null,null,"(d)  where one group of credit facilities is secured by different types of securities, please report each credit facility and each type of security in a separate row and the rows in \n       question should be assigned with a common group number."]
[]
[null,null,"Note 3:","Licensed corporation should select the code of financial institution from the pull-down menu.  If name of the financial institution is not available from the pull-down menu, \nplease select code of financial institution \"901\", “902” or “920” as appropriate and specify the name of the financial institution in the space provided."]
[]
[null,null,"Note 4:","Licensed corporation should select the credit facility code from the pull-down menu.  If nature of the credit facility is not available from the pull-down menu, \nplease select credit facility code \"99a\" or “99b” as appropriate and specify the nature of the credit facility in the space provided. "]
[]
[]
[]
[null,null,"Note 5:","Licensed corporation should select the security code from the pull-down menu.  If type of the security is not available from the pull-down menu, \nplease select security code \"99\" and specify the type of the security in the space provided."]
[]
[]
[]
[null,null,"Note 6:","Being the amount of credit facility which the financial institution is prepared to extend against the security provided."]

{"sheet":"Form 4 Table 1","index":6,"n_rows":39,"n_cols":17,"rows_kept":39,"cut":false,"hidden":false,"merged":[[3,9,3,10],[9,7,9,9],[9,10,9,12],[9,13,9,15],[8,7,8,15],[39,2,39,15],[36,2,36,15],[37,2,37,15],[38,2,38,15],[9,6,10,6]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 4   MARGIN CLIENT ANALYSIS"]
[]
[null,"Table 1    By unadjusted loan balance as of the end of reporting month",null,null,null,null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]","(Note 1)"]
[]
[]
[null,"Top 20 margin clients with the largest unadjusted loan balances as of reporting date"]
[]
[null,null,null,null,null,null,null,"Top 3 collateral (Note 2)"]
[null,null,null,null,null,null,"Adjusted loan balance \n(Note 1) \n(HK$'000)\n","Collateral 1",null,null,"Collateral 2",null,null,"Collateral 3"]
[null,"Row","Name of client\n","Ranking","Unadjusted loan balance \n(HK$'000)\n","Collateral market value \n(HK$'000)\n",null,"Name\n","Stock code / sedol no.\n","Market value\n (HK$'000)\n","Name\n","Stock code / sedol no.\n","Market value \n(HK$'000)\n","Name\n","Stock code / sedol no.\n","Market value \n(HK$'000)\n","Row"]
[null,"[1]","",1,0,0,0,"",null,0,"",null,0,"",null,0,"[1]"]
[null,"[2]","",2,0,0,0,"",null,0,"",null,0,"",null,0,"[2]"]
[null,"[3]","",3,0,0,0,"",null,0,"",null,0,"",null,0,"[3]"]
[null,"[4]","",4,0,0,0,"",null,0,"",null,0,"",null,0,"[4]"]
[null,"[5]","",5,0,0,0,"",null,0,"",null,0,"",null,0,"[5]"]
[null,"[6]","",6,0,0,0,"",null,0,"",null,0,"",null,0,"[6]"]
[null,"[7]","",7,0,0,0,"",null,0,"",null,0,"",null,0,"[7]"]
[null,"[8]","",8,0,0,0,"",null,0,"",null,0,"",null,0,"[8]"]
[null,"[9]","",9,0,0,0,"",null,0,"",null,0,"",null,0,"[9]"]
[null,"[10]","",10,0,0,0,"",null,0,"",null,0,"",null,0,"[10]"]
[null,"[11]","",11,0,0,0,"",null,0,"",null,0,"",null,0,"[11]"]
[null,"[12]","",12,0,0,0,"",null,0,"",null,0,"",null,0,"[12]"]
[null,"[13]","",13,0,0,0,"",null,0,"",null,0,"",null,0,"[13]"]
[null,"[14]","",14,0,0,0,"",null,0,"",null,0,"",null,0,"[14]"]
[null,"[15]","",15,0,0,0,"",null,0,"",null,0,"",null,0,"[15]"]
[null,"[16]","",16,0,0,0,"",null,0,"",null,0,"",null,0,"[16]"]
[null,"[17]","",17,0,0,0,"",null,0,"",null,0,"",null,0,"[17]"]
[null,"[18]","",18,0,0,0,"",null,0,"",null,0,"",null,0,"[18]"]
[null,"[19]","",19,0,0,0,"",null,0,"",null,0,"",null,0,"[19]"]
[null,"[20]","",20,0,0,0,"",null,0,"",null,0,"",null,0,"[20]"]
[null,null,"Sub-total","[4000]",{"$f":"SUM(E12:E31)","v":0},{"$f":"SUM(F12:F31)","v":0},{"$f":"SUM(G12:G31)","v":0},"[4002]"]
[null,null,"Other borrowing clients","[4003]",0,0,0,"[4005]"]
[null,null,"Less: General provision for bad or doubtful debts for all margin clients, if any (Note 3)","[4006]",0,null,0,"[4007]"]
[null,null,"Total loan balance after general provision for bad or doubtful debts, if any (Note 3)","[4008]",{"$f":"E32+E33-E34","v":0},{"$f":"F32+F33","v":0},{"$f":"G32+G33-G34","v":0},"[4010]"]
[]
[null," Note 1:","Unadjusted loan balance means the loan balance receivable from each margin client after deducting any specific provision for bad or doubtful debts.  Adjusted loan balance is the amount of loan balance which can be included in liquid assets before deducting any adjustment for concentration of margin clients."]
[null," Note 2:","Please enter the stock code in case of securities listed on the recognized stock market or sedol number in case of other securities."]
[null," Note 3:","Please note that normally no amount is to be reported for general provision for bad or doubtful debts in cell 4007 since the aggregate of amounts reported under cells 4002 and 4005 will represent the total adjusted balance of margin loan receivable to be included as liquid assets.  However, according to section 22(3) of the Securities and Futures (Financial Resources) Rules, where the aggregate of amounts reported under cells 4002 and 4005 exceeds total margin loan receivable less the aggregate of amounts of specific and general provision for bad or doubtful debts (i.e. cell 4008), a balancing figure may be required under cell 4007 such that the total adjusted loan balance included as liquid assets (i.e. cell 4010) shall equal to total margin loan receivable less the aggregate of amounts of specific and general provision for bad or doubtful debts (i.e. cell 4008), if any.\n\nTotal unadjusted loan balance and total adjusted loan balance after general provision for bad or doubtful debts should equal to the amounts reported in cell 1012 and cell 1011 respectively."]

{"sheet":"Form 4 Table 2","index":7,"n_rows":46,"n_cols":6,"rows_kept":46,"cut":false,"hidden":false,"merged":[[6,1,6,5],[43,2,44,5],[45,2,45,5],[39,2,39,3]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 4","MARGIN CLIENT ANALYSIS"]
[]
[null,"Table 2","By adjusted loan balance as of the end of reporting month",null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]"]
[]
[]
[null,"Margin clients with adjusted loan balances larger than 10% of total adjusted loan balance as of reporting date"]
[]
[null,"Row","Group number (Note 1)\n","Name of client (Note 2)\n","Adjusted loan balance\n(HK$'000)\n","Row"]
[null,"[1]",null,"",0,"[1]"]
[null,"[2]",null,"",0,"[2]"]
[null,"[3]",null,"",0,"[3]"]
[null,"[4]",null,"",0,"[4]"]
[null,"[5]",null,"",0,"[5]"]
[null,"[6]",null,"",0,"[6]"]
[null,"[7]",null,"",0,"[7]"]
[null,"[8]",null,"",0,"[8]"]
[null,"[9]",null,"",0,"[9]"]
[null,"[10]",null,"",0,"[10]"]
[null,"[11]",null,"",0,"[11]"]
[null,"[12]",null,"",0,"[12]"]
[null,"[13]",null,"",0,"[13]"]
[null,"[14]",null,"",0,"[14]"]
[null,"[15]",null,"",0,"[15]"]
[null,"[16]",null,"",0,"[16]"]
[null,"[17]",null,"",0,"[17]"]
[null,"[18]",null,"",0,"[18]"]
[null,"[19]",null,"",0,"[19]"]
[null,"[20]",null,"",0,"[20]"]
[null,"[21]",null,"",0,"[21]"]
[null,"[22]",null,"",0,"[22]"]
[null,"[23]",null,"",0,"[23]"]
[null,"[24]",null,"",0,"[24]"]
[null,"[25]",null,"",0,"[25]"]
[null,"[26]",null,"",0,"[26]"]
[null,"[27]",null,"",0,"[27]"]
[null,"[28]",null,"",0,"[28]"]
[null,"[29]",null,"",0,"[29]"]
[null,"[30]",null,"",0,"[30]"]
[null,null,"Total",null,{"$f":"SUM(E10:E39)","v":0},"[4100]"]
[]
[]
[]
[null,"Note 1:","To classify into groups of related margin clients, if any.  For each group of related margin clients, please assign a group number in ascending order, i.e. input “1” for group 1, “2” for group 2 and so on."]
[]
[null,"Note 2:","To provide name of each related client within a group of related margin clients where total adjusted loan balance of the group is larger than 10% of total adjusted loan balance of all margin clients."]

{"sheet":"Form 5","index":8,"n_rows":98,"n_cols":7,"rows_kept":98,"cut":false,"hidden":false,"merged":[[1,1,1,3],[96,2,96,6],[97,2,97,6],[67,2,67,3]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 5  ANALYSIS OF SECURITIES COLLATERAL"]
[null,null,"    AS OF THE END OF REPORTING MONTH",null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]"]
[]
[null,null,null,"Stock code / sedol number (Note 2)\n","Concentration discounting factor\n","Market value (HK$'000)\n(Note 3)\n"]
[null,null,"(A) Name of shares or warrants subject\n       to 80% illiquid collateral haircut"]
[null,"Row","      (Note 1)",null,null,null,"Row"]
[null,"[1]","",null,null,0,"[1]"]
[null,"[2]","",null,null,0,"[2]"]
[null,"[3]","",null,null,0,"[3]"]
[null,"[4]","",null,null,0,"[4]"]
[null,"[5]","",null,null,0,"[5]"]
[null,"[6]","",null,null,0,"[6]"]
[null,"[7]","",null,null,0,"[7]"]
[null,"[8]","",null,null,0,"[8]"]
[null,"[9]","",null,null,0,"[9]"]
[null,"[10]","",null,null,0,"[10]"]
[null,"[11]","",null,null,0,"[11]"]
[null,"[12]","",null,null,0,"[12]"]
[null,"[13]","",null,null,0,"[13]"]
[null,"[14]","",null,null,0,"[14]"]
[null,"[15]","",null,null,0,"[15]"]
[null,"[16]","",null,null,0,"[16]"]
[null,"[17]","",null,null,0,"[17]"]
[null,"[18]","",null,null,0,"[18]"]
[null,"[19]","",null,null,0,"[19]"]
[null,"[20]","",null,null,0,"[20]"]
[null,"[21]","",null,null,0,"[21]"]
[null,"[22]","",null,null,0,"[22]"]
[null,"[23]","",null,null,0,"[23]"]
[null,"[24]","",null,null,0,"[24]"]
[null,"[25]","",null,null,0,"[25]"]
[null,"[26]","",null,null,0,"[26]"]
[null,"[27]","",null,null,0,"[27]"]
[null,"[28]","",null,null,0,"[28]"]
[null,"[29]","",null,null,0,"[29]"]
[null,"[30]","",null,null,0,"[30]"]
[null,"[31]","",null,null,0,"[31]"]
[null,"[32]","",null,null,0,"[32]"]
[null,"[33]","",null,null,0,"[33]"]
[null,"[34]","",null,null,0,"[34]"]
[null,"[35]","",null,null,0,"[35]"]
[null,"[36]","",null,null,0,"[36]"]
[null,"[37]","",null,null,0,"[37]"]
[null,"[38]","",null,null,0,"[38]"]
[null,"[39]","",null,null,0,"[39]"]
[null,"[40]","",null,null,0,"[40]"]
[null,"[41]","",null,null,0,"[41]"]
[null,"[42]","",null,null,0,"[42]"]
[null,"[43]","",null,null,0,"[43]"]
[null,"[44]","",null,null,0,"[44]"]
[null,"[45]","",null,null,0,"[45]"]
[null,"[46]","",null,null,0,"[46]"]
[null,"[47]","",null,null,0,"[47]"]
[null,"[48]","",null,null,0,"[48]"]
[null,"[49]","",null,null,0,"[49]"]
[null,"[50]","",null,null,0,"[50]"]
[null,"[51]","",null,null,0,"[51]"]
[null,"[52]","",null,null,0,"[52]"]
[null,"[53]","",null,null,0,"[53]"]
[null,"[54]","",null,null,0,"[54]"]
[null,"[55]","",null,null,0,"[55]"]
[null,"[56]","",null,null,0,"[56]"]
[null,"[57]","",null,null,0,"[57]"]
[null,"[58]","",null,null,0,"[58]"]
[null,"[59]","",null,null,0,"[59]"]
[null,"[60]","",null,null,0,"[60]"]
[null,null,"(B) Name of shares or warrants whose\n      concentration discounting factor is below 1"]
[null,null,"      (Note 1)"]
[null,"[61]","",null,null,0,"[61]"]
[null,"[62]","",null,null,0,"[62]"]
[null,"[63]","",null,null,0,"[63]"]
[null,"[64]","",null,null,0,"[64]"]
[null,"[65]","",null,null,0,"[65]"]
[null,"[66]","",null,null,0,"[66]"]
[null,"[67]","",null,null,0,"[67]"]
[null,"[68]","",null,null,0,"[68]"]
[null,"[69]","",null,null,0,"[69]"]
[null,"[70]","",null,null,0,"[70]"]
[null,"[71]","",null,null,0,"[71]"]
[null,"[72]","",null,null,0,"[72]"]
[null,"[73]","",null,null,0,"[73]"]
[null,"[74]","",null,null,0,"[74]"]
[null,"[75]","",null,null,0,"[75]"]
[null,"[76]","",null,null,0,"[76]"]
[null,"[77]","",null,null,0,"[77]"]
[null,"[78]","",null,null,0,"[78]"]
[null,"[79]","",null,null,0,"[79]"]
[null,"[80]","",null,null,0,"[80]"]
[null,null,null,"Sub-total",null,{"$f":"SUM(F8:F89)","v":0},"[5000]"]
[null,null,null,"Other securities collateral",null,0,"[5001]"]
[null,null,null,"Total securities collateral",null,{"$f":"SUM(F90:F91)","v":0},"[5002]"]
[]
[]
[null,"Note 1:","Starting from the securities with highest market value."]
[]
[null,"Note 2:","Please enter the stock code in case of securities listed on the recognized stock market, or sedol number in case of other securities."]
[null,"Note 3:","Securities collateral of all margin clients, whether borrowing or non-borrowing, should be included for the purpose of this analysis."]

{"sheet":"Form 6","index":9,"n_rows":41,"n_cols":9,"rows_kept":41,"cut":false,"hidden":false,"merged":[[2,10,2,11],[33,2,33,3],[33,4,34,4],[33,5,34,5],[31,7,32,7],[33,7,34,7],[29,5,30,5],[29,4,30,4],[29,6,30,6],[29,7,30,7],[39,3,39,6],[40,3,40,6],[29,2,29,3],[30,2,30,3],[32,2,32,3],[33,6,34,6],[31,2,31,3],[31,4,32,4],[31,6,32,6]]}
[null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 6",null,"ROLLING BALANCE CASH CLIENT ANALYSIS"]
[null,null,null,"AS OF THE END OF REPORTING MONTH",null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]",null,{"$f":"IF(ISBLANK('Form 1 Main'!G22),\"\",'Form 1 Main'!G22)","v":""}]
[]
[]
[null,null,"Top 20 rolling balance cash clients with the largest net debit balances as of reporting date"]
[]
[null,"Row","Ranking","Name of client\n","Account balance\n(Note 1)\n(HK$'000)\n","Market value of securities holdings\n(HK$'000)\n","Adjusted balance \n(Note 1)\n(HK$'000)\n","Row"]
[null,"[1]",1,"",0,0,0,"[1]"]
[null,"[2]",2,"",0,0,0,"[2]"]
[null,"[3]",3,"",0,0,0,"[3]"]
[null,"[4]",4,"",0,0,0,"[4]"]
[null,"[5]",5,"",0,0,0,"[5]"]
[null,"[6]",6,"",0,0,0,"[6]"]
[null,"[7]",7,"",0,0,0,"[7]"]
[null,"[8]",8,"",0,0,0,"[8]"]
[null,"[9]",9,"",0,0,0,"[9]"]
[null,"[10]",10,"",0,0,0,"[10]"]
[null,"[11]",11,"",0,0,0,"[11]"]
[null,"[12]",12,"",0,0,0,"[12]"]
[null,"[13]",13,"",0,0,0,"[13]"]
[null,"[14]",14,"",0,0,0,"[14]"]
[null,"[15]",15,"",0,0,0,"[15]"]
[null,"[16]",16,"",0,0,0,"[16]"]
[null,"[17]",17,"",0,0,0,"[17]"]
[null,"[18]",18,"",0,0,0,"[18]"]
[null,"[19]",19,"",0,0,0,"[19]"]
[null,"[20]",20,"",0,0,0,"[20]"]
[null,null,"Sub-total","[6000]",{"$f":"SUM(E9:E28)","v":0},{"$f":"SUM(F9:F28)","v":0},{"$f":"SUM(G9:G28)","v":0},"[6002]"]
[null,null,"Other clients with net debit balances",null,0,0,0,"[6005]"]
[null,null,"[6003]"]
[null,null,"Less: General provision for bad or doubtful\ndebts, if any (Note 2)",null,0,null,0,"[6007]"]
[null,null,"[6006]"]
[null,null,"Total balance after general provision \nfor bad or doubtful debts, if any (Note 2)",null,{"$f":"E29+E30-E32","v":0},{"$f":"F29+F30","v":0},{"$f":"G29+G30-G32","v":0},"[6010]"]
[null,null,null,"[6008]"]
[]
[]
[]
[]
[null,null,"Note 1:","Account balance represents the net receivable from each rolling balance cash client after deducting any specific provision for bad or doubtful debts.  Adjusted balance is the amount which can be included in liquid assets."]
[null,null,"Note 2:","Please note that normally no amount is to be reported for general provision for bad or doubtful debts in cell 6007 since the aggregate of amounts reported under cells 6002 and 6005 will represent the total adjusted balance of amounts receivable from rolling balance cash clients that is to be included as liquid assets.  However, according to section 21(7) of the Securities and Futures (Financial Resources) Rules, where the aggregate of amounts reported under cells 6002 and 6005 exceeds total amount receivable from rolling balance cash clients less the aggregate of amounts of specific and general provision for bad or doubtful debts (i.e. cell 6008), a balancing figure may be required under cell 6007 such that the total adjusted balance included as liquid assets (i.e. cell 6010) shall equal to total amount receivable from rolling balance cash clients less the aggregate of amounts of specific and general provision for bad or doubtful debts (i.e. cell 6008), if any.\n\nTotal account balance and total adjusted balance after general provision for bad or doubtful debts should equal to the amounts reported in cell 1016 and cell 1015 respectively. "]

{"sheet":"Form 7","index":10,"n_rows":159,"n_cols":12,"rows_kept":159,"cut":false,"hidden":false,"merged":[[24,10,25,10],[135,4,135,10],[57,3,57,4],[71,3,71,4],[111,3,111,4],[130,4,130,10],[67,10,68,10],[108,10,109,10],[86,3,86,4],[108,8,109,8],[108,6,109,6],[1,8,1,9],[24,8,25,8],[24,6,25,6],[67,6,68,6],[67,8,68,8],[9,2,9,4],[16,2,16,4],[24,2,24,4],[144,1,144,2],[71,1,71,2],[111,1,111,2],[57,1,57,2],[86,1,86,2],[95,3,95,4],[95,1,95,2],[158,4,158,10],[153,1,153,2],[124,2,124,4],[128,2,128,4],[131,4,131,10],[132,4,132,10],[133,4,133,10],[134,4,134,10],[144,4,144,5],[153,4,153,5]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 7",null,null,"PROFIT AND LOSS ACCOUNT FOR PERIOD ENDED",null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]"]
[]
[]
[]
[null,null,null,null,null,null,"Current month",null,"Previous month",null,"Year-to-date\nsince last financial\nyear-end"]
[]
[null,null,"TURNOVER"]
[]
[null,null,"Total value of transactions in securities dealing (other than transactions in stock options contracts) (Note 1) (HK$'000)"]
[null,null,null,"-  own account",null,null,0,"[7000]",0,"[7001]",0,"[7002]"]
[null,null,null,"-  client account",null,null,0,"[7003]",0,"[7004]",0,"[7005]"]
[]
[]
[null,null,null,null,null,null,{"$f":"G11+G12","v":0},"[7006]",{"$f":"I11+I12","v":0},"[7007]",{"$f":"K11+K12","v":0},"[7008]"]
[]
[null,null,"Total number of contracts of dealing in futures and options contracts"]
[null,null,null,"-  own account",null,null,0,"[7009]",0,"[7010]",0,"[7011]"]
[null,null,null,"-  client account",null,null,0,"[7012]",0,"[7013]",0,"[7014]"]
[]
[]
[null,null,null,null,null,null,{"$f":"G18+G19","v":0},"[7015]",{"$f":"I18+I19","v":0},"[7016]",{"$f":"K18+K19","v":0},"[7017]"]
[]
[]
[null,null,"Total gross principal value of contracts in leveraged foreign exchange trading \n(Notes 1 & 2) (HK$ Million)",null,null,null,0,"[7018]",0,"[7019]",0,"[7020]"]
[]
[]
[null,null,"PROFIT AND LOSS ACCOUNT",null,null,null,"(HK$'000)",null,"(HK$'000)",null,"(HK$'000)"]
[]
[null,null,"Securities dealing:"]
[null,null,null,"Commission income",null,null,0,"[7021]",0,"[7022]",0,"[7023]"]
[null,null,null,"Less: Commission paid (Note 3)",null,null,0,"[7024]",0,"[7025]",0,"[7026]"]
[]
[]
[null,null,null,"Sub-total (A)",null,null,{"$f":"G31-G32","v":0},"[7027]",{"$f":"I31-I32","v":0},"[7028]",{"$f":"K31-K32","v":0},"[7029]"]
[]
[null,null,"Futures and options dealing:"]
[null,null,null,"Commission income",null,null,0,"[7030]",0,"[7031]",0,"[7032]"]
[null,null,null,"Less: Commission paid (Note 3)",null,null,0,"[7033]",0,"[7034]",0,"[7035]"]
[]
[]
[null,null,null,"Sub-total (B)",null,null,{"$f":"G38-G39","v":0},"[7036]",{"$f":"I38-I39","v":0},"[7037]",{"$f":"K38-K39","v":0},"[7038]"]
[]
[null,null,"Leveraged foreign exchange trading:"]
[null,null,null,"Commission income",null,null,0,"[7039]",0,"[7040]",0,"[7041]"]
[null,null,null,"Less: Commission paid (Note 3)",null,null,0,"[7042]",0,"[7043]",0,"[7044]"]
[]
[]
[null,null,null,"Sub-total (C)",null,null,{"$f":"G45-G46","v":0},"[7045]",{"$f":"I45-I46","v":0},"[7046]",{"$f":"K45-K46","v":0},"[7047]"]
[]
[null,null,"Trading profit and loss:"]
[null,null,null,"-  in securities",null,null,0,"[7048]",0,"[7049]",0,"[7050]"]
[null,null,null,"-  in futures and options contracts",null,null,0,"[7051]",0,"[7052]",0,"[7053]"]
[null,null,null,"-  in leveraged foreign exchange trading",null,null,0,"[7054]",0,"[7055]",0,"[7056]"]
[null,null,null,"-  in other foreign exchange trading",null,null,0,"[7057]",0,"[7058]",0,"[7059]"]
[null,null,null,"-  in OTC derivatives trading",null,null,0,"[7060]",0,"[7061]",0,"[7062]"]
[null,null,null,"-  others (please specify if material) (Note 4)",null,null,0,"[7063]",0,"[7064]",0,"[7065]"]
[null,"[7063A]",null,""]
[]
[]
[null,null,null,"Sub-total (D)",null,null,{"$f":"SUM(G52:G57)","v":0},"[7066]",{"$f":"SUM(I52:I57)","v":0},"[7067]",{"$f":"SUM(K52:K57)","v":0},"[7068]"]
[null,null,"Income arising from:"]
[null,null,null,"-  underwriting",null,null,0,"[7069]",0,"[7070]",0,"[7071]"]
[null,null,null,"-  advising on securities and/or futures contracts",null,null,0,"[7072]",0,"[7073]",0,"[7074]"]
[null,null,null,"-  advising on corporate finance",null,null,0,"[7075]",0,"[7076]",0,"[7077]"]
[null,null,null,"-  provision of automated trading services",null,null,0,"[7078]",0,"[7079]",0,"[7080]"]
[null,null,null,"-  asset management",null,null,0,"[7081]",0,"[7082]",0,"[7083]"]
[null,null,null,"-  management fees charged on group companies",null,null,0,null,0,null,0]
[null,null,null,"   or other related parties",null,null,null,"[7084]",null,"[7085]",null,"[7086]"]
[null,null,null,"-  provision of credit rating services",null,null,0,"[7086A]",0,"[7086B]",0,"[7086C]"]
[null,null,null,"-  others (please specify if material) (Note 4)",null,null,0,"[7087]",0,"[7088]",0,"[7089]"]
[null,"[7087A]",null,""]
[]
[]
[null,null,null,"Sub-total (E)",null,null,{"$f":"SUM(G63:G71)","v":0},"[7090]",{"$f":"SUM(I63:I71)","v":0},"[7091]",{"$f":"SUM(K63:K71)","v":0},"[7092]"]
[]
[null,null,"Total income (F) = (A) + (B) + (C) + (D) + (E)",null,null,null,{"$f":"G35+G42+G49+G61+G75","v":0},"[7093]",{"$f":"I35+I42+I49+I61+I75","v":0},"[7094]",{"$f":"K35+K42+K49+K61+K75","v":0},"[7095]"]
[]
[null,null,"Interest income/expense"]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[null,null,null,"Interest income received (Note 5)",null,null,0,"[7096]",0,"[7097]",0,"[7098]"]
[null,null,null,"Less: Interest expense paid (Note 5)",null,null,0,"[7099]",0,"[7100]",0,"[7101]"]
[]
[]
[null,null,null,"Sub-total (G)",null,null,{"$f":"G97-G98","v":0},"[7102]",{"$f":"I97-I98","v":0},"[7103]",{"$f":"K97-K98","v":0},"[7104]"]
[]
[null,null,"Overheads"]
[null,null,null,"-  salary and staff benefits",null,null,0,"[7105]",0,"[7106]",0,"[7107]"]
[null,null,null,"-  office rental and utilities",null,null,0,"[7108]",0,"[7109]",0,"[7110]"]
[null,null,null,"-  depreciation",null,null,0,"[7111]",0,"[7112]",0,"[7113]"]
[null,null,null,"-  legal and professional expenses",null,null,0,"[7114]",0,"[7115]",0,"[7116]"]
[null,null,null,"-  provision for bad & doubtful debts",null,null,0,"[7117]",0,"[7118]",0,"[7119]"]
[null,null,null,"-  management fees charged by group companies",null,null,0,null,0,null,0]
[null,null,null,"   or other related parties",null,null,null,"[7120]",null,"[7121]",null,"[7122]"]
[null,null,null,"-  others (please specify if material) (Note 4)",null,null,0,"[7123]",0,"[7124]",0,"[7125]"]
[null,"[7123A]",null,""]
[]
[]
[null,null,null,"Sub-total (H)",null,null,{"$f":"SUM(G104:G111)","v":0},"[7126]",{"$f":"SUM(I104:I111)","v":0},"[7127]",{"$f":"SUM(K104:K111)","v":0},"[7128]"]
[]
[]
[null,null,"Net profit/(loss) before tax (I) = (F) + (G) - (H)",null,null,null,{"$f":"G77+G101-G115","v":0},"[7129]",{"$f":"I77+I101-I115","v":0},"[7130]",{"$f":"K77+K101-K115","v":0},"[7131]"]
[]
[null,null,"Less: Taxation (J)",null,null,null,0,"[7132]",0,"[7133]",0,"[7134]"]
[]
[]
[null,null,"Net profit/(loss) after tax (K) = (I) - (J)",null,null,null,{"$f":"G118-G120","v":0},"[7135]",{"$f":"I118-I120","v":0},"[7136]",{"$f":"K118-K120","v":0},"[7137]"]
[]
[null,null,"Retained profits/(accumulated losses) \n    at the beginning of the period (L)",null,null,null,0,"[7138]",0,"[7139]",0,"[7140]"]
[null,null,"Less: Dividend declared during the period (M)",null,null,null,0,"[7141]",0,"[7142]",0,"[7143]"]
[]
[]
[null,null,"Retained profits/(accumulated losses) at the end of\n    the period  (N) = (K) + (L) - (M)  (Note 6)",null,null,null,{"$f":"G123+G125-G126","v":0},"[7144]",{"$f":"I123+I125-I126","v":0},"[7145]",{"$f":"K123+K125-K126","v":0},"[7146]"]
[]
[null,null,"Note 1:",null,"Transactions denominated in currencies other than Hong Kong dollar should be translated into Hong Kong dollar at the prevailing exchange rates as at the end of the relevant month."]
[null,null,"Note 2:",null,"(a)  Please refer to section 41(3) of the Securities and Futures (Financial Resources) Rules for calculation of gross \n       principal value of contracts in leveraged foreign exchange trading. "]
[null,null,null,null,"(b)  Total gross principal value of contracts in leveraged foreign exchange trading includes the gross principal \n       value of contracts for opening and/or closing a leveraged foreign exchange contract during the relevant month. "]
[null,null,"Note 3:",null,"Commission expense includes commission paid to account executives and any other parties."]
[null,null,"Note 4:",null,"For the purpose of this form, income and expense item exceeding 10% of the total revenue (i.e. (F) + (G)) should be considered as material."]
[null,null,"Note 5:",null,"Where gross interest income and/or interest expense exceed(s) 10% of the total revenue (i.e. (F) + (G)) in the current month, please provide details of the interest income and/or interest expense:"]
[null,null,null,null,null,null,null,null,"(HK$'000)"]
[null,null,null,null,"Interest income earned from"]
[null,null,null,null,"   -  dealing in securities",null,null,null,0,"[7147]"]
[null,null,null,null,"   -  dealing in futures and options contracts",null,null,null,0,"[7148]"]
[null,null,null,null,"   -  leveraged foreign exchange trading",null,null,null,0,"[7149]"]
[null,null,null,null,"   -  securities margin financing",null,null,null,0,"[7150]"]
[null,null,null,null,"   -  bank deposits",null,null,null,0,"[7151]"]
[null,null,null,null,"   -  others (please specify if material) (Note 4)",null,null,null,0,"[7152]"]
[null,null,null,null,"",null,"[7152A]"]
[]
[]
[null,null,null,null,"Amounts included in cell 7096",null,null,null,{"$f":"SUM(I139:I144)","v":0},"[7153]"]
[]
[null,null,null,null,"Interest expense paid to/on"]
[null,null,null,null,"  -  clients",null,null,null,0,"[7154]"]
[null,null,null,null,"  -  bank loans and overdrafts",null,null,null,0,"[7155]"]
[null,null,null,null,"  -  others (please specify if material) (Note 4)",null,null,null,0,"[7156]"]
[null,null,null,null,"",null,"[7156A]"]
[]
[]
[null,null,null,null,"Amounts included in cell 7099",null,null,null,{"$f":"SUM(I151:I153)","v":0},"[7157]"]
[]
[null,null,"Note 6:",null,"The amount of retained profits/(accumulated losses) at the end of current month (i.e. cell 7144) should equal to the amount reported under cell 1114 in Form 1 Note 6."]

{"sheet":"Form 8 Table 1","index":11,"n_rows":61,"n_cols":12,"rows_kept":61,"cut":false,"hidden":false,"merged":[[60,9,64,9],[25,4,25,6],[28,4,28,6],[40,3,40,7],[60,3,64,8],[58,3,59,9],[39,3,39,7],[56,3,56,9],[41,3,41,7],[46,3,46,7],[35,6,35,7],[44,4,44,5],[37,6,37,7],[13,3,13,6],[20,3,20,7],[55,3,55,4],[11,3,11,7],[16,3,16,7],[18,2,18,7],[48,3,48,7],[36,6,36,7],[49,3,49,7],[19,3,19,7],[15,3,15,5],[21,3,21,6],[45,3,45,7],[54,3,54,4],[52,3,52,6],[34,6,34,7],[6,8,8,8],[8,2,8,7],[9,3,9,7],[10,3,10,7],[6,2,7,7]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 8",null,"ANALYSIS OF CLIENT ASSETS"]
[]
[null,"Table 1",null,"Analysis of client securities as of the end of reporting month",null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]"]
[]
[]
[null,null,null,null,null,null,null,null,"Market value\n(HK$'000)"]
[]
[null,null,"Analysis by client type (Note 1)"]
[null,null,null,"Cash clients (A)",null,null,null,null,0,"[8000]"]
[null,null,null,"Margin clients (B)",null,null,null,null,0,"[8001]"]
[null,null,null,"Futures and options clients (C)",null,null,null,null,0,"[8002]"]
[null,null,null,"Leveraged foreign exchange trading clients (D)",null,null,null,null,0,"[8003]"]
[null,null,null,"Clients of licensed corporation which is \n    remunerated for advising on securities, futures \n    contracts and/or corporate finance and/or \n    provision of asset management services (E)",null,null,null,null,0,"[8004]"]
[null,null,null,"Others (please specify) (F)",null,null,null,null,0,"[8005]"]
[null,null,"[8005A]",""]
[null,null,null,"Total (G) = (A) + (B) + (C) + (D) + (E) + (F)",null,null,null,null,{"$f":"SUM(I10:I15)","v":0},"[8006]"]
[]
[null,null,"Analysis by location"]
[null,null,null,"Pledged with banks (H)",null,null,null,null,0,"[8007]"]
[null,null,null,"Pledged with overseas securities dealers (I)",null,null,null,null,0,"[8008]"]
[null,null,null,"Deposited in accounts held in Central Clearing and \n    Settlement System (“CCASS”)"]
[null,null,null,"     -  Stock clearing account (J)",null,null,null,null,0,"[8009]"]
[null,null,null,"     -  Stock segregated accounts designated for cash clients (K)",null,null,null,null,0,"[8010]"]
[null,null,null,null,"Please specify the sub-account numbers:"]
[null,null,"[8010A]",null,""]
[null,null,null,"     -  Stock segregated accounts designated for margin clients (L)",null,null,null,null,0,"[8011]"]
[null,null,null,null,"Please specify the sub-account numbers:"]
[null,null,"[8011A]",null,""]
[null,null,null,"     -  Stock segregated accounts with statement service (M)",null,null,null,null,0,"[8012]"]
[null,null,null,"     -  Other accounts (N)",null,null,null,null,0,"[8013]"]
[null,null,null,null,"Please specify sub-account numbers and purposes:"]
[]
[null,null,null,null,"Sub-account number",null,"Purpose"]
[null,null,null,null,"","[8013A]","",null,"[8013B]"]
[null,null,null,null,"","[8013C]","",null,"[8013D]"]
[null,null,null,null,"","[8013E]","",null,"[8013F]"]
[null,null,null,null,"","[8013G]","",null,"[8013H]"]
[]
[null,null,null,"Total client securities deposited in accounts held in CCASS \n    (O) = (J) + (K) + (L) + (M) + (N)",null,null,null,null,{"$f":"I23+I24+I27+I30+I31","v":0},"[8014]"]
[null,null,null,"Deposited with SEOCH (P)",null,null,null,null,0,"[8015]"]
[null,null,null,"Deposited with other futures or options clearing houses (Q)",null,null,null,null,0,"[8016]"]
[null,null,null,"Held by associated entities (R)",null,null,null,null,0,"[8017]"]
[null,null,null,"     -  Please specify names of the associated entities:"]
[null,null,"[8017A]",null,""]
[null,null,null,"Deposited in safe custody with authorized financial institutions (S)",null,null,null,null,0,"[8018]"]
[null,null,null,"Deposited in safe custody with other licensed corporations (T)",null,null,null,null,0,"[8019]"]
[null,null,null,"Held in the office premises of the licensed corporation (U)",null,null,null,null,0,"[8020]"]
[null,null,null,"Held in other locations (V) (Note 2)",null,null,null,null,0,"[8021]"]
[null,null,null,"Total (W) = (H) + (I) + (O) + (P) + (Q) + (R) + (S) + (T) + (U) + (V)",null,null,null,null,{"$f":"I20+I21+I40+I41+I42+I43+I46+I47+I48+I49","v":0},"[8022]"]
[]
[]
[null,null,"Note 1:","Client securities are accounted for on:"]
[null,null,null,null,"(select where appropriate)"]
[]
[null,null,null,null,null,null,null,null,null,null,null,""]
[]
[]
[null,null,"Note 2:","Please specify in the space below the locations of the client securities and purposes of the dispositions. "]
[]
[null,null,null,"",null,null,null,null,null,"[8025]"]

{"sheet":"Form 8 Table 2","index":12,"n_rows":53,"n_cols":12,"rows_kept":53,"cut":false,"hidden":false,"merged":[[36,11,37,11],[52,2,55,2],[17,11,20,11],[23,11,24,11],[25,11,26,11],[31,11,34,11],[17,8,20,8],[23,8,24,8],[27,8,28,8],[29,8,30,8],[52,3,55,10],[36,9,37,9],[36,10,37,10],[36,2,37,5],[49,3,49,10],[38,8,39,8],[4,8,4,9],[38,9,39,9],[23,10,24,10],[25,10,26,10],[38,10,39,10],[27,9,28,9],[29,9,30,9],[17,9,20,9],[17,10,20,10],[31,9,34,9],[31,10,34,10],[23,9,24,9],[22,2,22,8],[27,3,28,7],[29,3,30,6],[31,8,34,8],[16,3,16,7],[25,3,26,7],[38,2,38,7],[48,3,48,10],[41,3,41,10],[43,3,43,10],[45,3,45,10],[25,9,26,9],[18,3,20,6],[32,3,34,6],[23,3,24,7],[32,2,34,2],[31,3,31,6]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 8  ANALYSIS OF CLIENT ASSETS"]
[]
[null,"Table 2",null,"Analysis of client segregated funds"]
[null,null,null,"as of the end of reporting month",null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]"]
[]
[]
[null,null,null,null,null,null,null,null,null,"Computation of","Analysis of client"]
[null,null,null,null,null,null,null,null,null,"ranking liabilities","segregated funds"]
[null,null,null,null,null,null,null,null,null,"(HK$'000)","(HK$'000)"]
[null,null,null,null,null,null,null,null,null,"(Note 1)","(Note 2)"]
[null,null,"Amounts payable to clients and client money to be segregated",null,null,null,null,null,null,"Amounts payable to clients","Client money to be segregated under the Securities and Futures (Client Money) Rules"]
[null,null,null,"Cash clients",null,null,null,null,"[8100]",0,0,"[8101]"]
[null,null,null,"Margin clients",null,null,null,null,"[8102]",0,0,"[8103]"]
[null,null,null,"Futures and options clients",null,null,null,null,"[8104]",0,0,"[8105]"]
[null,null,null,"Leveraged foreign exchange trading clients",null,null,null,null,"[8106]",0,0,"[8107]"]
[null,null,null,"Clients of the licensed corporation which is \n    remunerated for advising on securities, \n    futures contracts and/or corporate finance\n    and/or provision of asset management services",null,null,null,null,"[8108]",0,0,"[8109]"]
[null,null,null,"Others (please specify)",null,null,null,null,"[8110]",0,0,"[8111]"]
[null,null,null,""]
[]
[null,null,"[8110A]"]
[null,null,null,"Total (Note 3)",null,null,null,null,"[8112]",{"$f":"SUM(J13:J21)","v":0},{"$f":"SUM(K13:K21)","v":0},"[8113]"]
[null,null,"Distribution of segregated funds"]
[null,null,null,"Amounts held in segregated account maintained \n    with authorized financial institution ",null,null,null,null,"[8114]",0,0,"[8115]"]
[]
[null,null,null,"Amounts held in segregated account maintained\n    with other person approved by the Commission\n    under the Securities and Futures \n    (Client Money) Rules",null,null,null,null,null,0,0,"[8117]"]
[null,null,null,null,null,null,null,null,"[8116]"]
[null,null,null,"Amounts held in segregated account with  \n    an approved bank incorporated \n    outside Hong Kong ",null,null,null,null,"[8118]",0]
[]
[null,null,null,"Amounts held in segregated account \n    maintained with a recognized clearing \n    house",null,null,null,null,"[8119]",0]
[]
[null,null,null,"Others (including amounts which are held in a segregated account and included in liquid assets under section 20(d) of the Securities and Futures (Financial Resources) Rules (to be reported herein as a deduction) and amounts which arise from modifications) (please specify) ",null,null,null,null,"[8120]",0,0,"[8121]"]
[null,null,"[8120A]",""]
[]
[]
[null,null,null,"Total ",null,null,null,null,"[8122]",{"$f":"SUM(J24:J35)","v":0},{"$f":"SUM(K24:K35)","v":0},"[8123]"]
[null,null,"Excess/(deficiency) in segregated funds \n(cell 8123 – cell 8113) (Note 4)",null,null,null,null,null,null,null,{"$f":"K36-K22","v":0},"[8124]"]
[]
[null,null,"Amounts included in ranking liabilities per item 23 of liquid capital computation (cell 8112 – cell 8122) (Note 4)",null,null,null,null,null,"[8125]",{"$f":"IF(J22-J36>0, J22-J36, 0)","v":0}]
[]
[]
[null,null,"Note 1:","Computation of ranking liabilities is for the purpose of calculating the amounts (which should not be less than zero) to be included in item 23 of liquid capital computation in Form 1 (i.e. cell 1057)."]
[]
[null,null,"Note 2: ","Analysis of client segregated funds is for the purpose of reporting client money required to be segregated and the corresponding amounts held in segregated accounts under Securities and Futures (Client Money) Rules."]
[]
[null,null,"Note 3:","Total amount payable to clients included in cell 8112 should equal to amounts payable to clients included in item 23 of the balance sheet in Form 1 (i.e. cell 1058). "]
[]
[null,null,"Note 4:","Please explain in the space below the circumstances leading to:"]
[null,null,null,"(a)  total segregated funds for the purpose of calculating ranking liabilities exceeding total amount \n      payable to clients (i.e. cell 8122 > cell 8112); "]
[null,null,null,"(b)  difference between ranking liabilities computed in cell 8125 and amount of ranking liabilities \n       included in item 23 of Form 1 (i.e. cell 1057); and/or"]
[null,null,null,"(c)  excess or deficiency in segregated funds."]
[]
[null,null,"[8126]",""]

{"sheet":"Form 9","index":13,"n_rows":44,"n_cols":14,"rows_kept":44,"cut":false,"hidden":false,"merged":[[7,11,10,11],[41,3,41,13],[5,2,5,3],[43,3,43,12],[6,2,6,3],[7,6,7,7],[5,4,5,9],[6,4,6,9],[7,8,10,8],[42,3,42,13],[7,2,14,2],[5,10,5,11],[5,12,8,12],[8,6,8,7],[7,10,10,10]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 9",null,"FOREIGN CURRENCY POSITION OF LICENSED CORPORATION LICENSED FOR LEVERAGED FOREIGN EXCHANGE TRADING"]
[null,null,null,"AS OF THE END OF REPORTING MONTH",null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]"]
[]
[]
[null,null,"Currency (Note 1)",null,"Foreign currency position including position held with recognized counterparty",null,null,null,null,null,"Position with recognized counterparty",null,"Aggregate gross foreign currency position\n(Note 2)"]
[]
[null,null,"Currency code","Type","Assets","Liabilities","Outstanding contracts",null,"Gross foreign currency position\n(Note 2) ","Net position","Assets & amounts of foreign currency in which the licensed corporation is exposed to the risk of a decline under outstanding contracts (including spot contracts)"," Liabilities & amounts of foreign currency in which the licensed corporation is exposed to the risk of a rise under outstanding contracts (including spot contracts)"]
[null,null,null,null,null,null,"(including spot contracts)"]
[null,null,null,null,null,null,"Amounts of foreign currency in which the licensed corporation is exposed to the risk of a decline ","Amounts of foreign currency in which the licensed corporation is exposed to the risk of a rise"]
[]
[null,null,null,null,"\n(A)","(B)","(C)","(D)","(E)","(F) = (A) + (C)","(G)","(H)","(I) = (E) - (G) - (H)"]
[null,null,null,null,null,null,null,null,null,"      -  (B) - (D)"]
[]
[null,"Row",null,null,"(HK$'000)","(HK$'000)","(HK$'000)","(HK$'000)","(HK$'000)","(HK$'000)","(HK$'000)","(HK$'000)","(HK$'000)","Row"]
[null,"[1]","","",0,0,0,0,0,{"$f":"E16+G16-F16-H16","v":0},0,0,{"$f":"I16-K16-L16","v":0},"[1]"]
[null,"[2]","","",0,0,0,0,0,{"$f":"E17+G17-F17-H17","v":0},0,0,{"$f":"I17-K17-L17","v":0},"[2]"]
[null,"[3]","","",0,0,0,0,0,0,0,0,0,"[3]"]
[null,"[4]","","",0,0,0,0,0,0,0,0,0,"[4]"]
[null,"[5]","","",0,0,0,0,0,0,0,0,0,"[5]"]
[null,"[6]","","",0,0,0,0,0,0,0,0,0,"[6]"]
[null,"[7]","","",0,0,0,0,0,0,0,0,0,"[7]"]
[null,"[8]","","",0,0,0,0,0,0,0,0,0,"[8]"]
[null,"[9]","","",0,0,0,0,0,0,0,0,0,"[9]"]
[null,"[10]","","",0,0,0,0,0,0,0,0,0,"[10]"]
[null,"[11]","","",0,0,0,0,0,0,0,0,0,"[11]"]
[null,"[12]","","",0,0,0,0,0,0,0,0,0,"[12]"]
[null,"[13]","","",0,0,0,0,0,0,0,0,0,"[13]"]
[null,"[14]","","",0,0,0,0,0,0,0,0,0,"[14]"]
[null,"[15]","","",0,0,0,0,0,0,0,0,0,"[15]"]
[null,"[16]","","",0,0,0,0,0,0,0,0,0,"[16]"]
[null,"[17]","","",0,0,0,0,0,0,0,0,0,"[17]"]
[null,"[18]","","",0,0,0,0,0,0,0,0,0,"[18]"]
[null,"[19]","","",0,0,0,0,0,0,0,0,0,"[19]"]
[null,"[20]","","",0,0,0,0,0,0,0,0,0,"[20]"]
[null,null,null,"Total",{"$f":"SUM(E16:E35)","v":0},0,0,0,0,{"$f":"ABS(J16)+ABS(J17)+ABS(J18)+ABS(J19)+ABS(J20)+ABS(J21)+ABS(J22)+ABS(J23)+ABS(J24)+ABS(J25)+ABS(J26)+ABS(J27)+ABS(J28)+ABS(J29)+ABS(J30)+ABS(J31)+ABS(J32)+ABS(J33)+ABS(J34)+ABS(J35)","v":0},0,0,{"$f":"ABS(M16)+ABS(M17)+ABS(M18)+ABS(M19)+ABS(M20)+ABS(M21)+ABS(M22)+ABS(M23)+ABS(M24)+ABS(M25)+ABS(M26)+ABS(M27)+ABS(M28)+ABS(M29)+ABS(M30)+ABS(M31)+ABS(M32)+ABS(M33)+ABS(M34)+ABS(M35)","v":0}]
[null,null,null,null,null,null,null,null,null,null,null,"Multiply by   ","1.5%"]
[null,null,null,null,null,null,null,null,null,null,null,"Amounts included in required liquid capital computation in cell 2011   ",{"$f":"ROUND(M36*0.015,0)","v":0},"[9000]"]
[]
[]
[]
[null,null,"Note 1:  ","Licensed corporation should select the currency code from the pull-down menu.  If type of the currency is not available from the pull-down menu, \nplease select currency code “099” and specify the type of the currency in the space provided.  "]
[]
[null,null,"Note 2:  ","Where a licensed corporation holds with a client (other than an omnibus account) 2 outstanding contracts: under one of the contracts it is exposed to the risk of a decline in the value of an amount of Currency A and to the risk of a rise in the value of an amount X of Currency B and under the other contract it is exposed to the risk of a decline in the value of amount X of Currency B and to the risk of a rise in the value of an amount of Currency A, the licensed corporation should only include in the gross foreign currency position the total of the amount of Currency A at the higher of the 2 outstanding contracts and the amount X of Currency B.  Please refer to section 2A of the Securities and Futures (Financial Resources) Rules for the detailed definition of gross foreign currency position."]

{"sheet":"Form 10 Table 1","index":14,"n_rows":44,"n_cols":11,"rows_kept":44,"cut":false,"hidden":false,"merged":[[34,2,34,9],[44,2,44,3],[35,2,35,9],[36,2,36,9],[43,2,43,9],[38,2,41,9],[33,2,33,9],[1,7,1,8],[31,2,31,9],[32,2,32,9],[6,4,6,9]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 10","REPORT ON PROPRIETARY DERIVATIVE POSITIONS (Notes 1 & 2)"]
[]
[null,"Table 1","Analysis of gross notional amounts of derivative contracts by underlying exposures"]
[null,null,"as of the end of reporting month              ",null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]"]
[]
[null,null,null,null,"(HK$'000)"]
[null,null,"Gross notional amounts",null,"Equity contracts (Note 3)","Interest rate \ncontracts","Foreign exchange\ncontracts","Precious metals\ncontracts","Other commodity\ncontracts","\nTotal"]
[null,null,"OTC contracts","Row",null,null,null,null,null,null,"Row"]
[null,null,"Forwards","[1]",0,0,0,0,0,{"$f":"SUM(E10:I10)","v":0},"[1]"]
[null,null,"Swaps","[2]",0,0,0,0,0,{"$f":"SUM(E11:I11)","v":0},"[2]"]
[null,null,"Purchased options","[3]",0,0,0,0,0,{"$f":"SUM(E12:I12)","v":0},"[3]"]
[null,null,"Written options","[4]",0,0,0,0,0,{"$f":"SUM(E13:I13)","v":0},"[4]"]
[null,null,"Others (please specify)","[5]",0,0,0,0,0,{"$f":"SUM(E14:I14)","v":0},"[5]"]
[]
[null,"[A100]",""]
[]
[null,null,"Total OTC contracts","[6]",{"$f":"SUM(E10:E14)","v":0},0,0,0,0,0,"[6]"]
[null,null,"Exchange-traded contracts"]
[null,null,"Futures - long positions","[7]",0,0,0,0,0,{"$f":"SUM(E20:I20)","v":0},"[7]"]
[null,null,"Futures - short positions","[8]",0,0,0,0,0,{"$f":"SUM(E21:I21)","v":0},"[8]"]
[null,null,"Purchased options","[9]",0,0,0,0,0,{"$f":"SUM(E22:I22)","v":0},"[9]"]
[null,null,"Written options","[10]",0,0,0,0,0,{"$f":"SUM(E23:I23)","v":0},"[10]"]
[null,null,"Others (please specify)","[11]",0,0,0,0,0,{"$f":"SUM(E24:I24)","v":0},"[11]"]
[]
[null,"[A101]",""]
[]
[null,null,"Total exchange-traded contracts","[12]",{"$f":"SUM(E20:E24)","v":0},0,0,0,0,0,"[12]"]
[null,null,"Total OTC and exchange-traded contracts","[13]",{"$f":"E18+E28","v":0},{"$f":"F18+F28","v":0},{"$f":"G18+G28","v":0},{"$f":"H18+H28","v":0},{"$f":"I18+I28","v":0},{"$f":"SUM(E29:I29)","v":0},"[13]"]
[null,null,null,null,"[A102]","[A103]","[A104]","[A105]","[A106]","[A107]"]
[null,"Note 1:","This form should be reported on quarterly basis, i.e. for March, June, September and December only."]
[null,"Note 2:","Please describe the licensed corporation's proprietary derivative trading activities under each broad category of exposures (i.e. equity, interest rate etc.) in the following space, covering at least the following issues :"]
[null,null,"(a)  the nature, objective and operation of the trading strategies which underlie each trading positions/portfolios (for instance, for equities, whether equity"]
[null,null,"      derivative trading is related to arbitrage or hedging of derivative warrants or equity swaps; the types of derivative instruments used and details of"]
[null,null,"      other positions involved in the strategies);"]
[null,null,"(b)  the major income and cost arising from the derivative trading (for instance, trading profits/losses, commissions, fees etc.); and"]
[null,null,"(c)  the future plan for the derivatives trading business."]
[]
[null,null,""]
[]
[]
[null,"[A108]"]
[]
[null,"Note 3:","For the purpose of this table, derivative warrants listed on an exchange are classified as OTC equity options and convertible bonds are classified as OTC equity derivatives.  Equity contracts include equity index contracts."]

{"sheet":"Form 10 Table 2","index":15,"n_rows":28,"n_cols":11,"rows_kept":28,"cut":false,"hidden":false,"merged":[[4,6,4,7],[12,7,13,7],[12,8,13,8],[14,8,15,8],[7,6,10,6],[6,4,6,9],[14,6,15,6],[7,8,10,8],[7,9,10,9],[14,7,15,7],[14,9,15,9],[12,9,13,9],[7,7,10,7],[14,5,15,5],[7,4,10,4],[7,5,10,5],[12,6,13,6],[14,4,15,4],[12,3,13,3],[14,3,15,3],[7,3,10,3],[12,4,13,4],[12,5,13,5],[27,3,28,9],[17,7,20,7],[17,3,20,3],[17,8,20,8],[17,9,20,9],[25,3,25,9],[17,4,20,4],[17,5,20,5],[17,6,20,6]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 10",null,"REPORT ON PROPRIETARY DERIVATIVE POSITIONS"]
[]
[null,"Table 2",null,"Analysis of derivative contracts by market values and unrealized values "]
[null,null,null,"as of the end of reporting month",null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]"]
[]
[null,null,null,null,"(HK$'000)"]
[null,null,null,"Market values (Note 1)","Equity contracts\n","Interest rate contracts\n","Foreign exchange contracts\n","Precious metals contracts\n","Other commodity contracts\n","Total\n"]
[]
[]
[]
[null,null,"OTC contracts",null,"[A200]","[A201]","[A202]","[A203]","[A204]","[A205]"]
[null,null,null,"(a) Gross positive market value (Note 2)",0,0,0,0,0,{"$f":"SUM(E13:I14)","v":0}]
[]
[null,null,null,"(b) Gross negative market value",0,0,0,0,0,{"$f":"SUM(E15:I16)","v":0}]
[]
[null,null,null,null,"[A206]","[A207]","[A208]","[A209]","[A210]","[A211]"]
[null,null,null,"Unrealized values","Equity contracts\n","Interest rate contracts\n","Foreign exchange contracts\n","Precious metals contracts\n","Other commodity contracts\n","Total\n"]
[]
[]
[]
[null,null,"Exchange-traded contracts",null,"[A212]","[A213]","[A214]","[A215]","[A216]","[A217]"]
[null,null,null,"(c) Gross unrealized gains",0,0,0,0,0,{"$f":"SUM(E23:I23)","v":0}]
[null,null,null,"(d) Gross unrealized losses",0,0,0,0,0,{"$f":"SUM(E24:I24)","v":0}]
[null,null,null,null,"[A218]","[A219]","[A220]","[A221]","[A222]","[A223]"]
[null,null,"Note 1:","The market value of an OTC derivative contract is the amount at which a contract could be exchanged in a current transaction between willing parties, other than in a forced or liquidation sale.  If a quoted market price is not available, the licensed corporation's best estimate of market value could be used, based on the quoted market price of a similar contract or on its valuation techniques (i.e. fair value)."]
[]
[null,null,"Note 2:","Gross positive market value represents the loss that a licensed corporation would incur in the event of a counterparty default, as measured by the cost of replacing the contract at current market prices or rates.  For instance, for OTC forward and swap contracts, positive market value means the unrealized gain calculated on the valuation date.  For long position in OTC options contract, positive market value is the market price or fair value of the options (this measure does not take into account any reduction in credit exposure that would occur under legally enforceable netting arrangements)."]

{"sheet":"Form 10 Table 3","index":16,"n_rows":20,"n_cols":15,"rows_kept":20,"cut":false,"hidden":false,"merged":[[17,5,17,6],[4,6,4,7],[13,2,14,3],[13,4,14,4],[9,2,10,3],[6,5,6,12],[9,11,10,12],[9,5,10,6],[9,7,10,8],[9,9,10,10],[11,5,11,6],[11,7,11,8],[12,5,12,6],[12,7,12,8],[13,13,14,13],[11,11,11,12],[17,7,17,8],[17,9,17,10],[17,11,17,12],[16,7,16,8],[16,9,16,10],[13,14,14,14],[11,9,11,10],[12,9,12,10],[21,3,21,12],[12,11,12,12],[16,11,16,12],[13,5,14,6],[13,7,14,8],[13,9,14,10],[13,11,14,12],[15,7,15,8],[15,9,15,10],[15,11,15,12],[16,5,16,6],[19,3,20,12],[15,5,15,6]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 10",null,"REPORT ON PROPRIETARY DERIVATIVE POSITIONS"]
[]
[null,"Table 3",null,"Analysis of OTC derivative contracts by remaining term to maturity"]
[null,null,null,"as of the end of reporting month",null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]"]
[]
[null,null,null,null,null,"(HK$'000)"]
[]
[]
[null,null,"Gross notional amounts by OTC contracts\n(Note 1)",null,null,"1 year or less\n",null,"Over 1 year through 5 years\n",null,"Over 5 years\n",null,"Total\n"]
[null,null,null,null,"Row",null,null,null,null,null,null,null,null,null,"Row"]
[null,null,"(a) Equity contracts",null,"[1]",0,null,0,null,0,null,{"$f":"SUM(F12:K12)","v":0},null,"[A300]","[1]"]
[null,null,"(b) Interest rate contracts",null,"[2]",0,null,0,null,0,null,{"$f":"SUM(F13:K13)","v":0},null,"[A301]","[2]"]
[null,null,"(c) Foreign exchange contracts",null,"[3]",0,null,0,null,0,null,{"$f":"SUM(F14:K15)","v":0},null,"[A302]","[3]"]
[]
[null,null,"(d) Precious metals contracts",null,"[4]",0,null,0,null,0,null,{"$f":"SUM(F16:K16)","v":0},null,"[A303]","[4]"]
[null,null,"(e) Other commodity contracts",null,"[5]",0,null,0,null,0,null,{"$f":"SUM(F17:K17)","v":0},null,"[A304]","[5]"]
[]
[]
[null,null,"Note 1: ","The information in this table is based on the remaining term to maturity of the derivative instrument."]

{"sheet":"Form 10 Table 4","index":17,"n_rows":30,"n_cols":15,"rows_kept":30,"cut":false,"hidden":false,"merged":[[6,4,6,13],[9,4,10,7],[14,12,14,13],[15,12,15,13],[9,10,12,11],[9,12,12,13],[15,10,15,11],[13,12,13,13],[17,4,17,5],[17,6,17,7],[17,8,17,9],[17,10,17,11],[11,4,12,5],[11,6,12,7],[15,4,15,5],[13,6,13,7],[13,8,13,9],[14,8,14,9],[16,4,16,5],[14,10,14,11],[15,8,15,9],[13,10,13,11],[14,6,14,7],[4,7,4,8],[29,3,29,13],[26,3,27,13],[16,6,16,7],[16,8,16,9],[16,10,16,11],[16,12,16,13],[20,3,21,13],[22,3,23,13],[24,3,25,13],[9,2,11,3],[15,6,15,7],[13,4,13,5],[14,4,14,5],[17,12,17,13],[9,8,12,9]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 10",null,"REPORT ON PROPRIETARY DERIVATIVE POSITIONS"]
[]
[null,"Table 4",null,"Analysis of OTC derivative contracts by credit quality"]
[null,null,null,"as of the end of reporting month",null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]"]
[]
[null,null,null,null,"(HK$'000)"]
[]
[]
[null,null,"Counterparty credit quality (Note 1)",null,"Exposure before collateral and guarantees",null,null,null,"Aggregate of collateral\n",null,"Aggregate amount of guarantees\n",null,"Credit equivalent amount after collateral and guarantees\n"]
[]
[null,null,null,null,"Aggregate gross positive market value\n",null,"Aggregate of current credit exposure (Note 2)\n"]
[null,null,null,"Row",null,null,null,null,null,null,null,null,null,null,"Row"]
[null,null,1,"[1]",0,null,0,null,0,null,0,null,0,null,"[1]"]
[null,null,2,"[2]",0,null,0,null,0,null,0,null,0,null,"[2]"]
[null,null,3,"[3]",0,null,0,null,0,null,0,null,0,null,"[3]"]
[null,null,"Total","[4]",{"$f":"SUM(E14:F16)","v":0},null,{"$f":"SUM(G14:H16)","v":0},null,{"$f":"SUM(I14:J16)","v":0},null,{"$f":"SUM(K14:L16)","v":0},null,{"$f":"SUM(M14:N16)","v":0},null,"[4]"]
[null,null,null,null,"[A400]",null,"[A401]",null,"[A402]",null,"[A403]",null,"[A404]"]
[]
[null,null,"Note 1:","Counterparty credit quality categories are defined as follows :"]
[null,null,null,"(a) Category 1 identifies counterparties currently rated AA and above by Standard & Poor's Corporation or equivalent ratings;"]
[]
[null,null,null,"(b) Category 2 identifies counterparties currently rated BBB and above and below AA by Standard & Poor's Corporation or \n      equivalent ratings; and"]
[]
[null,null,null,"(c) Category 3 identifies counterparties currently rated below BBB by Standard & Poor's Corporation or equivalent ratings \n      or without any credit rating."]
[]
[null,null,null,"When basing the above categories on ratings, a licensed corporation's equivalent internal credit grade ranking may be used when investment ratings are not available."]
[]
[]
[null,null,"Note 2:","Current credit exposure of a contract is the market value that would remain if the netting under a legally enforceable bilateral netting agreement is effected.  Current credit exposure should be derived as follows: determine whether a legally enforceable bilateral netting agreement is in place between the licensed corporation and a counterparty.  If such an agreement is in place, the market values of all applicable contracts with that counterparty that are covered by the netting agreement are netted to a single amount.  Next, for all other contracts that have positive market values, the total of the positive market values is determined.  Then, the aggregate of current credit exposure of all contracts is the sum of (i) the net positive market values of applicable contracts subject to legally enforceable bilateral netting agreements and (ii) the total positive market values of all other contracts."]

{"sheet":"Form 10 Table 5","index":18,"n_rows":19,"n_cols":12,"rows_kept":19,"cut":false,"hidden":false,"merged":[[18,11,21,11],[4,8,4,9],[18,3,21,10],[8,2,8,8],[16,3,16,10],[14,3,14,10],[8,9,8,10],[6,9,6,10],[9,9,9,10],[10,9,10,10],[9,2,9,8],[10,2,10,8],[12,3,12,10]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 10",null,"REPORT ON PROPRIETARY DERIVATIVE POSITIONS"]
[]
[null,"Table 5",null,"Analysis of past due OTC derivative contracts and credit losses"]
[null,null,null,"as of the end of reporting month",null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]"]
[]
[null,null,null,null,null,null,null,null,null,"(HK$'000)"]
[]
[null,null,"Gross positive market value of derivative contracts past due 30-89 days",null,null,null,null,null,null,0,null,"[A500]"]
[null,null,"Gross positive market value of derivative contracts past due 90 days or more (Note 1)",null,null,null,null,null,null,0,null,"[A501]"]
[null,null,"Credit losses on derivative contracts during the past month (Notes 2 & 3)",null,null,null,null,null,null,0,null,"[A502]"]
[]
[null,null,"Note 1:","Information about derivatives that are past due 90 days or more should also include information about derivatives that, while not technically past due, are with counterparties that are not expected to pay the full amounts owed to the licensed corporation under the derivative contracts."]
[]
[null,null,"Note 2:","Credit losses include credit provisions made."]
[]
[null,null,"Note 3:","Please describe the licensed corporation's policy on making credit provisions below."]
[]
[null,null,null,"",null,null,null,null,null,null,null,"[A503]"]

{"sheet":"Form 10 Table 6","index":19,"n_rows":32,"n_cols":12,"rows_kept":32,"cut":false,"hidden":false,"merged":[[5,5,5,10],[18,11,19,11],[20,11,24,11],[13,2,13,4],[7,9,9,9],[7,10,9,10],[10,2,10,4],[11,2,11,4],[7,2,9,4],[7,5,9,5],[7,6,9,6],[7,7,9,7],[7,8,9,8],[15,6,16,6],[15,7,16,7],[15,8,16,8],[31,3,32,10],[18,10,19,10],[20,5,24,5],[20,6,24,6],[20,7,24,7],[20,8,24,8],[20,9,24,9],[18,2,19,4],[20,2,24,4],[18,5,19,5],[18,6,19,6],[18,7,19,7],[18,8,19,8],[20,10,24,10],[29,3,29,10],[18,9,19,9],[15,5,16,5],[27,3,27,10],[17,2,17,4],[15,2,16,4],[15,9,16,9],[15,10,16,10]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 10","REPORT ON PROPRIETARY DERIVATIVE POSITIONS"]
[]
[null,"Table 6","Derivative-related trading profits and losses for the period ended",null,null,null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]"]
[]
[null,null,null,null,null,"(HK$'000)"]
[]
[null,null,"Derivative-related\ntrading profits and losses\n(Note 1)",null,null,"Equity contracts\n[A600]","Interest rate contracts\n[A601]","Foreign exchange contracts\n[A602]","Precious metals contracts\n[A603]","Other commodity contracts\n[A604]","Total\n[A605]"]
[]
[]
[null,null,"(a) Trading",null,null,0,0,0,0,0,{"$f":"SUM(F11:J11)","v":0}]
[null,null,"(b) Others (please specify)",null,null,0,0,0,0,0,{"$f":"SUM(F12:J12)","v":0}]
[null,null,null,null,null,"[A606]","[A607]","[A608]","[A609]","[A610]","[A611]"]
[null,"[A606A]",""]
[null,null,null,null,null,"[A612]","[A613]","[A614]","[A615]","[A616]","[A617]"]
[null,null,"(c) Total derivative-related \n      trading revenues (a) + (b)",null,null,{"$f":"SUM(F11:F12)","v":0},{"$f":"SUM(G11:G12)","v":0},{"$f":"SUM(H11:H12)","v":0},{"$f":"SUM(I11:I12)","v":0},{"$f":"SUM(J11:J12)","v":0},{"$f":"SUM(F16:J17)","v":0}]
[]
[]
[null,null,"(d) Total revenues of the licensed \n      corporation (Note 2)",null,null,null,null,null,null,null,0,"[A618]"]
[]
[null,null,"(e) Total derivative-related trading \n      revenues as a percentage of \n      licensed corporation's total \n      revenues (c)/(d) x 100%",null,null,null,null,null,null,null,{"$f":"ROUND(IF(ISERROR(K16/K19), 0, K16/K19),2)","v":0},"[A619]"]
[]
[]
[]
[]
[]
[]
[null,null,"Note 1 :","In the case where the derivative trading activities of the licensed corporation include the trading of derivative contracts as well as related cash instruments, derivative-related trading profits and losses should include the trading profits and losses arising from both derivative contract trading and related cash instruments trading.  If a licensed corporation has a different way of calculating the derivative-related trading revenues, please specify the underlying methods and approaches below."]
[]
[null,null,null,"",null,null,null,null,null,null,null,"[A620]"]
[]
[null,null,"Note 2:","This means the total revenues of the licensed corporation as a whole including all derivatives and non-derivatives businesses. "]

{"sheet":"Form 11","index":20,"n_rows":54,"n_cols":15,"rows_kept":54,"cut":false,"hidden":false,"merged":[[39,10,39,12],[21,2,21,9],[22,2,22,9],[23,2,23,9],[24,2,24,9],[25,2,25,9],[38,2,38,9],[39,2,39,9],[34,2,34,9],[35,2,35,9],[36,2,36,9],[37,2,37,9],[36,10,36,12],[30,10,30,12],[29,2,29,9],[29,10,29,12],[33,2,33,9],[32,10,32,12],[33,10,33,12],[16,10,16,12],[23,10,23,12],[26,2,26,9],[27,2,27,9],[28,2,28,9],[27,10,27,12],[28,10,28,12],[22,10,22,12],[40,10,40,12],[15,2,15,9],[16,2,16,9],[17,2,17,9],[18,2,18,9],[19,2,19,9],[17,10,17,12],[18,10,18,12],[15,10,15,12],[37,10,37,12],[40,2,40,9],[24,10,24,12],[21,10,21,12],[30,2,30,9],[31,2,31,9],[32,2,32,9],[38,10,38,12],[31,10,31,12],[13,10,13,12],[25,10,25,12],[26,10,26,12],[34,10,34,12],[19,10,19,12],[35,10,35,12],[4,9,4,10],[7,10,7,12],[8,2,10,9],[8,10,10,12],[20,2,20,9],[20,10,20,12],[11,10,11,12],[12,10,12,12],[11,2,11,9],[12,2,12,9],[13,2,13,9],[14,2,14,9],[14,10,14,12]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,"FORM 11",null,"LIST OF RECOGNIZED COUNTERPARTIES WITH WHOM "]
[null,null,null,"FOREIGN CURRENCY POSITION  OF LICENSED CORPORATION LICENSED"]
[null,null,null,"FOR LEVERAGED FOREIGN EXCHANGE TRADING IS HELD"]
[null,null,null,"AS OF THE END OF REPORTING MONTH",null,null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},null,"[1004]","(Note 1)"]
[]
[]
[]
[null,null,"Name of recognized counterparty\n",null,null,null,null,null,null,null,"Qualifying criterion\n(Please enter appropriate qualifying criterion according to Note 2)\n"]
[]
[null," Row",null,null,null,null,null,null,null,null,null,null,null,null,"Row"]
[null,"[1]   [B100]","",null,null,null,null,null,null,null,null,null,null,"[B101]","[1]"]
[null,"[2]   [B102]","",null,null,null,null,null,null,null,null,null,null,"[B103]","[2]"]
[null,"[3]   [B104]","",null,null,null,null,null,null,null,null,null,null,"[B105]","[3]"]
[null,"[4]   [B106]","",null,null,null,null,null,null,null,null,null,null,"[B107]","[4]"]
[null,"[5]   [B108]","",null,null,null,null,null,null,null,null,null,null,"[B109]","[5]"]
[null,"[6]   [B110]","",null,null,null,null,null,null,null,null,null,null,"[B111]","[6]"]
[null,"[7]   [B112]","",null,null,null,null,null,null,null,null,null,null,"[B113]","[7]"]
[null,"[8]   [B114]","",null,null,null,null,null,null,null,null,null,null,"[B115]","[8]"]
[null,"[9]   [B116]","",null,null,null,null,null,null,null,null,null,null,"[B117]","[9]"]
[null,"[10]   [B118]","",null,null,null,null,null,null,null,null,null,null,"[B119]","[10]"]
[null,"[11]   [B120]","",null,null,null,null,null,null,null,null,null,null,"[B121]","[11]"]
[null,"[12]   [B122]","",null,null,null,null,null,null,null,null,null,null,"[B123]","[12]"]
[null,"[13]   [B124]","",null,null,null,null,null,null,null,null,null,null,"[B125]","[13]"]
[null,"[14]   [B126]","",null,null,null,null,null,null,null,null,null,null,"[B127]","[14]"]
[null,"[15]   [B128]","",null,null,null,null,null,null,null,null,null,null,"[B129]","[15]"]
[null,"[16]   [B130]","",null,null,null,null,null,null,null,null,null,null,"[B131]","[16]"]
[null,"[17]   [B132]","",null,null,null,null,null,null,null,null,null,null,"[B133]","[17]"]
[null,"[18]   [B134]","",null,null,null,null,null,null,null,null,null,null,"[B135]","[18]"]
[null,"[19]   [B136]","",null,null,null,null,null,null,null,null,null,null,"[B137]","[19]"]
[null,"[20]   [B138]","",null,null,null,null,null,null,null,null,null,null,"[B139]","[20]"]
[null,"[21]   [B140]","",null,null,null,null,null,null,null,null,null,null,"[B141]","[21]"]
[null,"[22]   [B142]","",null,null,null,null,null,null,null,null,null,null,"[B143]","[22]"]
[null,"[23]   [B144]","",null,null,null,null,null,null,null,null,null,null,"[B145]","[23]"]
[null,"[24]   [B146]","",null,null,null,null,null,null,null,null,null,null,"[B147]","[24]"]
[null,"[25]   [B148]","",null,null,null,null,null,null,null,null,null,null,"[B149]","[25]"]
[null,"[26]   [B150]","",null,null,null,null,null,null,null,null,null,null,"[B151]","[26]"]
[null,"[27]   [B152]","",null,null,null,null,null,null,null,null,null,null,"[B153]","[27]"]
[null,"[28]   [B154]","",null,null,null,null,null,null,null,null,null,null,"[B155]","[28]"]
[null,"[29]   [B156]","",null,null,null,null,null,null,null,null,null,null,"[B157]","[29]"]
[null,"[30]   [B158]","",null,null,null,null,null,null,null,null,null,null,"[B159]","[30]"]
[]
[null,null,"Note 1:","This form should be reported on quarterly basis, i.e. for March, June, September and December only."]
[]
[null,null,"Note 2:","For the purpose of this form, qualifying criterion refers to the following:"]
[null,null,null,"(a)","authorized financial institution;"]
[null,null,null,"(b)","licensed corporation licensed for leveraged foreign exchange trading;"]
[null,null,null,"(c)","corporation licensed for dealing in futures contracts that deals in currency futures contracts on any specified futures exchange;"]
[null,null,null,"(d)","equivalent corporation deals in currency futures contracts on any specified futures exchanges;"]
[null,null,null,"(e)","bank incorporated in a specified jurisdiction and regulated by a specified bank regulator;"]
[null,null,null,"(f)","corporation that has issued debt instruments which continue to attract a qualifying credit rating; or"]
[null,null,null,"(g)","institution which the Commission is satisfied its recognition as counterparty."]
[]
[null,null,null,"Please refer to Securities and Futures (Recognized Counterparty) Rules for details of qualifying criteria of recognized counterparty."]

{"sheet":"Form 12","index":21,"n_rows":42,"n_cols":13,"rows_kept":42,"cut":false,"hidden":false,"merged":[[1,5,1,12],[29,12,30,12],[31,12,32,12],[15,12,16,12],[17,12,18,12],[21,12,22,12],[27,12,28,12],[23,3,23,10],[13,12,14,12],[19,11,20,11],[41,5,41,12],[9,3,9,8],[19,3,19,10],[37,5,37,12],[38,5,38,12],[11,11,12,11],[25,11,26,11],[27,11,28,11],[29,11,30,11],[13,11,14,11],[39,5,39,12],[40,5,40,12],[31,11,32,11],[15,11,16,11],[17,11,18,11],[21,11,22,11]]}
[{"$f":"IF(ISBLANK('Form 1 Main'!G14),\"\",\"Financial return of\")&\" \"&IF(ISBLANK('Form 1 Main'!G14),\"\",'Form 1 Main'!G14)","v":" "},null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF(ISBLANK(Config!C7),\"\",Config!C7)","v":""}]
[null,null,"FORM 12",null,null,"CLIENT PROFILE AND AGGREGATE NET VALUE OF ASSETS\nUNDER MANAGEMENT"]
[null,null,null,null,null,"AS OF THE END OF REPORTING MONTH",null,null,null,null,{"$f":"IF(ISBLANK('Form 1 Main'!L21),\"\",'Form 1 Main'!L21)","v":""},"[1004]     (Note 1)"]
[]
[]
[null,null,"A.","Client profile"]
[]
[null,null,null,"Please analyze client profile as follows:",null,null,null,null,null,null,null,"Number of active\nclients (Note 2)"]
[]
[null,null,null,"Securities clients (other than clients dealing in stock options contracts)"]
[null,null,null,"-","cash clients",null,null,null,null,null,null,0,"[C100]"]
[null,null,null,"-","margin clients",null,null,null,null,null,null,0,"[C101]"]
[]
[null,null,null,null,null,null,null,null,null,null,null,{"$f":"SUM(L10:L13)","v":0},"[C102]"]
[]
[null,null,null,null,null,null,null,null,null,null,null,0,"[C103]"]
[null,null,null,"Futures and options clients"]
[null,null,null,null,null,null,null,null,null,null,null,0,"[C104]"]
[null,null,null,"Leveraged foreign exchange trading clients"]
[null,null,null,"Clients of the licensed corporation which is remunerated for \n    advising on securities, futures contracts and/or corporate\n    finance and/or providing asset management services",null,null,null,null,null,null,null,0,"[C105]"]
[]
[null,null,null,"Others",null,null,null,null,null,null,null,0,"[C106]"]
[]
[null,null,"B.","Aggregate net value of assets under management by licensed corporation licensed for asset management"]
[null,null,null,null,null,null,null,null,null,null,null,"(HK$'000)"]
[null,null,null,"1.","Authorized unit trusts and mutual funds",null,null,null,null,null,null,0,"[C107]"]
[]
[null,null,null,"2.","Other collective investment schemes",null,null,null,null,null,null,0,"[C108]"]
[]
[null,null,null,"3.","Others (including pension funds and discretionary accounts)",null,null,null,null,null,null,0,"[C109]"]
[]
[null,null,null,null,"Total aggregate net value of assets under management",null,null,null,null,null,null,{"$f":"SUM(L26:L31)","v":0},"[C110]"]
[]
[]
[]
[]
[]
[null,null,"Note 1:",null,"(a)","This form is to be submitted on semi-annual basis for a licensed corporation licensed for advising on securities, advising on futures contracts, advising on corporate finance and/or asset management which is subject to specified licensing condition."]
[null,null,null,null,"(b)","Licensed corporations other than those mentioned in Note 1(a) should submit this form on quarterly basis, i.e. for March, June, September and December."]
[null,null,"Note 2:",null,"(a)","Active clients are clients for whom the licensed corporation is required to prepare and deliver monthly statement of accounts in respect of the relevant reporting month in accordance with Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules."]
[null,null,null,null,"(b)","Where a client of a licensed corporation, which is remunerated for advisory/asset management services (including advisory on securities, futures contracts and/or corporate finance and provision of asset management services), receives services from one or more of the advisory/asset management services, such client should only be counted as one client in cell C105."]
[null,null,null,null,"(c) ","Where a client receives services from regulated activities other than those mentioned in Note 2(b) above, such client shall be counted as active client in the respective regulated activity."]

{"sheet":"Config","index":22,"n_rows":147,"n_cols":48,"rows_kept":147,"cut":false,"hidden":true,"merged":[]}
[null,null,null,"Number of Capacity selection",2,null,null,"Margin ShortFall",{"$f":"COUNTA(H2:H109)","v":2},"Bank Code","Bank Name",{"$f":"COUNTA(J2:J500)","v":146},"Securities Code","Securities Type",{"$f":"COUNTA(N2:N108)","v":27},null,null,"Currency Code","Currency ",27,"Type of Return",{"$f":"COUNTA(U2:U108)","v":2},"Analysis of Sharholders Fund",{"$f":"COUNTA(W2:W108)","v":2},"Credit Facilities Group",{"$f":"COUNTA(Y2:Y108)","v":50},"Qualifying criteria",{"$f":"COUNTA(AA2:AA108)","v":7},null,"Total No. of Array Field:",{"$f":"COUNTA(AD3:AD106)","v":55},null,null,null,"Credit Type","Nature",{"$f":"COUNTA(AI2:AI108)","v":19},null,null,null,null,null,"Month",12,"Year",22,"Group Number",{"$f":"COUNTA(AU2:AU108)","v":10}]
[null,"Protect? (\"Y\" or blank)","y","Declaration Capacity",null,null,null,null,null,1,"ABN AMRO BANK N.V.",null,"1a","Unsecured (i.e. clean facility)",null,null,null,"ARS","Argentine Peso",null,null,null,null,null,null,null,null,null,null,"Array Field Name","No. of Row","Key Column","Form No.",null,"1a","Overdraft available to the licensed corporation only"]
[null,"Password","ess2000","Responsible officer","A",null,null,"Trade date basis","A",2,"AGRICULTURAL BANK OF CHINA",null,"2a","Letter of comfort",null,null,null,"AUD","Australian Dollar",null,"MONTHLY","A","Final","A",1,null,"Authorized financial institution","a",null,"CFS1001",50,"CFS1001",3,null,"1b","Overdraft shared with other entity(ies)",null,null,null,null,null,null,"01",null,2009,null,1]
[null,"Form Name","FRR","Officer approved by the Commission under section 58(5)(e) of the Securities and Futures (Financial Resources) Rules","B",null,null,"Settlement date basis","B",3,"AIG PRIVAT BANK AG",null,"3a","Guarantee provided by shareholder/director",null,null,null,"BRL","Brazil Real",null,"SEMI-ANNUAL RETURN","B","Interim","B",2,null,"Licensed corporation licensed for leveraged foreign exchange trading","b",null,"CFS0001",50,"CFS1001",3,null,"2a","Term loan / revolving loan available to the licensed corporation only",null,null,null,null,null,null,"02",null,2010,null,2]
[null,"Form Version","9",null,null,null,null,null,null,4,"ALLAHABAD BANK",null,"3b","Guarantee provided by group company",null,null,null,"GBP","British Pound",null,null,null,null,null,3,null,"Corporation licensed for dealing in futures contracts ","c",null,"CFS0002",50,"CFS1001",3,null,"2b","Term loan / revolving loan shared with other entity(ies)",null,null,null,null,null,null,"03",null,2011,null,3]
[null,"Delimiter","$$$",null,null,null,null,null,null,5,"AMERICAN EXPRESS BANK LIMITED",null,"3c","Guarantee provided by other party",null,null,null,"CAD","Canadian Dollar",null,null,null,null,null,4,null,"Equivalent corporation deals in currency futures contracts","d",null,"CFS1002",50,"CFS1001",3,null,"3a","Drawing against uncleared effects / intra-day credit facility available to the licensed corporation only",null,null,null,null,null,null,"04",null,2012,null,4]
[null,"Checksum",null,null,null,null,null,null,null,6,"AUSTRALIA AND NEW ZEALAND BANKING GROUP LIMITED",null,"4a","Letter of indemnity provided by shareholder/director",null,null,null,"CNY","China Renminbi",null,null,null,null,null,5,null,"Bank incorporated in a specified jurisdiction and regulated by a specified bank regulator","e",null,"CFS0003",50,"CFS1001",3,null,"3b","Drawing against uncleared effects / intra-day credit facility shared with other entity(ies)",null,null,null,null,null,null,"05",null,2013,null,5]
[null,"Sub Version","4",null,null,null,null,null,null,7,"AXIS BANK LIMITED",null,"4b","Letter of indemnity provided by group company",null,null,null,"DKK","Danish Krone",null,null,null,null,null,6,null,"Corporation that has issued debt instruments which continue to attract a qualifying credit rating","f",null,"CFS0004",50,"CFS1001",3,null,"4a","Letter of credit available to the licensed corporation only",null,null,null,null,null,null,"06",null,2014,null,6]
[null,"No. of Forms","22",null,null,null,null,null,null,8,"BANCA DI ROMA, SOCIETA' PER AZIONI",null,"4c","Letter of indemnity provided by other party",null,null,null,"EUR","Euro",null,null,null,null,null,7,null,"Institution which the Commission is satisfied its recognitions as counterparty","g",null,"CFS0005",50,"CFS1001",3,null,"4b","Letter of credit shared with other entity(ies)",null,null,null,null,null,null,"07",null,2015,null,7]
[null,"Form","Form Code","Sub Form Code","Sheet No.",null,null,null,null,9,"BANCA MONTE DEI PASCHI DI SIENA S.P.A.",null,"5a","Letter of credit",null,null,null,"HKD","Hong Kong Dollar",null,null,null,null,null,8,null,null,null,null,"CFS1003",50,"CFS1001",3,null,"5a","IPO financing facility available to the licensed corporation only",null,null,null,null,null,null,"08",null,2016,null,8]
[null,"Form 1 - Liquid Capital Computation","LCC","LCC",1,null,null,null,null,10,"BANCO BILBAO VIZCAYA ARGENTARIA S.A.",null,"6a","Deposit provided by the licensed corporation",null,null,null,"INR","Indian Rupee",null,null,null,null,null,9,null,null,null,null,"CFS0007",50,"CFS1001",3,null,"5b","IPO financing facility shared with other entity(ies)",null,null,null,null,null,null,"09",null,2017,null,9]
[null,"Form 1 - Assets","LCC","LCC",2,null,null,null,null,11,"BANCO DE ORO UNIBANK, INC.",null,"6b","Deposit provided by shareholder/director",null,null,null,"IDR","Indonesian Rupiah",null,null,null,null,null,10,null,null,null,null,"CFS0007A",50,"CFS1001",3,null,"6","Subordinated loan other than approved subordinated loan",null,null,null,null,null,null,"10",null,2018,null,10]
[null,"Form 1 - Liabilities","LCC","LCC",3,null,null,null,null,12,"BANCO SANTANDER, S.A.",null,"6c","Deposit provided by group company",null,null,null,"JPY","Japanese Yen",null,null,null,null,null,11,null,null,null,null,"CFS0008",50,"CFS1001",3,null,"7a","Instalment / Mortgage loan facility available to the licensed corporation only",null,null,null,null,null,null,"11",null,2019]
[null,"Form 1 - Declaration","LCC","LCC",4,null,null,null,null,13,"BANGKOK BANK PUBLIC COMPANY LIMITED",null,"6d","Deposit provided by other party",null,null,null,"MYR","Malaysian Ringgit",null,null,null,null,null,12,null,null,null,null,"CFS0009",50,"CFS1001",3,null,"7b","Instalment / Mortgage loan facility shared with other entity(ies)",null,null,null,null,null,null,"12",null,2020]
[null,"Form 2","RLC","RLC",5,null,null,null,null,14,"BANK OF AMERICA, NATIONAL ASSOCIATION",null,"7a","Land and building provided by the licensed corporation",null,null,null,"NZD","New Zealand Dollar",null,null,null,null,null,13,null,null,null,null,"CFS0010",50,"CFS1001",3,null,"8","Bank guarantee",null,null,null,null,null,null,null,null,2021]
[null,"Form 3","CFS","CFS",6,null,null,null,null,15,"BANK OF BARODA",null,"7b","Land and building provided by shareholder/director",null,null,null,"NOK","Norwegian Krone",null,null,null,null,null,14,null,null,null,null,"MCA0001","20","MCA0001",4,null,"9a","Foreign exchange contract facility available to the licensed corporation only",null,null,null,null,null,null,null,null,2022]
[null,"Form 4 - Table 1","MCA","ULB",7,null,null,null,null,16,"BANK OF CHINA (HONG KONG) LIMITED",null,"7c","Land and building provided by group company",null,null,null,"PHP","Philippines Peso",null,null,null,null,null,15,null,null,null,null,"MCARANKING",20,"MCA0001",4,null,"9b","Foreign exchange contract facility shared with other entity(ies)",null,null,null,null,null,null,null,null,2023]
[null,"Form 4 - Table 2","MCA","AJB",8,null,null,null,null,17,"BANK OF CHINA LIMITED",null,"7d","Land and building provided by other party",null,null,null,"RUB","Russian Ruble",null,null,null,null,null,16,null,null,null,null,"MCA0002","20","MCA0001",4,null,"10","Corporate credit card facility",null,null,null,null,null,null,null,null,2024]
[null,"Form 5","ASC","ASC",9,null,null,null,null,18,"BANK OF COMMUNICATIONS CO., LTD.",null,"8a","Marketable securities provided by margin clients",null,null,null,"SGD","Singapore Dollar",null,null,null,null,null,17,null,null,null,null,"MCA0003","20","MCA0001",4,null,"99a","Other facility available to the licensed corporation only",null,null,null,null,null,null,null,null,2025]
[null,"Form 6","RBC","RBC",10,null,null,null,null,19,"BANK OF EAST ASIA, LIMITED (THE)",null,"8b","Marketable securities provided by the licensed corporation",null,null,null,"ZAR","South African Rand",null,null,null,null,null,18,null,null,null,null,"MCA1001","20","MCA0001",4,null,"99b","Other facility shared with other entity(ies)",null,null,null,null,null,null,null,null,2026]
[null,"Form 7","PLA","PLA",11,null,null,null,null,20,"BANK OF INDIA",null,"8c","Marketable securities provided by shareholder/director",null,null,null,"KRW","South Korean Won",null,null,null,null,null,19,null,null,null,null,"MCA0004","20","MCA0001",4,null,null,null,null,null,null,null,null,null,null,null,2027]
[null,"Form 8 - Table 1","ACA","CS",12,null,null,null,null,21,"BANK OF MONTREAL",null,"8d","Marketable securities provided by group company",null,null,null,"SEK","Swedish Krona",null,null,null,null,null,20,null,null,null,null,"MCA0005","20","MCA0001",4,null,null,null,null,null,null,null,null,null,null,null,2028]
[null,"Form 8 - Table 2","ACA","CSF",13,null,null,null,null,22,"BANK OF NEW YORK (THE)",null,"8e","Marketable securities by other party",null,null,null,"CHF","Swiss Franc",null,null,null,null,null,21,null,null,null,null,"MCA0006","20","MCA0001",4,null,null,null,null,null,null,null,null,null,null,null,2029]
[null,"Form 9","FCP","FCP",14,null,null,null,null,23,"BANK OF NOVA SCOTIA (THE)",null,"9a","Unquoted shares provided by the licensed corporation",null,null,null,"TWD","Taiwan Dollar",null,null,null,null,null,22,null,null,null,null,"MCA0007","20","MCA0001",4,null,null,null,null,null,null,null,null,null,null,null,2030]
[null,"Form 10 - Table 1","PDP","NAE",15,null,null,null,null,24,"BANK OF SCOTLAND PLC",null,"9b","Unquoted shares provided by shareholder/director",null,null,null,"THB","Thai Baht",null,null,null,null,null,23,null,null,null,null,"MCA0008","20","MCA0001",4]
[null,"Form 10 - Table 2","PDP","MUV",16,null,null,null,null,25,"BANK OF TAIWAN",null,"9c","Unquoted shares provided by group company",null,null,null,"USD","US Dollar",null,null,null,null,null,24,null,null,null,null,"MCA0009","20","MCA0001",4]
[null,"Form 10 - Table 3","PDP","NAT",17,null,null,null,null,26,"BANK OF TOKYO-MITSUBISHI UFJ, LTD. (THE)",null,"9d","Unquoted shares provided by other party",null,null,null,"VND","Vietnam Dong",null,null,null,null,null,25,null,null,null,null,"MCA0010","20","MCA0001",4]
[null,"Form 10 - Table 4","PDP","ICQ",18,null,null,null,null,27,"BANK SINOPAC",null,99,"Other security",null,null,null,"099","Other",null,null,null,null,null,26,null,null,null,null,"MCA0011","20","MCA0001",4]
[null,"Form 10 - Table 5","PDP","IPD",19,null,null,null,null,28,"BARCLAYS BANK PLC",null,null,null,null,null,null,null,null,null,null,null,null,null,27,null,null,null,null,"MCA0012","20","MCA0001",4]
[null,"Form 10 - Table 6","PDP","DTR",20,null,null,null,null,29,"BAYERISCHE HYPO-UND VEREINSBANK AKTIENGESELLSCHAFT",null,null,null,null,null,null,null,null,null,null,null,null,null,28,null,null,null,null,"MCA0021",30,"MCA0021",4]
[null,"Form 11","LRC","LRC",21,null,null,null,null,30,"BAYERISCHE LANDESBANK ",null,null,null,null,null,null,null,null,null,null,null,null,null,29,null,null,null,null,"MCA0022",30,"MCA0021",4]
[null,"Form 12","OI","OI",22,null,null,null,null,31,"BNP PARIBAS",null,null,null,null,null,null,null,null,null,null,null,null,null,30,null,null,null,null,"MCA0023",30,"MCA0021",4]
[null,null,null,null,null,null,null,null,null,32,"BNP PARIBAS PRIVATE BANK",null,null,null,null,null,null,null,null,null,null,null,null,null,31,null,null,null,null,"ASC1001",60,"ASC1001",5]
[null,null,null,null,null,null,null,null,null,33,"CREDIT AGRICOLE CORPORATE AND INVESTMENT BANK",null,null,null,null,null,null,null,null,null,null,null,null,null,32,null,null,null,null,"ASC1002",60,"ASC1001",5]
[null,null,null,null,null,null,null,null,null,34,"CANADIAN IMPERIAL BANK OF COMMERCE",null,null,null,null,null,null,null,null,null,null,null,null,null,33,null,null,null,null,"ASC1003",60,"ASC1001",5]
[null,null,null,null,null,null,null,null,null,35,"CANARA BANK",null,null,null,null,null,null,null,null,null,null,null,null,null,34,null,null,null,null,"ASC0002",20,"ASC0002",5]
[null,null,null,null,null,null,null,null,null,36,"CATHAY BANK ",null,null,null,null,null,null,null,null,null,null,null,null,null,35,null,null,null,null,"ASC0003",20,"ASC0002",5]
[null,null,null,null,null,null,null,null,null,37,"CATHAY UNITED BANK COMPANY, LIMITED",null,null,null,null,null,null,null,null,null,null,null,null,null,36,null,null,null,null,"ASC0004",20,"ASC0002",5]
[null,null,null,null,null,null,null,null,null,38,"CHANG HWA COMMERCIAL BANK LTD.",null,null,null,null,null,null,null,null,null,null,null,null,null,37,null,null,null,null,"ASC0005",20,"ASC0002",5]
[null,null,null,null,null,null,null,null,null,39,"CHIBA BANK, LTD. (THE)",null,null,null,null,null,null,null,null,null,null,null,null,null,38,null,null,null,null,"RBCRANKING",20,"RBC0001",6]
[null,null,null,null,null,null,null,null,null,40,"CHINA CONSTRUCTION BANK (ASIA) CORPORATION LIMITED",null,null,null,null,null,null,null,null,null,null,null,null,null,39,null,null,null,null,"RBC0001",20,"RBC0001",6]
[null,null,null,null,null,null,null,null,null,41,"CHINA CONSTRUCTION BANK CORPORATION",null,null,null,null,null,null,null,null,null,null,null,null,null,40,null,null,null,null,"RBC0002",20,"RBC0001",6]
[null,null,null,null,null,null,null,null,null,42,"CHINA MERCHANTS BANK CO., LTD.",null,null,null,null,null,null,null,null,null,null,null,null,null,41,null,null,null,null,"RBC0003",20,"RBC0001",6]
[null,null,null,null,null,null,null,null,null,43,"CHINATRUST COMMERCIAL BANK, LTD.",null,null,null,null,null,null,null,null,null,null,null,null,null,42,null,null,null,null,"RBC0004",20,"RBC0001",6]
[null,null,null,null,null,null,null,null,null,44,"CHIYU BANKING CORPORATION LIMITED",null,null,null,null,null,null,null,null,null,null,null,null,null,43,null,null,null,null,"FCP0001",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,45,"CHONG HING BANK LIMITED",null,null,null,null,null,null,null,null,null,null,null,null,null,44,null,null,null,null,"FCP0002",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,46,"CHUGOKU BANK, LTD. (THE)",null,null,null,null,null,null,null,null,null,null,null,null,null,45,null,null,null,null,"FCP0003",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,47,"CITIBANK (HONG KONG) LIMITED",null,null,null,null,null,null,null,null,null,null,null,null,null,46,null,null,null,null,"FCP0004",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,48,"CITIBANK, N.A.",null,null,null,null,null,null,null,null,null,null,null,null,null,47,null,null,null,null,"FCP0005",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,49,"CITIC KA WAH BANK LIMITED ",null,null,null,null,null,null,null,null,null,null,null,null,null,48,null,null,null,null,"FCP0006",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,50,"COMMERZBANK AG",null,null,null,null,null,null,null,null,null,null,null,null,null,49,null,null,null,null,"FCP0007",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,51,"COMMONWEALTH BANK OF AUSTRALIA",null,null,null,null,null,null,null,null,null,null,null,null,null,50,null,null,null,null,"FCP0008",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,52,"COÖPERATIEVE CENTRALE RAIFFEISEN - BOERENLEENBANK B.A.",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"FCP0009",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,53,"CREDIT SUISSE",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"FCP0010",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,54,"DAH SING BANK LIMITED",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"FCP0011",20,"FCP0001",9]
[null,null,null,null,null,null,null,null,null,55,"DBS BANK (HONG KONG) LIMITED",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"LRC0001",30,"LRC0001",11]
[null,null,null,null,null,null,null,null,null,56,"DBS BANK LTD.",null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"LRC0002",30,"LRC0001",11]
[null,null,null,null,null,null,null,null,null,57,"DEPFA BANK PLC"]
[null,null,null,null,null,null,null,null,null,58,"DEUTSCHE BANK AKTIENGESELLSCHAFT"]
[null,null,null,null,null,null,null,null,null,59,"DZ BANK AG DEUTSCHE ZENTRAL-GENOSSENSCHAFTSBANK, FRANKFURT AM MAIN"]
[null,null,null,null,null,null,null,null,null,60,"E.SUN COMMERCIAL BANK, LTD."]
[null,null,null,null,null,null,null,null,null,61,"EAST WEST BANK"]
[null,null,null,null,null,null,null,null,null,62,"EFG BANK"]
[null,null,null,null,null,null,null,null,null,63,"ERSTE BANK DER OESTERREICHISCHEN SPARKASSEN AG"]
[null,null,null,null,null,null,null,null,null,64,"FAR EASTERN INTERNATIONAL BANK"]
[null,null,null,null,null,null,null,null,null,65,"FIRST COMMERCIAL BANK, LTD."]
[null,null,null,null,null,null,null,null,null,66,"FORTIS BANK"]
[null,null,null,null,null,null,null,null,null,67,"FUBON BANK (HONG KONG) LIMITED"]
[null,null,null,null,null,null,null,null,null,68,"HACHIJUNI BANK, LTD. (THE)"]
[null,null,null,null,null,null,null,null,null,69,"HANA BANK"]
[null,null,null,null,null,null,null,null,null,70,"HANG SENG BANK, LIMITED"]
[null,null,null,null,null,null,null,null,null,71,"HONG LEONG BANK BERHAD"]
[null,null,null,null,null,null,null,null,null,72,"HONGKONG & SHANGHAI BANKING CORPORATION LIMITED (THE)"]
[null,null,null,null,null,null,null,null,null,73,"HSBC BANK INTERNATIONAL LIMITED"]
[null,null,null,null,null,null,null,null,null,74,"HSBC BANK PLC"]
[null,null,null,null,null,null,null,null,null,75,"HSBC BANK USA, NATIONAL ASSOCIATION"]
[null,null,null,null,null,null,null,null,null,76,"HSBC PRIVATE BANK (SUISSE) SA"]
[null,null,null,null,null,null,null,null,null,77,"HSH NORDBANK AG"]
[null,null,null,null,null,null,null,null,null,78,"HUA NAN COMMERCIAL BANK, LTD."]
[null,null,null,null,null,null,null,null,null,79,"ICICI BANK LIMITED"]
[null,null,null,null,null,null,null,null,null,80,"INDIAN OVERSEAS BANK"]
[null,null,null,null,null,null,null,null,null,81,"INDUSTRIAL AND COMMERCIAL BANK OF CHINA (ASIA) LIMITED"]
[null,null,null,null,null,null,null,null,null,82,"INDUSTRIAL AND COMMERCIAL BANK OF CHINA LIMITED"]
[null,null,null,null,null,null,null,null,null,83,"ING ASIA PRIVATE BANK LTD"]
[null,null,null,null,null,null,null,null,null,84,"ING BANK N.V."]
[null,null,null,null,null,null,null,null,null,85,"INTESA SANPAOLO SPA"]
[null,null,null,null,null,null,null,null,null,86,"IYO BANK, LTD. (THE)"]
[null,null,null,null,null,null,null,null,null,87,"JPMORGAN CHASE BANK, NATIONAL ASSOCIATION"]
[null,null,null,null,null,null,null,null,null,88,"KBC BANK N.V."]
[null,null,null,null,null,null,null,null,null,89,"KOREA EXCHANGE BANK"]
[null,null,null,null,null,null,null,null,null,90,"LAND BANK OF TAIWAN CO., LTD."]
[null,null,null,null,null,null,null,null,null,91,"MALAYAN BANKING BERHAD "]
[null,null,null,null,null,null,null,null,null,92,"MEGA INTERNATIONAL COMMERCIAL BANK CO., LTD."]
[null,null,null,null,null,null,null,null,null,93,"MELLI BANK PLC"]
[null,null,null,null,null,null,null,null,null,94,"MEVAS BANK LIMITED"]
[null,null,null,null,null,null,null,null,null,95,"MITSUBISHI UFJ TRUST AND BANKING CORPORATION"]
[null,null,null,null,null,null,null,null,null,96,"MIZUHO CORPORATE BANK, LTD."]
[null,null,null,null,null,null,null,null,null,97,"NANYANG COMMERCIAL BANK, LIMITED"]
[null,null,null,null,null,null,null,null,null,98,"NATIONAL AUSTRALIA BANK, LIMITED"]
[null,null,null,null,null,null,null,null,null,99,"NATIONAL BANK OF PAKISTAN"]
[null,null,null,null,null,null,null,null,null,100,"NATIXIS"]
[null,null,null,null,null,null,null,null,null,101,"NEWEDGE GROUP"]
[null,null,null,null,null,null,null,null,null,102,"OVERSEA-CHINESE BANKING CORPORATION LTD."]
[null,null,null,null,null,null,null,null,null,103,"PHILIPPINE NATIONAL BANK"]
[null,null,null,null,null,null,null,null,null,104,"PT. BANK NEGARA INDONESIA (PERSERO) TBK."]
[null,null,null,null,null,null,null,null,null,105,"PUBLIC BANK (HONG KONG) LIMITED"]
[null,null,null,null,null,null,null,null,null,106,"PUBLIC BANK BERHAD"]
[null,null,null,null,null,null,null,null,null,107,"PUNJAB NATIONAL BANK"]
[null,null,null,null,null,null,null,null,null,108,"RBS COUTTS BANK AG"]
[null,null,null,null,null,null,null,null,null,109,"ROYAL BANK OF CANADA"]
[null,null,null,null,null,null,null,null,null,110,"ROYAL BANK OF SCOTLAND PUBLIC LIMITED COMPANY (THE)"]
[null,null,null,null,null,null,null,null,null,111,"SHANGHAI COMMERCIAL & SAVINGS BANK, LTD. (THE)"]
[null,null,null,null,null,null,null,null,null,112,"SHANGHAI COMMERCIAL BANK LIMITED"]
[null,null,null,null,null,null,null,null,null,113,"SHIGA BANK, LTD. (THE)"]
[null,null,null,null,null,null,null,null,null,114,"SHINKIN CENTRAL BANK"]
[null,null,null,null,null,null,null,null,null,115,"SHIZUOKA BANK, LTD. (THE)"]
[null,null,null,null,null,null,null,null,null,116,"SOCIETE GENERALE"]
[null,null,null,null,null,null,null,null,null,117,"SOCIETE GENERALE BANK & TRUST"]
[null,null,null,null,null,null,null,null,null,118,"STANDARD BANK ASIA LIMITED"]
[null,null,null,null,null,null,null,null,null,119,"STANDARD CHARTERED BANK"]
[null,null,null,null,null,null,null,null,null,120,"STANDARD CHARTERED BANK (HONG KONG) LIMITED"]
[null,null,null,null,null,null,null,null,null,121,"STATE BANK OF INDIA"]
[null,null,null,null,null,null,null,null,null,122,"STATE STREET BANK AND TRUST COMPANY"]
[null,null,null,null,null,null,null,null,null,123,"SUMITOMO MITSUI BANKING CORPORATION"]
[null,null,null,null,null,null,null,null,null,124,"SVENSKA HANDELSBANKEN AB (PUBL)"]
[null,null,null,null,null,null,null,null,null,125,"TAI SANG BANK LIMITED"]
[null,null,null,null,null,null,null,null,null,126,"TAI YAU BANK, LIMITED"]
[null,null,null,null,null,null,null,null,null,127,"TAIPEI FUBON COMMERCIAL BANK CO., LTD."]
[null,null,null,null,null,null,null,null,null,128,"TAISHIN INTERNATIONAL BANK CO., LTD"]
[null,null,null,null,null,null,null,null,null,129,"TAIWAN BUSINESS BANK"]
[null,null,null,null,null,null,null,null,null,130,"TAIWAN COOPERATIVE BANK, LTD."]
[null,null,null,null,null,null,null,null,null,131,"TORONTO-DOMINION BANK"]
[null,null,null,null,null,null,null,null,null,132,"UBS AG"]
[null,null,null,null,null,null,null,null,null,133,"UCO BANK"]
[null,null,null,null,null,null,null,null,null,134,"UNICREDITO ITALIANO SOCIETA' PER AZIONI"]
[null,null,null,null,null,null,null,null,null,135,"UNION BANK OF INDIA"]
[null,null,null,null,null,null,null,null,null,136,"UNITED COMMERCIAL BANK"]
[null,null,null,null,null,null,null,null,null,137,"UNITED OVERSEAS BANK LTD."]
[null,null,null,null,null,null,null,null,null,138,"WELLS FARGO BANK, NATIONAL ASSOCIATION"]
[null,null,null,null,null,null,null,null,null,139,"WESTLB AG"]
[null,null,null,null,null,null,null,null,null,140,"WESTPAC BANKING CORPORATION"]
[null,null,null,null,null,null,null,null,null,141,"WING HANG BANK, LIMITED"]
[null,null,null,null,null,null,null,null,null,142,"WING LUNG BANK LIMITED"]
[null,null,null,null,null,null,null,null,null,143,"WOORI BANK"]
[null,null,null,null,null,null,null,null,null,901,"Other authorized financial institution"]
[null,null,null,null,null,null,null,null,null,902,"Other financial institution in Hong Kong"]
[null,null,null,null,null,null,null,null,null,920,"Overseas financial institution"]

{"sheet":"Error Message","index":23,"n_rows":145,"n_cols":2,"rows_kept":145,"cut":false,"hidden":true,"merged":[]}
["Error Message ID","Error Message"]
[100,"Please select whether the financial return is monthly or semi-annual return in Form 1."]
[101,"Please enter the name of the licensed corporation in Form 1 - {1}."]
[102,"Please enter the CE number in Form 1 - {1}."]
[103,"Please enter the CE number in form of XXX999 (i.e. 3 alphabets + 3 numbers)."]
[104,"Please select reporting month in Form 1 - {1}."]
[105,"Please select the type(s) of regulated activity(ies) for which the licensed corporation is licensed in Form 1 - {1}."]
[106,"{1} is already opened, please close it and try again."]
[107,"Process Submitted Spreadsheet Failure"]
[108,"Can't reset all fields"]
[109,"File exported successfully.{1}{2}{3}"]
[110,"Error occured during Export Data File, export aborted!{1}{2}{3}"]
[111,"Message"]
[112,"File import failure{1}{2}Please close this workbook without save, and try import Data File again."]
[113,"Validation failure, export Data File aborted!"]
[114,"Process Submitted Spreadsheet Failure"]
[115,"Passed Form 1 validations."]
[116,"Validation failure, export aborted!{1}"]
[117,"Export Data File Failure"]
[118,"Error occured during Export Data File, export aborted!"]
[120,"File imported successfully."]
[121,"Import Data File will overwrite ALL existing data on the spreadsheet.{1}{2}Continue?"]
[122,"Required liquid capital reported in Form 1 - {1} does not equal to required liquid capital reported in Form 2 - Item {2}."]
[124,"Shareholders' funds in Form 1 - {1} do not equal to total shareholders' funds reported in Form 1 Note 6."]
[126,"Bank balances held in other accounts and cash in hand included in liquid capital computation in Form 1 - {1} do not equal to the reported amount in Form 1 Note 4."]
[128,"Shareholders' funds in Form 1 - {1} [cell {2}] do not equal to the difference between total assets in {3} [cell {4}] and total liabilities in {5} [cell {6}] in Form 1."]
[131,"Please select on which calculation basis the margin shortfall is accounted for in Form 1 - {1}."]
[132,"Please enter the name of the person signing the declaration in the page of declaration."]
[133,"Please indicate the capacity of the person signing the declaration in the page of declaration."]
[134,"Please enter the date of signing the financial return in the page of declaration."]
[135,"Form 1 contains data, but the submission is not declared in the page of declaration."]
[136,"Form 2 contains data, but the submission is not declared in the page of declaration."]
[137,"Form 3 contains data, but the submission is not declared in the page of declaration."]
[138,"Form 4 contains data, but the submission is not declared in the page of declaration."]
[139,"Form 5 contains data, but the submission is not declared in the page of declaration."]
[140,"Form 6 contains data, but the submission is not declared in the page of declaration."]
[141,"Form 7 contains data, but the submission is not declared in the page of declaration."]
[142,"Form 8 contains data, but the submission is not declared in the page of declaration."]
[143,"Form 9 contains data, but the submission is not declared in the page of declaration."]
[144,"Form 10 contains data, but the submission is not declared in the page of declaration."]
[145,"Form 11 contains data, but the submission is not declared in the page of declaration."]
[146,"Form 12 contains data, but the submission is not declared in the page of declaration."]
[200,"Please select the type(s) of regulated activity(ies) for which the licensed corporation is licensed in Form 1, for generating the floor requirement in Form 2 - Item - {1}."]
[201,"Passed Form 2 validations."]
[300,"Please select credit facility group in row {1} in Form 3."]
[302,"Please specify the detail of the financial institution, the credit type and the maturity/expiry date of the credit facility in row {1} in Form 3."]
[303,"Please specify the detail of the financial institution in row {1} in Form 3."]
[304,"Please specify the credit type of the credit facility in row {1} in Form 3."]
[305,"Please specify the maturity/expiry date of the credit facility in row {1} in Form 3."]
[306,"Please specify the detail of the financial institution, the credit type and the maturity/expiry date of the credit facility in row {1} in Form 3."]
[307,"Please specify the detail of the financial institution in row {1} in Form 3."]
[308,"Please specify the credit type of the credit facility in row {1} in Form 3."]
[309,"Please specify the maturity/expiry date of the credit facility in row {1} in Form 3."]
[310,"Please input data in row {1} before filling in row {2} in Form 3."]
[312,"Passed Form 3 validations."]
[400,"Please specify the client name in row {1} in Form 4 Table 1."]
[402,"Please specify the stock code / sedol number of collateral 1 in row {1} in Form 4 Table 1."]
[403,"Please specify the stock name of collateral 1 in row {1} in Form 4 Table 1."]
[404,"Please specify the stock code / sedol number of collateral 2 in row {1} in Form 4 Table 1."]
[405,"Please specify the stock name of collateral 2 in row {1} in Form 4 Table 1."]
[406,"Please specify the stock code / sedol number of collateral 3 in row {1} in Form 4 Table 1."]
[407,"Please specify the stock name of collateral 3 in row {1} in Form 4 Table 1."]
[408,"Repeated stock codes / sedol numbers are found in row {1} in Form 4 Table 1."]
[409,"Adjusted loan balance in row {1} should not exceed the corresponding unadjusted loan balance in the same row in Form 4 Table 1."]
[411,"Total unadjusted loan balance [cell {1}] in Form 4 Table 1 does not equal to the amounts receivable from margin clients reported in balance sheet [cell {2}] in Form 1."]
[413,"Total adjusted loan balance [cell {1}] in Form 4 Table 1 does not equal to amounts receivable from margin clients included in liquid capital computation [cell {2}] in Form 1 - {3}."]
[415,"Passed Form 4 Table 1 validations."]
[416,"Please specify the client name in row {1} in Form 4 Table 2."]
[417,"Please specify group number in row {1} in Form 4 Table 2."]
[418,"Passed Form 4 Table 2 validations."]
[419,"Please input data in row {1} before filling in row {2} in Form 4 Table 1."]
[420,"Please input data in row {1} before filling in row {2} Form 4 Table 2."]
[421,"Please specify the client name in row {1} in Form 4 Table 2."]
[500,"Please specify the stock name in row {1} in Form 5."]
[502,"Please specify stock code / sedol number in row {1} in Form 5."]
[503,"Please input the market value of the stock in row {1} in Form 5."]
[504,"Please input the concentration discounting factor in row {1} in Form 5."]
[505,"Concentration discounting factor is greater than 1 in Form 5."]
[506,"Passed Form 5 validations."]
[507,"Please input data in row {1} before filling in row {2} in Form 5."]
[600,"Please specify the client name in row {1} in Form 6."]
[602,"Adjusted balance in row {1} should not exceed the corresponding account balance in the same row in Form 6."]
[604,"Total account balance [cell {1}] in Form 6 does not equal to the amounts receivable from rolling balance cash clients reported in balance sheet [cell {2}] in Form 1."]
[606,"Total adjusted balance [cell {1}] in Form 6 does not equal to the amounts receivable from rolling balance cash clients included in liquid capital computation [cell {2}] in Form 1."]
[608,"Passed Form 6 validations."]
[609,"Please input data in row {1} before filling in row {2} in Form 6."]
[700,"Please specify the nature of other trading profit and loss in cell {1} for the amount reported in cell {2} in Form 7."]
[703,"Please specify the nature of other income in cell {1} for the amount reported in cell {2} in Form 7."]
[704,"Please specify the nature of other overhead in cell {1} for the amount reported in cell {2} in Form 7."]
[705,"The amount of retained profits/(accumulated losses) for the current month reported in cell {1} for the amount reported in cell {2} in Form 7."]
[708,"The amount of interest income received is material, please provide details of the interest income in Form 7 Note 5."]
[709,"The amount of interest income reported in cell {1} should equal to the amount reported in cell {2} in Form 7."]
[711,"Please specify the nature of other interest income in cell {1} for the amount reported in cell {2} in Form 7."]
[712,"The amount of interest expense paid is material, please provide details of the interest expense in Form 7 Note 5."]
[713,"The amount of interest expense reported in cell {1} should equal to the amount reported in cell {2} in Form 7."]
[714,"Passed Form 7 validations."]
[800,"Please select on which basis the client securities are accounted for in Note 1 of Form 8 Table 1."]
[801,"Please specify the nature of other client securities in cell {1} for the client securities reported in cell {2} in Form 8 Table 1."]
[804,"Please specify the CCASS sub-account number(s) of segregated account(s) designated for cash clients in cell {1} in Form 8 Table 1."]
[805,"Please specify the CCASS sub-account number(s) of segregated account(s) designated for margin clients in cell {1} in Form 8 Table 1."]
[806,"Please specify the nature(s) of the client securities kept in other CCASS sub-account(s) and the corresponding sub-account number(s) and purpose(s) in cell {1} and cell {2} for the client securities reported in cell {3} in Form 8 Table 1."]
[807,"Please specify the name of the associated entity(ies) by which the client securities are held in cell {1} in Form 8 Table 1."]
[808,"Please specify the location(s) of the client securities and the purpose(s) of the disposition(s) in cell {1} for the client securities reported in cell {2} in Form 8 Table 1."]
[809,"Total amount payable to clients reported in cell {1} in Form 8 Table 2 does not equal to amounts payable to clients reported in the balance sheet [cell {2}] in Form 1."]
[811,"Please specify the nature of the amounts payable to other clients in cell {1} for the amounts payable to clients reported in cell(s) {2} and/or {3} in Form 8 Table 2."]
[815,"Please specify where the client segregated funds are held in cell {1} for the amount of segregated funds reported in cell(s) {2} and/or {3} in Form 8 Table 2."]
[817,"Please explain in cell {1} in Form 8 Table 2 for the circumstance(s) leading to (a) total segregated fund for calculating ranking liabilities exceeding total amount payable to clients in Form 8 Table 2 ([cell {2}] > [cell {3}]); (b) difference between ranking liabilities computed in cell {4} in Form 8 Table 2 and amount of ranking liabilities included in item 23 of Form 1 [cell {5}]; and/or (c) excess or deficiency in segregated funds [cell {6}] in Form 8 Table 2."]
[819,"Passed Form 8 Table 1 validations."]
[820,"Passed Form 8 Table 2 validations."]
[900,"Please input foreign currency position in row {1} for the type of currency indicated in the same row in Form 9."]
[902,"Positions for the same foreign currency in row {1} and {2} should not be reported in seperate rows in Form 9."]
[904,"Please specify the type of the foreign currency for the foreign currency position reported in row {1} in Form 9."]
[906,"Assets & long commitments with recognized counterparty in row {1} should not exceed the sum of assets and long commitments in column A and column C of the same row in Form 9."]
[908,"Liabilities & short commitments with recognized counterparty in row {1} should not exceed the sum of liabilities and short commitments in column B and column D of the same row in Form 9."]
[910,"Reported gross foreign currency position in row {1} should not exceed the sum of assets, liabilities and long and short commitments of the same row in Form 9."]
[912,"Reported aggregate gross foreign currency position in row {1} should not exceed the reported gross foreign currency position of the same row in Form 9."]
[914,"The amount of 1.5% of aggregate gross foreign currency positions in cell {1} in Form 9 should equal to cell {2} in Form 2."]
[917,"Passed Form 9 validations."]
[1000,"Please specify other OTC contracts in [cell {1}] in Form 10 Table 1."]
[1002,"Please specify other Exchange-traded contracts in [cell {1}] in Form 10 Table 1."]
[1003,"Passed Form 10 Table 1 validations."]
[1004,"Passed Form 10 Table 2 validations."]
[1005,"Passed Form 10 Table 3 validations."]
[1006,"Passed Form 10 Table 4 validations."]
[1007,"Passed Form 10 Table 5 validations."]
[1008,"Passed Form 10 Table 6 validations."]
[1100,"Please input data in row {1} before filling in row {2} in Form 11."]
[1103,"Please enter the qualifying criterion for the recognized counterparty in row {1} in Form 11."]
[1104,"Please enter the name of recognized counterparty in row {1} in Form 11."]
[1105,"Please fill in Form 11 for the information about the recognized counterparty(ies) with whom the foreign currency positions are held."]
[1106,"Passed Form 11 validations."]
[1200,"Please enter the number of active cash clients in cell {1} in Form 12."]
[1202,"Please enter the number of active margin clients in cell {1} in Form 12."]
[1203,"Please enter the number of active futures and options clients in cell {1} in Form 12."]
[1204,"Please enter the number of active leveraged foreign exchange trading clients in cell {1} in Form 12."]
[1205,"Please enter the number of clients of the licensed corporation which is remunerated for advising on securities, futures contracts and/or corporate finance and/or providing asset management services in cell {1} in Form 12."]
[1206,"Passed Form 12 validations."]
[1207,"Please specify Securities Type!"]
[1208,"Invalid Data Entry"]
[1209,"Please select Currency Code from the list!"]
[1210,"Please specify the name of the financial institution!"]
[1211,"Please specify nature of the credit facility!"]
[1212,"For licensed corporations submitting financial return on monthly basis, please ensure that Form 10, Form 11 and/or Form 12 is/are properly reported as appropriate for the current reporting month of this financial return."]
[1213,"Warning"]
[1214,"Please specify type of currency!"]

{"sheet":"Label Mapping","index":24,"n_rows":722,"n_cols":3,"rows_kept":722,"cut":false,"hidden":true,"merged":[]}
["Form 1 Table 1"]
["Field ID","Display Label ID","Item no."]
["LCC1001",1000]
["LCC0001",1001,"Item 1"]
["LCC0002",1002,"Item 1"]
["LCC0003",1003,"Item 2"]
["LCC0004",1004,"Item 3"]
["LCC0004A",1005,"Item 3"]
["LCC1002A","1006A","Item 4"]
["LCC1002B","1006B","Item 4"]
["LCC1002C","1006C","Item 4"]
["LCC1002D","1006D","Item 4"]
["LCC1002E","1006E","Item 4"]
["LCC1002F","1006F","Item 4"]
["LCC1002G","1006G","Item 4"]
["LCC1002H","1006H","Item 4"]
["LCC1002I","1006I","Item 4"]
["LCC1002J","1006J","Item 4"]
["LCC1002K","1006K","Item 4"]
["LCC1002L","1006L","Item 4"]
["LCC1002M","1006M","Item 4"]
["LCC1002N","1006N","Item 4"]
["LCC1002O","1006O","Item 4"]
["LCC1002P","1006P","Item 4"]
["LCC1002Q","1006Q","Item 4"]
["LCC1002R","1006R","Item 4"]
["LCC1002S","1006S","Item 4"]
["LCC1002T","1006T","Item 4"]
["LCC1002U","1006U","Item 4"]
["LCC1002V","1006V","Item 4"]
["Form 1 Table 2"]
["Field ID","Display Label ID","Item no."]
["LCC1055",1007,"Item 5"]
["LCC1003",1009,"Item 5"]
["LCC1004",1010,"Item 5"]
["LCC1005",1008,"Item 5"]
["LCC0008",1011,"Item 6"]
["LCC0009",1012,"Item 6"]
["LCC0010",1013,"Item 7"]
["LCC0011",1014,"Item 7"]
["LCC1006",1015,"Item 8"]
["LCC1007",1016,"Item 8"]
["LCC0012",1017,"Item 9"]
["LCC0013",1018,"Item 9"]
["LCC0014",1019,"Item 10"]
["LCC0015",1020,"Item 10"]
["LCC0016",1021,"Item 11"]
["LCC0017",1022,"Item 11"]
["LCC0018",1023,"Item 12"]
["LCC0019",1024,"Item 12"]
["LCC0020",1025,"Item 13"]
["LCC0021",1026,"Item 13"]
["LCC0022",1027,"Item 14"]
["LCC0023",1028,"Item 14"]
["LCC0024",1029,"Item 15"]
["LCC0025",1030,"Item 15"]
["LCC0026",1031,"Item 16"]
["LCC0027",1032,"Item 16"]
["LCC0028",1033,"Item 16"]
["LCC0029",1034,"Item 16"]
["LCC0030",1035,"Item 16"]
["LCC0031",1036,"Item 16"]
["LCC0032",1037,"Item 16"]
["LCC0033",1038,"Item 16"]
["LCC1008",1039,"Item 16"]
["LCC1009",1040,"Item 16"]
["LCC1010",1041,"Item 17"]
["LCC1011",1042,"Item 17"]
["LCC1012",1043,"Item 18"]
["LCC1013",1044,"Item 18"]
["LCC1014",1045,"Item 18"]
["LCC1015",1046,"Item 18"]
["LCC1016",1047,"Item 18"]
["LCC1017",1048,"Item 18"]
["LCC1018",1049,"Item 18"]
["LCC1018A","1049A","Item 18"]
["LCC1018B","1049B","Item 18"]
["LCC1019",1050,"Item 18"]
["LCC1020",1051,"Item 18"]
["LCC0036",1052,"Item 19"]
["LCC0037",1053,"Item 20"]
["LCC0038",1054,"Item 21"]
["Form 1 Table 3"]
["Field ID","Display Label ID","Item no."]
["LCC0039",1055,"Item 22"]
["LCC0040",1056,"Item 22"]
["LCC0041",1057,"Item 23"]
["LCC0042",1058,"Item 23"]
["LCC0043",1059,"Item 24"]
["LCC0044",1060,"Item 24"]
["LCC0045",1061,"Item 25"]
["LCC0046",1062,"Item 25"]
["LCC0047",1063,"Item 25"]
["LCC0048",1064,"Item 25"]
["LCC0049",1065,"Item 25"]
["LCC0050",1066,"Item 25"]
["LCC1021",1067,"Item 25"]
["LCC1022",1068,"Item 25"]
["LCC0051",1069,"Item 25"]
["LCC0052",1070,"Item 25"]
["LCC0053",1071,"Item 26"]
["LCC0054",1072,"Item 26"]
["LCC0055",1073,"Item 27"]
["LCC0056",1074,"Item 27"]
["LCC1023",1075,"Item 28"]
["LCC1024",1076,"Item 28"]
["LCC1025",1077,"Item 28"]
["LCC1026",1078,"Item 28"]
["LCC1027",1079,"Item 28"]
["LCC1028",1080,"Item 28"]
["LCC1029",1081,"Item 28"]
["LCC1030",1082,"Item 28"]
["LCC0059",1083,"Item 29"]
["LCC0060",1084,"Item 29"]
["LCC0061",1085,"Item 30"]
["LCC1056",1086,"Item 31"]
["LCC0062",1087,"Item 31"]
["LCC0063",1088,"Item 31"]
["LCC0064",1089,"Item 31"]
["LCC0065",1090,"Item 31"]
["LCC0066",1091,"Item 31"]
["LCC0067",1092,"Item 31"]
["LCC0068",1093,"Item 31"]
["LCC0069",1094,"Item 31"]
["LCC1031",1095,"Item 31"]
["LCC0071",1096,"Item 31"]
["LCC1032",1097,"Item 31"]
["LCC1033",1098,"Item 31"]
["LCC0073",1099,"Item 31"]
["LCC0074",1100,"Item 32"]
["LCC0075",1101,"Item 33"]
["LCC0077",1102,"Item 34"]
["LCC0078",1103,"Item 35"]
["LCC0079",1104,"Item 36"]
["LCC0080",1105,"Item 37"]
["LCC0081",1106,"Item 38"]
["LCC0082",1107,"Note 4"]
["LCC0083",1108,"Note 4"]
["LCC0084",1109,"Note 4"]
["LCC0085",1110,"Note 4"]
["LCC1034","Form 1 - Note 5","Note 5"]
["LCC1037",1113,"Note 6"]
["LCC1038",1114,"Note 6"]
["LCC1042",1115,"Note 6"]
["LCC1043",1116,"Note 6"]
["Form 1 Declaration"]
["Field ID","Display Label ID","Item no."]
["LCC1057",1117]
["LCC1044",1118]
["LCC1045",1119]
["LCC1046",1120]
["LCC1047",1121]
["LCC1048",1122]
["LCC1049",1123]
["LCC1050",1124]
["LCC1051",1125]
["LCC1052",1126]
["LCC1053",1127]
["LCC1054",1128]
["LCC0088",1130]
["LCC0089",1131]
["LCC0090",1132]
["Form 2"]
["Field ID","Display Label ID","Item no."]
["RLC0001",2000,"(I)"]
["RLC0002",2001,"(II)"]
["RLC0003",2002,"(II)"]
["RLC0004",2003,"(II)"]
["RLC0005",2004,"(II)"]
["RLC0006",2005,"(II)"]
["RLC0007",2006,"(II)"]
["RLC0008",2007,"(II)"]
["RLC0009",2008,"(II)"]
["RLC0010",2009,"(II)"]
["RLC0011",2010,"(II)"]
["RLC0012",2011,"(II)"]
["RLC0013",2012,"(II)"]
["RLC0014",2013,"(III)"]
["RLC0015","2006A"]
["Form 3"]
["Field ID","Display Label ID","Item no."]
["CFS1001","Credit facility group"]
["CFS0001","Code of financial institution"]
["CFS0002","Name of financial institution"]
["CFS1002","Credit facility code"]
["CFS0003","Nature"]
["CFS0004","Maturity"]
["CFS0005","Limit"]
["CFS1003","Amount drawn or utilized by the licensed corporation"]
["CFS0007","Security code"]
["CFS0007A","Security type"]
["CFS0008","Name of provider and its relationship with the licensed corporation"]
["CFS0009","Market value of security provided"]
["CFS0010","Acceptable discounted value of security provided"]
["CFS1004",3000]
["CFS1005",3001]
["CFS1006",3002]
["CFS1007",3003]
["CFS1009",3004]
["Form 4 Table 1"]
["Field ID","Display Label ID","Item no."]
["MCA0001","Name of client in Form 4 Table 1"]
["MCARANKING","Ranking in Form 4 Table 1"]
["MCA0002","Unadjusted loan balance in Form 4 Table 1"]
["MCA0003","Collateral market value in Form 4 Table 1"]
["MCA1001","Adjusted loan balance in Form 4 Table 1"]
["MCA0004","Name of Collateral 1 in Form 4 Table 1"]
["MCA0005","Stock code/sedol no. of Collateral 1 in Form 4 Table 1"]
["MCA0006","Market value of Collateral 1 in Form 4 Table 1"]
["MCA0007","Name of Collateral 2 in Form 4 Table 1"]
["MCA0008","Stock code/sedol no. of Collateral 2 in Form 4 Table 1"]
["MCA0009","Market value of Collateral 2 in Form 4 Table 1"]
["MCA0010","Name of Collateral 3 in Form 4 Table 1"]
["MCA0011","Stock code/sedol no. of Collateral 3 in Form 4 Table 1"]
["MCA0012","Market value of Collateral 3 in Form 4 Table 1"]
["MCA0013",4000]
["MCA0014",4001]
["MCA1002",4002]
["MCA0015",4003]
["MCA0016",4004]
["MCA1003",4005]
["MCA1004",4006]
["MCA1006",4007]
["MCA0017",4008]
["MCA0018",4009]
["MCA1005",4010]
["Form 4 Table 2"]
["Field ID","Display Label ID","Item no."]
["MCA0021","Group number in Form 4 Table 2"]
["MCA0022","Name of client in Form 4 Table 2"]
["MCA0023","Adjusted loan balance in Form 4 Table 2"]
["MCA0111",4100]
["Form 5"]
["Field ID","Display Label ID","Item no."]
["ASC1001","Name of shares or warrants in Form 5","(A)"]
["ASC1002","Stock code/sedol number in Form 5","(A)"]
["ASC1003","Market value in Form 5","(A)"]
["ASC0002","Name of shares or warrants in Form 5","(B)"]
["ASC0003","Stock code/sedol number in Form 5","(B)"]
["ASC0004","Concentration discounting factor in Form 5","(B)"]
["ASC0005","Market value in Form 5","(B)"]
["ASC1004",5000]
["ASC1005",5001]
["ASC1006",5002]
["Form 6"]
["Field ID","Display Label ID","Item no."]
["RBC0001","Name of client in Form 6"]
["RBC0002","Account balance in Form 6"]
["RBC0003","Market value of securities holdings in Form 6"]
["RBC0004","Adjusted balance in Form 6"]
["RBC0005",6000]
["RBC0006",6001]
["RBC0007",6002]
["RBC0008",6003]
["RBC0009",6004]
["RBC0010",6005]
["RBC0011",6006]
["RBC1001",6007]
["RBC0012",6008]
["RBC0013",6009]
["RBC0014",6010]
["Form 7"]
["Field ID","Display Label ID","Item no."]
["PLA0001",7000]
["PLA0002",7001]
["PLA0003",7002]
["PLA0004",7003]
["PLA0005",7004]
["PLA0006",7005]
["PLA0007",7006]
["PLA0008",7007]
["PLA0009",7008]
["PLA0010",7009]
["PLA0011",7010]
["PLA0012",7011]
["PLA0013",7012]
["PLA0014",7013]
["PLA0015",7014]
["PLA0016",7015]
["PLA0017",7016]
["PLA0018",7017]
["PLA1001",7018]
["PLA1002",7019]
["PLA1003",7020]
["PLA0019",7021]
["PLA0020",7022]
["PLA0021",7023]
["PLA0022",7024]
["PLA0023",7025]
["PLA0024",7026]
["PLA0025",7027]
["PLA0026",7028]
["PLA0027",7029]
["PLA0028",7030]
["PLA0029",7031]
["PLA0030",7032]
["PLA0031",7033]
["PLA0032",7034]
["PLA0033",7035]
["PLA0034",7036]
["PLA0035",7037]
["PLA0036",7038]
["PLA1004",7039]
["PLA1005",7040]
["PLA1006",7041]
["PLA1007",7042]
["PLA1008",7043]
["PLA1009",7044]
["PLA1010",7045]
["PLA1011",7046]
["PLA1012",7047]
["PLA0037",7048]
["PLA0038",7049]
["PLA0039",7050]
["PLA0040",7051]
["PLA0041",7052]
["PLA0042",7053]
["PLA1013",7054]
["PLA1014",7055]
["PLA1015",7056]
["PLA1016",7057]
["PLA1017",7058]
["PLA1018",7059]
["PLA0046",7060]
["PLA0047",7061]
["PLA0048",7062]
["PLA0049",7063]
["PLA0050",7064]
["PLA0051",7065]
["PLA0051A","7063A"]
["PLA1019",7066]
["PLA1020",7067]
["PLA1021",7068]
["PLA1098",7069]
["PLA1099",7070]
["PLA1100",7071]
["PLA1022",7072]
["PLA1023",7073]
["PLA1024",7074]
["PLA1025",7075]
["PLA1026",7076]
["PLA1027",7077]
["PLA1028",7078]
["PLA1029",7079]
["PLA1030",7080]
["PLA1031",7081]
["PLA1032",7082]
["PLA1033",7083]
["PLA1034",7084]
["PLA1035",7085]
["PLA1036",7086]
["PLA1036A","7086A"]
["PLA1036B","7086B"]
["PLA1036C","7086C"]
["PLA1037",7087]
["PLA1038",7088]
["PLA1039",7089]
["PLA1040","7087A"]
["PLA1041",7090]
["PLA1042",7091]
["PLA1043",7092]
["PLA1044",7093]
["PLA1045",7094]
["PLA1046",7095]
["PLA1066",7096]
["PLA1067",7097]
["PLA1068",7098]
["PLA1079",7099]
["PLA1080",7100]
["PLA1081",7101]
["PLA1082",7102]
["PLA1083",7103]
["PLA1084",7104]
["PLA0079",7105]
["PLA0080",7106]
["PLA0081",7107]
["PLA0082",7108]
["PLA0083",7109]
["PLA0084",7110]
["PLA0085",7111]
["PLA0086",7112]
["PLA0087",7113]
["PLA0088",7114]
["PLA0089",7115]
["PLA0090",7116]
["PLA0091",7117]
["PLA0092",7118]
["PLA0093",7119]
["PLA1085",7120]
["PLA1086",7121]
["PLA1087",7122]
["PLA1088",7123]
["PLA1089",7124]
["PLA1090",7125]
["PLA1091","7123A"]
["PLA1092",7126]
["PLA1093",7127]
["PLA1094",7128]
["PLA1095",7129]
["PLA1096",7130]
["PLA1097",7131]
["PLA1101",7132]
["PLA1102",7133]
["PLA1103",7134]
["PLA1104",7135]
["PLA1105",7136]
["PLA1106",7137]
["PLA1107",7138]
["PLA1108",7139]
["PLA1109",7140]
["PLA1110",7141]
["PLA1111",7142]
["PLA1112",7143]
["PLA1113",7144]
["PLA1114",7145]
["PLA1115",7146]
["PLA1047",7147]
["PLA1050",7148]
["PLA1053",7149]
["PLA1056",7150]
["PLA1059",7151]
["PLA1062",7152]
["PLA1065","7152A"]
["PLA1116",7153]
["PLA1069",7154]
["PLA1072",7155]
["PLA1075",7156]
["PLA1078","7156A"]
["PLA1117",7157]
["Form 8 Table 1"]
["Field ID","Display Label ID","Item no."]
["ACA0001",8000]
["ACA0002",8001]
["ACA0003",8002]
["ACA1001",8003]
["ACA1002",8004]
["ACA1004",8005]
["ACA1003","8005A"]
["ACA1005",8006]
["ACA0005",8007]
["ACA1006",8008]
["ACA1007",8009]
["ACA1008","8010A"]
["ACA1009",8010]
["ACA1010","8011A"]
["ACA1011",8011]
["ACA1012",8012]
["ACA1014",8013]
["ACA1042","8013A"]
["ACA1043","8013C"]
["ACA1044","8013E"]
["ACA1045","8013G"]
["ACA1046","8013B"]
["ACA1047","8013D"]
["ACA1048","8013F"]
["ACA1049","8013H"]
["ACA1050",8014]
["ACA1015","8017A"]
["ACA0007",8015]
["ACA0008",8016]
["ACA1016",8017]
["ACA0010",8018]
["ACA1017",8019]
["ACA1018",8020]
["ACA0013",8021]
["ACA1019",8022]
["ACA0016","Form 8 Table 1 - Note 1"]
["ACA0013A",8025]
["Form 8 Table 2"]
["Field ID","Display Label ID","Item no."]
["ACA0017",8100]
["ACA0018",8102]
["ACA0019",8104]
["ACA1020",8106]
["ACA1051",8108]
["ACA1021","8110A"]
["ACA1022",8110]
["ACA1023",8112]
["ACA1024",8114]
["ACA1053",8116]
["ACA1025",8118]
["ACA1026",8119]
["ACA1027","8120A"]
["ACA1028",8120]
["ACA1029",8122]
["ACA1030",8125]
["ACA1031",8101]
["ACA1032",8103]
["ACA1033",8105]
["ACA1034",8107]
["ACA1052",8109]
["ACA1035",8111]
["ACA1036",8113]
["ACA1037",8115]
["ACA1038",8117]
["ACA1039",8121]
["ACA1040",8123]
["ACA1041",8124]
["ACA0027A",8126]
["Form 9"]
["Field ID","Display Label ID","Item no."]
["FCP0001","Currency Code"]
["FCP0002","Currency Type"]
["FCP0003","Assets in Form 9"]
["FCP0004","Liabilities in Form 9"]
["FCP0005","Long commitments in Form 9"]
["FCP0006","Short commitments in Form 9"]
["FCP0007","Gross foreign currency position in Form 9"]
["FCP0008","Net position in Form 9"]
["FCP0009","Assets & long commitments in Form 9"]
["FCP0010","Liabilities & short commitments in Form 9"]
["FCP0011","Aggregate gross foreign currency position in Form 9"]
["FCP0012","Total of Assets in Form 9"]
["FCP0013","Total of Liabilities in Form 9"]
["FCP0014","Total of Long commitments in Form 9"]
["FCP0015","Total of Short commitments in Form 9"]
["FCP0016","Total of Gross foreign currency position in Form 9"]
["FCP0017","Total of Net position in Form 9"]
["FCP0018","Total of Assets & long commitments in Form 9"]
["FCP0019","Total of Liabilities & short commitments in Form 9"]
["FCP0020","Total of Aggregate gross foreign currency position in Form 9"]
["FCP0023",9000]
["Form 10 Table 1"]
["Field ID","Display Label ID","Item no."]
["PDP0001","Equity contracts, Row 1"]
["PDP0002","Interest rate contracts, Row 1"]
["PDP0003","Foreign exchange contracts, Row 1"]
["PDP0004","Precious metals contracts, Row 1"]
["PDP0005","Other commodity contracts, Row 1"]
["PDP1001","Total, Row 1"]
["PDP0007","Equity contracts, Row 2"]
["PDP0008","Interest rate contracts, Row 2"]
["PDP0009","Foreign exchange contracts, Row 2"]
["PDP0010","Precious metals contracts, Row 2"]
["PDP0011","Other commodity contracts, Row 2"]
["PDP1002","Total, Row 2"]
["PDP0013","Equity contracts, Row 3"]
["PDP0014","Interest rate contracts, Row 3"]
["PDP0015","Foreign exchange contracts, Row 3"]
["PDP0016","Precious metals contracts, Row 3"]
["PDP0017","Other commodity contracts, Row 3"]
["PDP1003","Total, Row 3"]
["PDP0019","Equity contracts, Row 4"]
["PDP0020","Interest rate contracts, Row 4"]
["PDP0021","Foreign exchange contracts, Row 4"]
["PDP0022","Precious metals contracts, Row 4"]
["PDP0023","Other commodity contracts, Row 4"]
["PDP1004","Total, Row 4"]
["PDP0025","Equity contracts, Row 5"]
["PDP0026","Interest rate contracts, Row 5"]
["PDP0027","Foreign exchange contracts, Row 5"]
["PDP0028","Precious metals contracts, Row 5"]
["PDP0029","Other commodity contracts, Row 5"]
["PDP1005","Total, Row 5"]
["PDP0030A","A100"]
["PDP1006","Equity contracts, Row 6"]
["PDP1007","Interest rate contracts, Row 6"]
["PDP1008","Foreign exchange contracts, Row 6"]
["PDP1009","Precious metals contracts, Row 6"]
["PDP1010","Other commodity contracts, Row 6"]
["PDP1011","Total, Row 6"]
["PDP0037","Equity contracts, Row 7"]
["PDP0038","Interest rate contracts, Row 7"]
["PDP0039","Foreign exchange contracts, Row 7"]
["PDP0040","Precious metals contracts, Row 7"]
["PDP0041","Other commodity contracts, Row 7"]
["PDP1012","Total, Row 7"]
["PDP0043","Equity contracts, Row 8"]
["PDP0044","Interest rate contracts, Row 8"]
["PDP0045","Foreign exchange contracts, Row 8"]
["PDP0046","Precious metals contracts, Row 8"]
["PDP0047","Other commodity contracts, Row 8"]
["PDP1013","Total, Row 8"]
["PDP0049","Equity contracts, Row 9"]
["PDP0050","Interest rate contracts, Row 9"]
["PDP0051","Foreign exchange contracts, Row 9"]
["PDP0052","Precious metals contracts, Row 9"]
["PDP0053","Other commodity contracts, Row 9"]
["PDP1014","Total, Row 9"]
["PDP0055","Equity contracts, Row 10"]
["PDP0056","Interest rate contracts, Row 10"]
["PDP0057","Foreign exchange contracts, Row 10"]
["PDP0058","Precious metals contracts, Row 10"]
["PDP0059","Other commodity contracts, Row 10"]
["PDP1015","Total, Row 10"]
["PDP0061","Equity contracts, Row 11"]
["PDP0062","Interest rate contracts, Row 11"]
["PDP0063","Foreign exchange contracts, Row 11"]
["PDP0064","Precious metals contracts, Row 11"]
["PDP0065","Other commodity contracts, Row 11"]
["PDP1016","Total, Row 11"]
["PDP0066A","A101"]
["PDP1017","Equity contracts, Row 12"]
["PDP1018","Interest rate contracts, Row 12"]
["PDP1019","Foreign exchange contracts, Row 12"]
["PDP1020","Precious metals contracts, Row 12"]
["PDP1021","Other commodity contracts, Row 12"]
["PDP1022","Total, Row 12"]
["PDP1023","A102"]
["PDP1024","A103"]
["PDP1025","A104"]
["PDP1026","A105"]
["PDP1027","A106"]
["PDP1028","A107"]
["PDP0079A","A108"]
["Form 10 Table 2"]
["Field ID","Display Label ID","Item no."]
["PDP0080","A200"]
["PDP0081","A201"]
["PDP0082","A202"]
["PDP0083","A203"]
["PDP0084","A204"]
["PDP1029","A205"]
["PDP0086","A206"]
["PDP0087","A207"]
["PDP0088","A208"]
["PDP0089","A209"]
["PDP0090","A210"]
["PDP1030","A211"]
["PDP0092","A212"]
["PDP0093","A213"]
["PDP0094","A214"]
["PDP0095","A215"]
["PDP0096","A216"]
["PDP1031","A217"]
["PDP0098","A218"]
["PDP0099","A219"]
["PDP0100","A220"]
["PDP0101","A221"]
["PDP0102","A222"]
["PDP1032","A223"]
["Form 10 Table 3"]
["Field ID","Display Label ID","Item no."]
["PDP0106","1 year or less, Row 1"]
["PDP0107","Over 1 year through 5 years, Row 1"]
["PDP0108","Over 5 years, Row 1"]
["PDP1033","A300"]
["PDP0110","1 year or less, Row 2"]
["PDP0111","Over 1 year through 5 years, Row 2"]
["PDP0112","Over 5 years, Row 2"]
["PDP1034","A301"]
["PDP0114","1 year or less, Row 3"]
["PDP0115","Over 1 year through 5 years, Row 3"]
["PDP0116","Over 5 years, Row 3"]
["PDP1035","A302"]
["PDP0118","1 year or less, Row 4"]
["PDP0119","Over 1 year through 5 years, Row 4"]
["PDP0120","Over 5 years, Row 4"]
["PDP1036","A303"]
["PDP0122","1 year or less, Row 5"]
["PDP0123","Over 1 year through 5 years, Row 5"]
["PDP0124","Over 5 years, Row 5"]
["PDP1037","A304"]
["Form 10 Table 4"]
["Field ID","Display Label ID","Item no."]
["PDP0126","Aggregate gross positive market value, Row 1"]
["PDP0127","Aggregate of current credit exposure, Row 1"]
["PDP0128","Aggregate of collateral, Row 1"]
["PDP0129","Aggregate amount of guarantees, Row 1"]
["PDP0130","Credit equivalent amount after collateral and guarantees, Row 1"]
["PDP0131","Aggregate gross positive market value, Row 2"]
["PDP0132","Aggregate of current credit exposure, Row 2"]
["PDP0133","Aggregate of collateral, Row 2"]
["PDP0134","Aggregate amount of guarantees, Row 2"]
["PDP0135","Credit equivalent amount after collateral and guarantees, Row 2"]
["PDP0136","Aggregate gross positive market value, Row 3"]
["PDP0137","Aggregate of current credit exposure, Row 3"]
["PDP0138","Aggregate of collateral, Row 3"]
["PDP0139","Aggregate amount of guarantees, Row 3"]
["PDP0140","Credit equivalent amount after collateral and guarantees, Row 3"]
["PDP1038","A400"]
["PDP1039","A401"]
["PDP1040","A402"]
["PDP1041","A403"]
["PDP1042","A404"]
["Form 10 Table 5"]
["Field ID","Display Label ID","Item no."]
["PDP0146","A500"]
["PDP0147","A501"]
["PDP0148","A502"]
["PDP0148A","A503"]
["Form 10 Table 6"]
["Field ID","Display Label ID","Item no."]
["PDP0149","A600","(a)"]
["PDP0150","A601","(a)"]
["PDP0151","A602","(a)"]
["PDP0152","A603","(a)"]
["PDP0153","A604","(a)"]
["PDP0154","A605","(a)"]
["PDP0155","A606","(b)"]
["PDP0156","A607","(b)"]
["PDP0157","A608","(b)"]
["PDP0158","A609","(b)"]
["PDP0159","A610","(b)"]
["PDP0160","A611","(b)"]
["PDP0160A","A606A","(b)"]
["PDP1043","A612","(c)"]
["PDP1044","A613","(c)"]
["PDP1045","A614","(c)"]
["PDP1046","A615","(c)"]
["PDP1047","A616","(c)"]
["PDP1048","A617","(c)"]
["PDP0167","A618","(d)"]
["PDP1049","A619","(e)"]
["PDP0168A","A620","Note 1"]
["Form 11"]
["Field ID","Display Label ID","Item no."]
["LRC0001","Name of recognized counterparty in Form 11"]
["LRC0002","Qualifying criteria in Form 11"]
["Form 12"]
["Field ID","Display Label ID","Item no."]
["OI0001","C100","A"]
["OI0002","C101","A"]
["OI0003","C102","A"]
["OI0004","C103","A"]
["OI0005","C104","A"]
["OI1001","C105","A"]
["OI0006","C106","A"]
["OI0007","C107","B"]
["OI0008","C108","B"]
["OI0009","C109","B"]
["OI0010","C110","B"]