Unofficial Consolidation: Form 94-102F1 Customer Collateral Report: Direct Intermediary

Unofficial Consolidation: Form 94-102F1 Customer Collateral Report: Direct Intermediary

Forms

Ontario Securities Commission

Form 94-102F1

Unofficial consolidation current to 2017-07-03

This document is not an official statement of law or policy and should be used for reference purposes only.

Form 94-102F1
CUSTOMER COLLATERAL REPORT: DIRECT INTERMEDIARY

This Form 94-102F1 is to be completed by each direct intermediary in order to comply with its reporting obligations to the local securities regulator under subsection 25(1) of National Instrument 94-102 Derivatives: Customer Clearing and Protection of Customer Collateral and Positions (the "Instrument").

Type of Filing:

INITIAL

AMENDMENT[1]

 

Reporting Date[2]

DD/MM/YY

Reporting Period[3]

MM/YY

 

Reporting direct intermediary

[LEI][4]

Table A

Table A is to be completed by each direct intermediary that receives customer collateral from a customer in accordance with the Instrument. For calculations in Table A, include all customers that have posted customer collateral with the reporting direct intermediary.

 

A.

Total value of non-cash customer collateral posted with the direct intermediary as of the last business day of the Reporting Period

Total value of customer collateral posted with the direct intermediary as of the last business day of the Reporting Period

Number of customers represented by the reported total value of customer collateral posted with the direct intermediary[5]

 

 

 

Table B

Table B is to be completed by each direct intermediary that receives customer collateral from an indirect intermediary in accordance with the Instrument. Complete a separate line for each indirect intermediary that has posted customer collateral with the reporting direct intermediary. Where an LEI is not available, please provide the complete legal name of the indirect intermediary.

B.

Indirect intermediary

Customer collateral

Total value of non-cash customer collateral posted with the direct intermediary as of the last business day of the Reporting Period

Total value of customer collateral posted with the direct intermediary as of the last business day of the Reporting Period

1.

[LEI of any indirect intermediary that has posted customer collateral with the reporting direct intermediary]

 

 

Table C

Table C is to be completed by each direct intermediary that receives customer collateral from a customer or from an indirect intermediary in accordance with the Instrument. Complete a separate line for each location at which customer collateral is held by or for the reporting direct intermediary. Where an LEI is not available, please provide the complete legal and operating name(s) of the permitted depository.

C.

Permitted depository

1.

[LEI of reporting direct intermediary, if holding customer collateral itself]

2.

[LEI of any permitted depository holding customer collateral for the reporting direct intermediary]

Table D

Table D is to be completed by each direct intermediary that has posted customer collateral with a regulated clearing agency in accordance with the Instrument. Complete a separate line for each regulated clearing agency with which the reporting direct intermediary has posted customer collateral. Where an LEI is not available, please provide the complete legal and operating name(s) of the regulated clearing agency.

 

 

D.

Regulated clearing agency

Customer collateral

Total value of non-cash customer collateral posted with the regulated clearing agency as of the last business day of the Reporting Period

Total value of customer collateral posted with the regulated clearing agency as of the last business day of the Reporting Period

1.

[LEI of any regulated clearing agency with which the reporting direct intermediary has posted customer collateral]

 

 

 

 

[1] Please mark the form as "amendment" if the form is being resubmitted to correct or replace a form previously filed for a Reporting Period. Otherwise, please make the form as "initial".

[2] The Reporting Date must be within 10 business days of the end of the Reporting Period.

[3] The Reporting Period is the calendar month for which the form is submitted.

[4] Where an LEI is not available, please provide the complete legal name of the reporting direct intermediary together with the complete address of its head office.

[5] Please report the number of customers whose customer collateral was included in calculating the value reported in the second column of Table A.