Forms and Templates
Form 9 - Statement of Exposure to Margined Single Specified Product
Form for capital markets services licensees providing product financing to provide information on their exposures to specified products. This form must be submitted within 14 days from the end of each quarter.
Related to this Item
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FAQsPublished Date: 08 October 2018
FAQs on Lodgement of Financial Returns under the Securities and Futures (Financial and Margin Requirements) Regulations
Provides guidance on the requirements and procedures relating to the lodgement of financial returns by capital markets services licensees.
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RegulationsLast Revised Date: 08 October 2018
Securities And Futures (Financial And Margin Requirements For Holders Of Capital Markets Services Licences) Regulations
Sets out the minimum capital and financial resources, and other financial and margin requirements.
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NoticesLast Revised Date: 20 October 2017
Notice SFA 04-N13 Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences
How to comply with risk based capital adequacy requirements.