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51A. Foreign currency positions 4-126 52. Miscellaneous 4-130 53. Other liabilities 4-134 Part 5 Miscellaneous 54. Licensed corporations to notify Commission of failure to comply with these Rules 5-2 55. Licensed corporations to notify Commission returns in
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A licensed corporation’s ranking liabilities are the sum of the liabilities on its balance-sheet and adjustments to cater for such factors such as market risks and contingency. The description and calculation of such liabilities and adjustments are prescribed under Division 4 of Part 4 of the Rules.
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“aggregate gross foreign currency position” (合計外幣總持倉量) means the aggregate of all the gross foreign currency positions held by a licensed corporation licensed for Type 3 regulated activity, excluding positions held with a recognized counterparty; )
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2024年7月3日 · 6 The SFC’s 28 June 2021 Circular to licensed corporations – Operation of bank accounts. 7 The Core Function of MIC of Finance and Accounting is to ensure the timely and accurate financial reporting and analyses of the operational results and financial positions of an LC.
27. Proprietary positions of licensed corporations 4-56 28. Amounts receivable from clearing houses, etc. 4-62 29. Amounts receivable from other dealers and clearing participants in respect of futures contracts, unlisted options contracts and leveraged foreign 4-66
2024年5月2日 · Net positions in foreign currencies not included as ranking liabilities. Some licensed firms that have net positions in foreign currencies do not include the specified percentage under the Financial Resources Rues as ranking liabilities.
Liquid capital requirement. ♦ Application of one uniform risk-based methodology to all licensed corporations in support of the new single licensing regime. ♦ Methodology, which marries capital adequacy with liquidity, is similar to net capital rules in many other overseas jurisdictions.
