24-101F2 - Regulated Clearing Agency Quarterly Operations Report of Institutional Trade Reporting and Matching [F Proposed - Lapsed]
| Published Date: | 2006-03-03 |
|---|---|
| Document(s): |
|
Concurrently Published:
CALENDAR QUARTER PERIOD COVERED:
From: _____________________ to: ___________________
IDENTIFICATION AND CONTACT INFORMATION:
1. Full name of regulated clearing agency:
2. Name(s) under which business is conducted, if different from item 1:
3. Address of regulated clearing agency’s principal place of business:
4. Mailing address, if different from business address:
5. Contact employee name:
Telephone number:
E‑mail address:
INSTRUCTIONS:
File this form together with all exhibits pursuant to section 5.1 of the Instrument, covering the calendar quarter indicated above, within 30 days of the end of the calendar quarter.
Exhibits shall be provided in an electronic file, in the following file format: “CSV” (Comma Separated Variable) (e.g., the format produced by Microsoft Excel).
EXHIBITS:
1. DATA REPORTING
Exhibit A - Operating Data
For client trades with a T+3 settlement period, provide the information to complete Tables 1 and 2 below for each month in the quarter. Complete separate Tables 1 and 2 for client trades settled (i) by a custodian on behalf of an institutional investor and (ii) by a dealer on behalf of an institutional investor. These two tables can be integrated into one report. Provide separate aggregate information for trades that have been reported or entered into your facilities as matched trades by a matching service utility or other service provider.
Month/Year: ______ (MMM/YYYY)
Table 1-Entered:
| CAD Equity | USD Equity | CAD Debt | USD Debt | ||||
# | $ | # | $ | # | $ | # | $ | |
T |
|
|
|
|
|
|
|
|
T+1 |
|
|
|
|
|
|
|
|
T+2 |
|
|
|
|
|
|
|
|
T+3 |
|
|
|
|
|
|
|
|
andgt;T+3 |
|
|
|
|
|
|
|
|
Table 2-Matched:
| CAD Equity | USD Equity | CAD Debt | USD Debt | ||||
# | $ | # | $ | # | $ | # | $ | |
T |
|
|
|
|
|
|
|
|
T+1 |
|
|
|
|
|
|
|
|
T+2 |
|
|
|
|
|
|
|
|
T+3 |
|
|
|
|
|
|
|
|
andgt;T+3 |
|
|
|
|
|
|
|
|
Legend (#) is the total number of transactions in the month; ($) is the total value of the transactions (purchases and sales) in the month; “T” is the day on which a trade is executed; “T+1” is the next settlement day following T; “T+2” is the second settlement day following T; “T+3” is the third settlement day following T. |
Exhibit B - Exceptions
Using the format below, for each participant of the regulated clearing agency provide the percent of client trades during the quarter that have been entered and matched by the participant within the time required in Part 3 of the Instrument. The percentages given should relate to both the number of client trades that have been matched within the time and the aggregate value of the securities purchased and sold in the client trades that have been matched within the time.
Determine the percentages below separately for client trades settled (i) by a custodian on behalf of an institutional investor and (ii) by a dealer on behalf of an institutional investor.
| Percentage matched within timelines | |
Participant | By # of transactions | By value |
|
|
|
|
|
|
|
|
|
CERTIFICATE OF REGULATED CLEARING AGENCY
The undersigned certifies that the information given in this report on behalf of the regulated clearing agency is true and correct.
DATED at _________________________ this ____ day of ______________ 20___
_______________________________________________________
(Name of regulated clearing agency ‑ type or print)
_______________________________________________________
(Name of director, officer or partner ‑ type or print)
_______________________________________________________
(Signature of director or officer)
_______________________________________________________
(Official capacity ‑ type or print)