24-101F5 - Matching Service Utility Quarterly Operations Report of Institutional Trade Reporting and Matching [F Proposed - Lapsed]
| Published Date: | 2006-03-03 |
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Concurrently Published:
CALENDAR QUARTER PERIOD COVERED:
From: _____________________ to: ___________________
MATCHING SERVICE UTILITYIDENTIFICATION AND CONTACT INFORMATION:
1. Full name of matching service utility:
2. Name(s) under which business is conducted, if different from item 1:
3. Address of matching service utility’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 6.4 of the Instrument, covering the calendar quarter indicated above, within 30 days of the end of the calendar quarter.
Exhibits shall be reported in an electronic file, in the following format: “CSV” (Comma Separated Variable) (e.g., the format produced by Microsoft Excel).
If any information specified is not available, a full statement describing why the information is not available shall be separately furnished.
EXHIBITS
1. SUMMARY OF SIGNIFICANT AND OTHER CHANGES OVER PERIOD
Exhibit A - Summary of significant changes
Briefly describe all significant changes to the information provided in Form 24-101F3 that were required to be filed during the quarter pursuant to section 6.2 of the Instrument.
2. SYSTEMS REPORTING
Exhibit B - External systems audit
If an external audit report on your core systems was prepared during the quarter, provide a copy of the report.
Exhibit C - Material systems failures and change reporting
Provide a list and summary of all material systems failures and changes that occurred during the quarter.
3. DATA REPORTING
Exhibit D - Operating data
For trades that were entered and matched through your facilities, provide the information to complete Tables 1 and 2 below for each month in the quarter. These two tables can be integrated into one report.
Month/Year: ______ (MMM/YYYY)
Table 1-Entered:
| CAD Equity | USD Equity | CAD Debt | USD Debt | ||||
# | $ | # | $ | # | $ | # | $ | |
T |
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T+1 |
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T+2 |
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T+3 |
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andgt;T+3 |
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Table 2-Matched:
| CAD Equity | USD Equity | CAD Debt | USD Debt | ||||
# | $ | # | $ | # | $ | # | $ | |
T |
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T+1 |
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T+2 |
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T+3 |
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andgt;T+3 |
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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 E - Exceptions
Using the format below, provide the percent of trades during the quarter for each user or subscriber that have been entered and matched within the time required in Part 3 of the Instrument. The percentages given should relate to both the number of trades that have been matched within the time and the aggregate value of the securities purchased and sold in the trades that have been matched within the time.
| Percentage matched within timelines | |
User/Subscriber | By # of transactions | By value |
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4. CONFIDENTIALITY
Label all confidential material as “Confidential”. In submissions, do not include detailed and sensitive operational security information. No information under Exhibits D and E will be considered confidential.
CERTIFICATE OF MATCHING SERVICE UTILITY
The undersigned certifies that the information given in this report on behalf of the matching service utility is true and correct.
DATED at _________________________ this ____ day of ______________ 20___
_______________________________________________________
(Name of matching service utility‑ type or print)
_______________________________________________________
(Name of director, officer or partner ‑ type or print)
_______________________________________________________
(Signature of director, officer or partner)
_______________________________________________________
(Official capacity ‑ type or print)