Financial Corporations (Statistics) Regulations (Cth)
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS
(#DATE 28:03:1994)
[Note: The enabling legislation for these Regulations was repealed by Act No. 121 of 2001]
(#DATE 28:03:1994)
[Note: The enabling legislation for these Regulations was repealed by Act No. 121 of 2001]
- In force under the Financial Corporations Act 1974
*1* The Financial Corporations (Statistics) Regulations (in force under the Financial Corporations Act 1974) comprise Statutory Rules 1984 No. 87 amended as indicated in the Tables below.
Table of Statutory Rules
Year and Date of Date of Application
Number Notification commencement saving or
in Gazette transitional
provisions
1984 No. 87 25 May 1984 Parts I and II
(rr. 1-7),
Part V (rr. 15,
16) and Schedule:
1 June 1984
Remainder:
1 July 1984
1989 No. 84 4 May 1989 4 May 1989 -
Table of Amendments
ad=added or inserted am=amended rep=repealed rs=repealed and substituted
Provision affected How affected
Rr. 6, 7 am. 1989 No. 84
Rr. 10, 11 am. 1989 No. 84
Rr. 13, 14 am. 1989 No. 84
R. 16 am. 1989 No. 84
Schedule am. 1989 No. 84
Form 1 1984 No. 87
Forms 2-8 1984 No. 87
am. 1989 No. 84
Form 9 1984 No. 87
Forms 10-14 1984 No. 87
am. 1989 No. 84
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - TABLE OF PROVISIONS TABLE
TABLE OF PROVISIONS
Regulation
PART I - PRELIMINARY
1. Citation
2. Commencement
3. Interpretation
PART II - PERIODICAL STATEMENTS RELATED TO STATISTICAL
PERIODS
4. Application of Part II
5. Registered corporations to state that they are
corporations to which this Part applies
6. Registered corporations to furnish periodical statements
related to statistical periods
7. Related corporations in the same category may be treated
as one
PART III - QUARTERLY STATEMENTS
8. Application of Part III
9. Registered corporations to state that they are
corporations to which this Part applies
10. Registered corporations to furnish quarterly statements
11. Related corporations in the same category may be treated
as one
PART IV - SIX MONTHLY STATEMENTS
12. Application of Part IV
13. Registered corporations that are retailers to furnish
six-monthly statements
14. Related corporations that are retailers may be treated
as one
PART V - MISCELLANEOUS
15. Repeal of former Financial Corporations (Statistics)
Regulations
16. Saving
SCHEDULE
Forms
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - PART I
PART I - PRELIMINARY
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 1
Citation
1. These Regulations may be cited as the Financial Corporations (Statistics) Regulations.*1* SEE NOTES TO FIRST ARTICLE OF THIS CHAPTER .
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 2
Commencement
2. (1) Parts I, II and V and the Schedule to these Regulations shall come into operation on 1 June 1984.
(2) The remaining provisions of these Regulations shall come into operation on 1 July 1984.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 3
Interpretation
3. In these Regulations:
"the Act" means the Financial Corporations Act 1974;
"the former Regulations" means Statutory Rules 1976 No. 101 as amended by the other Statutory Rules repealed by regulation 15.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - PART II
PART II - PERIODICAL STATEMENTS RELATED TO STATISTICAL PERIODS
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 4
Application of Part II
4. (1) This Part applies to a corporation:
(a) that is a registered corporation included in one of the following categories:
(i) the category for building societies;
(ii) the category for authorised money market dealers;
(iii) the category for money market corporations;
(iv) the category for pastoral finance companies;
(v) the category for finance companies; or
(b) that is a registered corporation:
(i) the sum of the values of all the assets of which in
Australia exceeds $5,000,000; and
(ii) that is included in the category for general
financiers or the category for credit co-operatives.
(2) For the purpose of determining whether a registered corporation included in a category referred to in subparagraph (1) (b) (ii) is a corporation to which this Part applies, the values of the assets of the corporation at any time are the values of those assets as determined in accordance with the methods by which the values of assets were ascertained for the purposes of the audited balance sheet of the corporation that was at that time the most recent audited balance sheet of the corporation.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 5
Registered corporations to state that they are corporations to
which this Part applies
5. For the purposes of section 11 of the Act:
(a) if, at the commencement of this Part, a corporation included in a category referred to in subparagraph 4 (1) (b) (ii) is a corporation to which this Part applies, the corporation shall, before the expiration of the period of 30 days after the date of the commencement of this Part, furnish to the Reserve Bank a statement substantially in accordance with Form 1 in the Schedule; and
(b) where, after the commencement of this Part, a corporation included in a category referred to in subparagraph 4 (1) (b) (ii) becomes a corporation to which this Part applies, whether at the time of its incorporation or at a later time and whether or not the corporation has previously been a corporation to which this Part applies, the corporation shall, before the expiration of the period of 30 days after the day on which the corporation became a corporation to which this Part applies, furnish to the Reserve Bank a statement substantially in accordance with Form 1 in the Schedule.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 6
Registered corporations to furnish periodical statements
related to statistical periods
6. (1) For the purposes of section 11 of the Act, a corporation to which this Part applies shall:
(a) within the period of 21 days after the last day of the first statistical period after the corporation becomes such a corporation (whether or not that corporation has previously been such a corporation); and
(b) within the period of 21 days after the last day of each successive statistical period;
furnish to the Reserve Bank a periodical statement substantially in accordance with whichever of Forms 2, 3, 4, 5, 6, 7 and 8 in the Schedule is appropriate to the category in which the corporation is included.
(2) The first statistical period after a corporation becomes a corporation to which this Part applies commences:
(a) if, at the commencement of this Part, the corporation is a corporation to which this Part applies - on 1 June 1984;
(b) where, after the commencement of this Part, a corporation included in a category referred to in subparagraph 4 (1) (b) (ii) becomes a corporation to which this Part applies - on a day specified by the Reserve Bank in relation to the corporation, being a day not later than 60 days after the day on which the corporation furnishes to the Reserve Bank the statement referred to in paragraph 5 (a) or (b); and
(c) in any other case - on a day specified by the Reserve Bank in relation to the corporation, being a day not earlier than the day on which the corporation became a corporation to which this Part applies and not later than 60 days after the day on which the corporation became a corporation to which this Part applies.
(3) A statistical period (other than a statistical period referred to in subregulation (2)) in relation to the corporation commences on the day next succeeding the last day of the immediately preceding statistical period in relation to the corporation.
(4) Each statistical period in relation to a corporation shall be of such duration, being not less than 28 days nor more than 42 days, as the Reserve Bank specifies in relation to the corporation.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 7
Related corporations in the same category may be treated as one
7. (1) For the purpose of the application of these Regulations in relation to the furnishing of a statement referred to in subregulation 6 (1), any 2 or more corporations that are related to each other and are included in the same category may, with the consent in writing of the Reserve Bank, be treated as constituting a single corporation.
(2) Where, in pursuance of subregulation (1), the Reserve Bank consents to 2 or more corporations being treated as constituting a single corporation, any transactions between those corporations shall be disregarded in the completion of a statement referred to in subregulation 6 (1) made jointly in respect of those corporations.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - PART III
PART III - QUARTERLY STATEMENTS
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 8
Application of Part III
8. (1) This Part applies to a corporation:
(a) that is a registered corporation included in the category for intra group financiers or the category for other financial corporations; or
(b) that is a registered corporation:
(i) the sum of the values of all the assets of which in
Australia does not exceed $5,000,000; and
(ii) that is included in the category for general
financiers or the category for credit co-operatives.
(2) For the purpose of determining whether a registered corporation included in a category referred to in subparagraph (1) (b) (ii) is a corporation to which this Part applies, the values of the assets of the corporation at any time are the values of those assets as determined in accordance with the methods by which the values of assets were ascertained for the purposes of the audited balance sheet of the corporation that was at that time the most recent audited balance sheet of the corporation.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 9
Registered corporations to state that they are corporations to
which this Part applies
9. For the purposes of section 11 of the Act:
(a) if, at the commencement of this Part, a corporation included in a category referred to in subparagraph 8 (1) (b) (ii) is a corporation to which this Part applies, the corporation shall, before the expiration of the period of 30 days after the date of commencement of this Part, furnish to the Reserve Bank a statement substantially in accordance with Form 9 in the Schedule; and
(b) where, after the commencement of this Part, a corporation included in a category referred to in subparagraph 8 (1) (b) (ii) becomes a corporation to which this Part applies, whether at the time of its incorporation or at a later time and whether or not the corporation has previously been a corporation to which this Part applies, the corporation shall, before the expiration of the period of 30 days after the day on which the corporation became a corporation to which this Part applies, furnish to the Reserve Bank a statement substantially in accordance with Form 9 in the Schedule.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 10
Registered corporations to furnish quarterly statements
10. (1) For the purposes of section 11 of the Act, a corporation to which this Part applies shall:
(a) within the period of 21 days after the last day of the first quarter ending after the corporation becomes such a corporation (whether or not that corporation has previously been such a corporation); and
(b) within the period of 21 days after the last day of each successive quarter;
furnish to the Reserve Bank a quarterly statement substantially in accordance with whichever of Forms 10, 11, 12 and 13 in the Schedule is appropriate to the category in which the corporation is included.
(2) The first quarter after a corporation becomes a corporation to which this Part applies commences:
(a) if, at the commencement of this Part, the corporation is a corporation to which this Part applies - on 1 July 1984;
(b) where, after the commencement of this Part, a corporation included in a category referred to in subparagraph 8 (1) (b) (ii) becomes a corporation to which this Part applies - on a day specified by the Reserve Bank in relation to the corporation, being a day not later than 95 days after the day on which the corporation furnishes to the Reserve Bank the statement referred to in paragraph 5 (a) or (b); and
(c) in any other case - on a day specified by the Reserve Bank in relation to the corporation, being a day not earlier than the day on which the corporation became a corporation to which this Part applies and not later than 95 days after the day on which the corporation became a corporation to which this Part applies.
(3) A quarter, other than a quarter referred to in subregulation (2), in relation to the corporation commences on the day next succeeding the last day of the immediately preceding quarter in relation to the corporation.
(4) Each quarter in relation to a corporation shall be of such duration, being not less than 78 days nor more than 108 days, as the Reserve Bank specifies in relation to the corporation.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 11
Related corporations in the same category may be treated as one
11. (1) For the purpose of the application of these Regulations in relation to the furnishing of a statement referred to in subregulation 10 (1), any 2 or more corporations that are related to each other and are included in the same category may, with the consent in writing of the Reserve Bank, be treated as constituting a single corporation.
(2) Where, in pursuance of subregulation (1), the Reserve Bank consents to 2 or more corporations being treated as constituting a single corporation, any transactions between those corporations shall be disregarded in the completion of a statement referred to in subregulation 10 (1) made jointly in respect of those corporations.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - PART IV
PART IV - SIX MONTHLY STATEMENTS
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 12
Application of Part IV
12. This Part applies to a corporation that is a registered corporation included in the category for retailers.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 13
Registered corporations that are retailers to furnish
six-monthly statements
13. (1) For the purposes of section 11 of the Act, a registered corporation to which this Part applies shall:
(a) within the period of 21 days after the last day of the first statistical period after the corporation becomes such a corporation (whether or not that corporation has previously been such a corporation); and
(b) within the period of 21 days after the last day of each successive statistical period;
furnish to the Reserve Bank a Retailer's Six Monthly Statement of Loans and Advances Outstanding substantially in accordance with Form 14 in the Schedule.
(2) The first statistical period after a corporation becomes a corporation to which this Part applies commences:
(a) if, at the commencement of this Part, the corporation is a corporation to which this Part applies - on 1 July 1984; and
(b) in any other case - on a day specified by the Reserve Bank in relation to the corporation, being a day not earlier than the day on which the corporation became a corporation to which this Part applies and not later than 190 days after the day on which the corporation became a corporation to which this Part applies.
(3) A statistical period in relation to a corporation shall be of such duration, being not less than 156 days and not more than 216 days, as the Reserve Bank specifies in relation to the corporation.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 14
Related corporations that are retailers may be treated as one
14. (1) For the purpose of the application of these Regulations in relation to the furnishing of a statement referred to in subregulation 13 (1), any 2 or more corporations that are related to each other and are included in the category for retailers may, with the consent in writing of the Reserve Bank, be treated as constituting a single corporation.
(2) Where, in pursuance of subregulation (1), the Reserve Bank consents to 2 or more corporations being treated as constituting a single corporation, any transactions between those corporations shall be disregarded in the completion of a statement referred to in subregulation 13 (1) made jointly in respect of those corporations.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - PART V
PART V - MISCELLANEOUS
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 15
Repeal of former Financial Corporations (Statistics)
Regulations
15. Statutory Rules 1976 Nos. 101 and 168, Statutory Rules 1977 No. 151 and Statutory Rules 1978 No. 115 are repealed.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - REG 16
Saving
16. Where, immediately before the commencement of this Part:
(a) a registered corporation was included in either the category for intra group financiers or the category for other financial corporations; and
(b) the corporation was a registered corporation to which Part II of the former Regulations applied;
the corporation shall furnish to the Reserve Bank any Periodical Statement of Financial Operations, Assets and Selected Liabilities that it would, but for these Regulations, have been required so to furnish in respect of any statistical period ending before 1 July 1984, as if the former Regulations were still in operation.
FINANCIAL CORPORATIONS (STATISTICS) REGULATIONS - SCHEDULE SCH
SCHEDULE
FORMS
FORM 1
Regulation 5
COMMONWEALTH OF AUSTRALIA
Financial Corporations Act 1974
STATEMENT IN PURSUANCE OF REGULATION 5 OF THE FINANCIAL
CORPORATIONS (STATISTICS) REGULATIONS
In pursuance of regulation 5 of the Financial Corporations (Statistics)
Regulations
.........................................states that on 19 it became
(name of corporation)
a corporation to which Part II of the Financial Corporations (Statistics)
Regulations applies.
Dated this day of 19 .
(Signature of a senior officer of the corporation)
---------
FORM 2
Regulation 6
COMMONWEALTH OF AUSTRALIA
Financial Corporations Act 1974
BUILDING SOCIETIES PERIODICAL STATEMENT OF FINANCIAL OPERATIONS, ASSETS,
SELECTED LIABILITIES AND INTEREST RATES
AS AT......../......../19........
NAME OF REGISTERED CORPORATION...............................................
GENERAL DIRECTIONS
1. For the purposes of preparing this statement-
(a) a reference to a bank is to be read as a reference to-
(i) a bank within the meaning of the Banking Act 1959; or
(ii) a bank constituted by a State Act;
(b) a reference to a contingent asset is to be read as a reference to an
asset which would, on the happening of a future event that may or may not
happen, become an asset of the corporation making this statement;
(c) a reference to a statistical period shall be read as a reference to the
first statistical period, or a successive statistical period, as the case
requires, within the meaning of regulation 6;
(d) a reference to a resident is to be read as a reference to-
(i) a person, not being a body corporate, who is ordinarily resident in
Australia; or
(ii) a body corporate that is incorporated in Australia;
(e) where a body corporate that is a resident has a place of business outside
Australia, the body corporate shall be deemed not to be resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(f) where a body corporate that is not a resident has a place of business in
Australia, the body corporate shall be deemed to be a resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(g) the question whether corporations are related to each other shall be
determined in the same manner as the question whether corporations are related
to each other is determined under the Companies Act 1981.
2. All amounts entered in this statement are to be expressed in Australian
currency. If an amount in respect of an overseas line of credit or in respect of
an asset or liability realizable or payable in a currency other than Australian
currency is to constitute or be included in any amount entered in an item in the
statement, the value of the line of credit, asset or liability is to be included
in the statement at the equivalent in Australian currency calculated at the rate
of exchange used in determining the value of the line of credit, asset or
liability for the accounts of the corporation as those accounts stood at the end
of the statistical period.
3. For the purposes of completing this statement-
(a) an amount that would, but for this direction, be shown as an amount of
less than $500, shall be disregarded;
(b) an amount that would, but for this direction, be shown as an odd multiple
of $500, shall be shown to the next succeeding multiple of $1,000; and
(c) other amounts shall be shown to the nearest $1,000.
4. A reference in Part I, II, III, IV or V to a direction shall be read as a
reference to a special direction.
5. This statement is to be furnished to the Reserve Bank of Australia,
Sydney.
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STATUTORY DECLARATION
I ..................................... of ....................................
(Name of officer) (Residential address of officer)
in the ................................ do solemnly and sincerely declare: ....
(State or Territory) (Occupation)
1. that I am the ..................... of ....................................
(Description of office) (Name of corporation)
2. that the Periodical Statement of Financial Operations, Assets, Selected
Liabilities and Interest rates dated ......../......../........ and lodged
herewith, has been prepared in accordance with the directions contained in that
statement and is to the best of my knowledge and belief a true statement of the
assets, liabilities, financial operations and interest rates of the corporation
in respect of which the statement is made as those assets, liabilities,
operations and interest rates are shown in the books, accounts and records of
the corporation.
And I make this solemn declaration by virtue of the Statutory Declarations
Act 1959 and subject to the penalties provided by that Act for the making of
false statements in statutory declarations conscientiously believing the
statements contained in this declaration to be true in every particular.
.............................................................................. ..
(Signature of declarant)
Declared at .............................. the .................................
day of .............................. 19........
Before me.......................................................................
Title......................................................................... ..
(A Justice of the Peace or other person before whom a statutory declaration may
be made under section 8 of the Statutory Declarations Act 1959)
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PART I FINANCIAL OPERATIONS
$'000
1. LENDING OPERATIONS WITH RESIDENTS (OTHER THAN
RELATED CORPORATIONS)
(1) Lending commitments (Direction 1):
(a) New commitments (include increases in existing
commitments) during period . . . . . . . . . . . . . . . . . . . .........
(b) Cancellations of commitments (include reductions in
existing commitments) during period . . . . . . . . . . . . . . . .........
(c) Lending commitments remaining unused at end of period . .........
(2) Loans advanced and book debts purchased during period
(Direction 2) . . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Payments received during period in respect of loans made
(Direction 3)R ......................... .
(4) Interest debited to loan accounts during period
(Direction 4) . . . . . . . . . . . . . . . . . . . . . . . . . . .........
2. SELECTED BORROWING OPERATIONS FROM RESIDENTS
(OTHER THAN BORROWINGS FROM RELATED CORPORATIONS
AND BANKS)
(1) Receipts during period (Direction 5):
(a) Unsecured borrowings . . . . . . . . . . . . . . . . . . .........
(b) Withdrawable shares . . . . . . . . . . . . . . . . . . .........
(2) Withdrawals during period (Direction 6):
(a) Unsecured borrowings . . . . . . . . . . . . . . . . . . .........
(b) Withdrawable shares . . . . . . . . . . . . . . . . . . .........
(3) Amount of interest and dividends credited to unsecured
borrowing and withdrawable share accounts during period . . . . . .........
3. UNUSED BORROWING LINES AND STANDBY FACILITIES
AVAILABLE TO THE CORPORATION AT END OF PERIOD
(Direction 7)
(1) Made available by residents:
(a) Related corporations that are not banks . . . . . . . . .........
(b) Banks (Direction 8) . . . . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Made available by non-residents . . . . . . . . . . . . . .........
4. BILL (ACCEPTANCE/ENDORSEMENT) LINES AVAILABLE TO
THE CORPORATION UNDER ACCOMMODATION FACILITIES AT
END OF PERIOD (Direction 9)
(1) Total (used and unused) made available . . . . . . . . . . .........
(2) Unused available from:
(a) Banks . . . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
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PART II SELECTED LIABILITIES
5. PAID UP CAPITAL (Direction 10) . . . . . . . . . . . . . .........
6. BORROWINGS FROM RESIDENTS (Direction 11)
(1) Borrowings by the corporation's acceptance of bills of
exchange and the issue of promissory notes (Direction 12) . . . . .........
(2) Related corporations that are not banks . . . . . . . . . .........
(3) Banks:
(a) Bank accepted bills of exchange (Direction 13) . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(4) Other:
(a) Secured borrowings from-
(i) Government and public authorities (Direction 14) . . .........
(ii) Insurance companies (Direction 15) . . . . . . . . . .........
(iii) Other . . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Unsecured borrowings . . . . . . . . . . . . . . . . . . .........
(c) Withdrawable share capital . . . . . . . . . . . . . . . .........
7. BORROWINGS FROM NON-RESIDENTS . . . . . . . . . . . . . . .........
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PART III ASSETS (Direction 16)
8. CASH AND BANK DEPOSITS
(1) Certificates of deposit:
(a) Negotiable . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other interest bearing deposits . . . . . . . . . . . . . .........
(3) Cash and current accounts . . . . . . . . . . . . . . . . .........
9. PLACEMENTS WITH AUTHORISED DEALERS IN THE SHORT
TERM MONEY MARKET . . . . . . . . . . . . . . . . . . . . . . . .........
10. OTHER PLACEMENTS AND DEPOSITS (Direction 17)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974:
(a) Building Societies . . . . . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
11. BILLS OF EXCHANGE PURCHASED AND HELD (Direction 18)
(1) Bank accepted/endorsed:
(a) Public authorities (Direction 19) . . . . . . . . . . . .........
(b) Corporations registered under the Financial
Corporations Act 1974 (Direction 20) . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other:
(a) Public authorities (Direction 19) . . . . . . . . . . . .........
(b) Bills accepted by corporations registered under the
Financial Corporations Act 1974 . . . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
12. PROMISSORY NOTES PURCHASED AND HELD (Direction 21)
(1) Public authorities (Direction 19) . . . . . . . . . . . . .........
(2) Corporations registered under the Financial Corporations
Act 1974 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
13. OTHER GOVERNMENT AND PUBLIC AUTHORITY SECURITIES
(Direction 22)
(1) Treasury notes . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other Commonwealth Government securities . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
14. OTHER SECURITIES (Direction 23)
(1) Related corporations . . . . . . . . . . . . . . . . . . . .........
(2) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
15. LOAN OUTSTANDINGS (Direction 24)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974 . . . . . . . . . . . . . . . . . . . . . . .........
(3) Individuals:
(a) Owner-occupied housing (Direction 25) . . . . . . . . . .........
(b) Other (Direction 26) . . . . . . . . . . . . . . . . . . .........
(4) Other loans and advances . . . . . . . . . . . . . . . . . .........
16. OTHER ASSETS IN AUSTRALIA . . . . . . . . . . . . . . . . .........
17. OVERSEAS ASSETS . . . . . . . . . . . . . . . . . . . . . . .........
18. TOTAL ASSETS . . . . . . . . . . . . . . . . . . . . . . . .........
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PART IV INTEREST RATES (Direction 27)
19. INTEREST RATES APPLICABLE IN RESPECT OF WITHDRAWABLE SHARES OR
UNSECURED BORROWINGS (Direction 28)
(1) Normally withdrawable at call
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Range of shareholding or Interest rate Frequency of interest
borrowing sizes (per cent per annum) credits (Direction 29)
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..............................................................................
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(2) With fixed term (Direction 30)
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Period of
Range of notice Interest Frequency of
shareholding Term of required for rate interest
or borrowing shareholdings withdrawal (per cent credits
sizes or borrowings (Direction 31) per annum) (Direction 29)
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..............................................................................
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(3) With period of notice required for withdrawal (Direction 32)
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Frequency
Range of Period of notice Interest rate of interest
shareholding required (per cent per credits
or borrowing sizes for withdrawal annum) (Direction 29)
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(4) Other
Supply full details (e.g. shareholding or borrowing sizes, term or period of
notice required for withdrawal) of each rate offered under any facility which
does not fit clearly into any one of the above 3 sub-items.
----------------------------------------------------------------------------
Interest rate Frequency of interest
Details of facility (per cent per annum) credits (Direction 29)
---------------------------------------------------------------------------- ..............................................................................
----------------------------------------------------------------------------
20. INTEREST RATES APPLICABLE IN RESPECT OF LOANS TO INDIVIDUALS ON
THE SECURITY OF FIRST MORTGAGE TO FINANCE HOUSING FOR OWNER OCCUPATION
Where interest rates on such loans vary with characteristics of the loans
(e.g. loan size, first or second home buyer), report details of each rate.
----------------------------------------------------------------------------
Interest rate
(nominal Rests at which interest
rate per cent per is calculated (Direction
Loan characteristic annum) 33)
---------------------------------------------------------------------------- ..............................................................................
----------------------------------------------------------------------------
PART V MATURITY DISSECTION OF BORROWINGS AT END OF PERIOD
ONLY TO BE COMPLETED FOR THE MONTHS OF SEPTEMBER, DECEMBER, MARCH
AND JUNE
$'000
21. SECURED BORROWINGS FROM RESIDENTS (OTHER THAN
BORROWINGS FROM RELATED CORPORATIONS AND BANKS,
AND BORROWINGS BY THE ACCEPTANCE OF BILLS OF
EXCHANGE AND THE ISSUE OF PROMISSORY NOTES)
CLASSIFIED BY PERIOD OF NOTICE FOR WITHDRAWAL, OR
REMAINING PERIOD TO MATURITY WHERE A MATURITY
DATE IS SPECIFIED
(1) Not exceeding 3 months . . . . . . . . . . . . . . . . . . .........
(2) Exceeding 3 months but not exceeding 6 months . . . . . . .........
(3) Exceeding 6 months but not exceeding 1 year . . . . . . . .........
(4) Exceeding 1 year . . . . . . . . . . . . . . . . . . . . . .........
Total of item 21 (Direction 34) . . . . . . . . . . . . . . . .........
22. UNSECURED BORROWINGS AND WITHDRAWABLE SHARE
CAPITAL FROM RESIDENTS (OTHER THAN BORROWINGS
FROM RELATED CORPORATIONS AND BANKS, AND
BORROWINGS BY THE ACCEPTANCE OF BILLS OF EXCHANGE
AND THE ISSUE OFPROMISSORY NOTES) CLASSIFIED BY
PERIOD OF NOTICE FOR WITHDRAWAL, ORREMAINING
PERIOD TO MATURITY WHERE A MATURITY DATE IS
SPECIFIED
(1) At call (Direction 35) . . . . . . . . . . . . . . . . . . .........
(2) Not exceeding 7 days but not at call . . . . . . . . . . . .........
(3) Exceeding 7 days but not exceeding 3 months . . . . . . . .........
(4) Exceeding 3 months but not exceeding 6 months . . . . . . .........
(5) Exceeding 6 months but not exceeding 1 year . . . . . . . .........
(6) Exceeding 1 year . . . . . . . . . . . . . . . . . . . . . .........
Total of item 22 (Direction 36) . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
COMMENTS: Please provide any comments which you consider would assist in
interpreting the information supplied in this statement.
------------------------------------------------------------------------------ --
------------------------------------------------------------------------------ --
Please nominate the officer to be contacted if any queries arise regarding
this statement
Name .................................. Position..........................
STD Code .................... Telephone No. ..............................
SPECIAL DIRECTIONS-
1. Show the amount of credit facilities that involve commitments to provide
finance.
2. Include all loan and advance moneys disbursed during the period in respect
of which outstandings would be reported in sub-items 15 (2), (3) and (4) whether
or not the moneys disbursed were repaid during the period.
3. (1) Report cash collections of principal repayments and interest.
(2) Include proceeds from the sale of existing finance agreements.
(3) Do not include other liquidations such as bad debts written off.
4. Include penalty interest and management fees charged against loan accounts.
5. Include all interest and dividends credited to unsecured borrowing and
withdrawable share accounts during the period, but exclude interest accrued
which is not credited.
6. Do not include interest or dividends paid on withdrawals which have not
first been credited to unsecured borrowing and withdrawable share accounts.
7. Include all borrowing lines and standby facilities that involve
arrangements to provide finance to the corporation for use in its business in
Australia.
8. Include overdrafts only to the extent that they have not been drawn
upon.
9. Include all lines that involve arrangements by banks or others to provide
accommodation facilities to the corporation. Facilities that also involve
commitments to discount bills of exchange should be excluded from item 4 and
included in item 3.
10. Building societies with a fixed share capital are to include so much of
their paid up capital as is not available to their shareholders for individual
withdrawal by them. All other moneys received by building societies for the
issue of shares are to be included in the amount entered in sub-item 6 (4) (c).
11. (1) Include interest which has been capitalised.
(2) Do not include interest that has accured on borrowings but is not yet
paid.
(3) Do not include non-withdrawable share capital.
12. Include all bills of exchange payable by the corporation except-
(a) bills accepted by the corporation and held by it; and
(b) bills that have been accepted on behalf of customers under accommodation
facilities.
13. Include borrowings made by the issue of bills of exchange drawn by the
corporation and accepted by a bank.
14. Include advances received under Commonwealth and State Housing Agreements.
15. Include government insurance offices.
16. (1) Include only the value of assets in Australia in the amounts
entered in items 8 to 16 (inclusive).
(2) Do not include contingent assets.
(3) Do not include unearned income.
(4) Corporations that include in their accounts interest that has accrued but
is not yet received are to exclude that interest from the amounts entered in
items 8 to 15 (inclusive) but are to include it in the amount entered in item
16.
17. (1) Do not include deposits with government or other stabilisation or
contingency funds. Such deposits should be included in item 16.
(2) Do not include the following, which should be reported in specific items
elsewhere-
(a) deposits with banks;
(b) placements with authorised dealers in the short term money market;
(c) holdings of securities issued by government or public authorities;
(d) moneys payable to the corporation on bills of exchange or promissory
notes; and
(e) holdings of securities such as debentures and unsecured notes.
18. Do not include-
(a) the amounts of bills held in respect of which the corporation is the
acceptor;
(b) the amounts of bills held where the corporation is the drawer (the
amounts of these bills are to be included in the amounts entered in item 15);
and
(c) bills of exchange lodged with the corporation as collateral by a borrower
(transactions where the corporation contracts to sell back the securities lodged
with the corporation as collateral by a borrower should be treated as loans, and
the amounts entered in item 15).
19. Include public marketing authorities with public authorities.
20. Include only-
(1) bills of exchange drawn by registered corporations where they are
accepted by a bank; and
(2) bills of exchange accepted by registered corporations and endorsed by a
bank.
21. Do not include promissory notes lodged with the corporation as collateral
by a borrower. Transactions where the corporation contracts to sell back the
securities lodged with the corporation as collateral by a borrower should be
treated as loans, and the amounts entered in item 15.
22. (1) Include securities mortgaged by the corporation as collateral for its
borrowings.
(2) Do not include securities lodged with the corporation as collateral by a
borrower. Transactions where the corporation contracts to sell back the
securities lodged with the corporation as collateral by a borrower should be
treated as loans, and the amounts entered in item 15.
(3) Do not include bills of exchange and promissory notes issued by public
authorities.
23. Include all forms of securities not elsewhere included and shares of all
kinds.
24. (1) Include all assets arising from the provision of finance that are not
elsewhere included.
(2) Include all non-equity (i.e. debt) participation in leveraged lease
agreements.
(3) Do not include amounts due from trade debtors for the sale of goods or
the provision of services where payment in full for the goods or services is
required before the expiration of 3 months from the day on which the contract
for their sale or provision is entered into. These amounts are to be included in
item 16.
(4) Do not deduct provisions for doubtful debts. Provisions for doubtful
debts should be deducted from item 16.
25. (1) Include only secured loans and advances made to individuals
for the purchase or construction of dwellings intended for occupation by those
individuals, or for making alterations or additions to existing housing occupied
by those individuals.
(2) Do not include loans or advances made to individuals to finance the
purchase of residential blocks of land. The amounts of these loans or advances
are to be included in sub-item 15 (3) (b).
(3) Do not include loans or advances made to finance the purchase of land for
the purpose of sub-division. The amounts of these loans or advances are to be
included in sub-item 15 (4).
26. Do not include finance provided to an individual for use in connection with
a business carried on by him. The amounts of such finance are to be included in
sub-item 15 (4).
27. Show the interest rates that, as at the end of the period, were the rates
normally applicable in respect of new transactions of the classes specified.
28. Do not include particulars of interest rates applicable in respect of
deposits in contractual savings accounts.
29. State frequency with which interest is credited to accounts or paid (for
example monthly, quarterly, half-yearly, on maturity).
30. Show all fixed term accounts, including those requiring notice of
withdrawal after expiry of the term.
31. Complete only if a period of notice of withdrawal is required.
32. Include only those accounts with a notice period that is
immediately available. Accounts with notice periods in addition to fixed terms
should be included in sub-item 19 (2).
33. State rests at which interest is calculated (for example monthly,
quarterly, half-yearly).
34. The total of this item should equal sub-item 6 (4) (a).
35. Include only funds withdrawable on demand. Funds withdrawable at
one day's notice should be included in sub-item 22 (2).
36. The total of this item should equal the sum of sub-items 6 (4) (b) and (c).
---------
FORM 3
Regulation 6
COMMONWEALTH OF AUSTRALIA
Financial Corporations Act 1974
AUTHORISED MONEY MARKET DEALERS PERIODICAL STATEMENT OF ASSETS AND
SELECTED LIABILITIES
AS AT......../......../19........
NAME OF REGISTERED CORPORATION...............................................
GENERAL DIRECTIONS
1. For the purposes of preparing this statement-
(a) a reference to a bank is to be read as a reference to-
(i) a bank within the meaning of the Banking Act 1959; or
(ii) a bank constituted by a State Act;
(b) a reference to a contingent asset is to be read as a reference to an
asset which would, on the happening of a future event that may or may not
happen, become an asset of the corporation making this statement;
(c) a reference to a statistical period shall be read as a reference to the
first statistical period, or a successive statistical period, as the case
requires, within the meaning of regulation 6;
(d) a reference to a resident is to be read as a reference to-
(i) a person, not being a body corporate, who is ordinarily resident in
Australia; or
(ii) a body corporate that is incorporated in Australia;
(e) where a body corporate that is a resident has a place of business outside
Australia, the body corporate shall be deemed not to be resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(f) where a body corporate that is not a resident has a place of business in
Australia, the body corporate shall be deemed to be a resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(g) the question whether corporations are related to each other shall be
determined in the same manner as the question whether corporations are related
to each other is determined under the Companies Act 1981.
2. All amounts entered in this statement are to be expressed in Australian
currency. If an amount in respect of an overseas line of credit or in respect of
an asset or liability realizable or payable in a currency other than Australian
currency is to constitute or be included in any amount entered in an item in the
statement, the value of the line of credit, asset or liablity is to be included
in the statement at the equivalent in Australian currency calculated at the rate
of exchange used in determining the value of the line of credit, asset or
liability for the accounts of the corporation as those accounts stood at the end
of the statistical period.
3. For the purpose of completing this statement-
(a) an amount that would, but for this direction, be shown as an amount of
less than $500, shall be disregarded;
(b) an amount that would, but for this direction, be shown as an odd multiple
of $500, shall be shown to the next succeeding multiple of $1,000; and
(c) other amounts shall be shown to the nearest $1,000.
4. A reference in Part I, II, III or IV to a direction shall be read as a
reference to a special direction.
5. This statement is to be furnished to the Reserve Bank of Australia,
Sydney.
------------------------------------------------------------------------------ --
STATUTORY DECLARATION
I ..................................... of ....................................
(Name of officer) (Residential address of officer)
in the ................................ do solemnly and sincerely declare: ....
(State or Territory) (Occupation)
1. that I am the ..................... of ....................................
(Description of office) (Name of corporation)
2. that the Periodical Statement of Assets and Selected Liabilities dated
......../......../........, and lodged herewith, has been prepared in accordance
with the directions contained in that statement and is to the best of my
knowledge and belief a true statement of the assets and liabilities of the
corporation in respect of which the statement is made as those assets and
liabilities are shown in the books, accounts and records of the corporation.
And I make this solemn declaration by virtue of the Statutory Declarations
Act 1959 and subject to the penalties provided by that Act for the making of
false statements in statutory declarations conscientiously believing the
statements contained in this declaration to be true in every particular.
.............................................................................. ..
(Signature of declarant)
Declared at .............................. the .................................
day of .............................. 19 ........
Before me.......................................................................
Title......................................................................... ..
(A Justice of the Peace or other person before whom a statutory declaration may
be made under section 8 of the Statutory Declarations Act 1959)
------------------------------------------------------------------------------ --
PART I SELECTED LIABILITIES
$'000
1. BORROWINGS FROM RESIDENTS (Direction 1)
(1) Related corporations that are not banks:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Banks:
(a) Bank accepted bills of exchange (Direction 2) . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
2. BORROWINGS FROM NON-RESIDENTS . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
PART II ASSETS (Direction 3)
3. CASH AND BANK DEPOSITS
(1) Certificates of deposit:
(a) Negotiable . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Cash and other bank deposits . . . . . . . . . . . . . . . .........
4. PLACEMENTS WITH AUTHORISED DEALERS IN THE SHORT
TERM MONEY MARKET . . . . . . . . . . . . . . . . . . . . . . . .........
5. OTHER PLACEMENTS AND DEPOSITS (Direction 4)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974 . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
6. BILLS OF EXCHANGE PURCHASED AND HELD (Direction 5)
(1) Bank accepted/endorsed:
(a) Public authorities (Direction 6) . . . . . . . . . . . . .........
(b) Corporations registered under the Financial
Corporations Act 1974 (Direction 7) . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other:
(a) Public authorities (Direction 6) . . . . . . . . . . . . .........
(b) Bills accepted by corporations registered under the
Financial Corporations Act 1974 . . . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
7. PROMISSORY NOTES PURCHASED AND HELD (Direction 8)
(1) Public authorities (Direction 6) . . . . . . . . . . . . . .........
(2) Corporations registered under the Financial Corporations
Act 1974 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
8. OTHER GOVERNMENT AND PUBLIC AUTHORITY SECURITIES
(Direction 9)
(1) Treasury notes . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other Commonwealth Government securities . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
9. OTHER SECURITIES (Direction 10)
(1) Related corporations . . . . . . . . . . . . . . . . . . . .........
(2) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
10. LOAN OUTSTANDINGS (Direction 11)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974 . . . . . . . . . . . . . . . . . . . . . . .........
(3) Individuals (Direction 12) . . . . . . . . . . . . . . . . .........
(4) Other loans and advances . . . . . . . . . . . . . . . . . .........
11. OTHER ASSETS IN AUSTRALIA . . . . . . . . . . . . . . . . .........
12. OVERSEAS ASSETS . . . . . . . . . . . . . . . . . . . . . . .........
13. TOTAL ASSETS . . . . . . . . . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
PART III MATURITY DISSECTION OF BORROWINGS AND COMMONWEALTH GOVERNMENT
SECURITIES HELD
14. BORROWINGS FROM RESIDENTS (OTHER THAN BORROWINGS
FROM RELATED CORPORATIONS) CLASSIFIED BY PERIOD OF
NOTICE FOR WITHDRAWAL OR REMAINING PERIOD TO
MATURITY WHERE A MATURITY DATE IS SPECIFIED
(1) At call and up to 24 hours . . . . . . . . . . . . . . . . .........
(2) Exceeding 24 hours but not exceeding 7 days . . . . . . . .........
(3) Exceeding 7 days but not exceeding 3 months . . . . . . . .........
(4) Exceeding 3 months but not exceeding 1 year . . . . . . . .........
(5) Exceeding 1 year . . . . . . . . . . . . . . . . . . . . . .........
Total of item 14 (Direction 13) . . . . . . . . . . . . . . . .........
15. COMMONWEALTH GOVERNMENT SECURITIES (OTHER THAN
TREASURY NOTES) CLASSIFIED BY REMAINING PERIOD TO
MATURITY
(1) Not exceeding 1 year . . . . . . . . . . . . . . . . . . . .........
(2) Exceeding 1 year but not exceeding 2 years . . . . . . . . .........
(3) Exceeding 2 years but not exceeding 5 years . . . . . . . .........
(4) Exceeding 5 years . . . . . . . . . . . . . . . . . . . . .........
Total of item 15 (Direction 14) . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
PART IV CLASSIFICATION OF LIABILITIES TO CLIENTS
ONLY TO BE COMPLETED FOR THE MONTHS OF SEPTEMBER,
DECEMBER, MARCH AND JUNE
16. LIABILITIES TO CLIENTS
(1) Banks:
(a) Trading . . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Savings . . . . . . . . . . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Insurance offices (Direction 15):
(a) Life . . . . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Superannuation and pension funds . . . . . . . . . . . . . .........
(4) Corporations registered under the Financial Corporations
Act 1974
(a) Building societies . . . . . . . . . . . . . . . . . . . .........
(b) Money market corporations . . . . . . . . . . . . . . . .........
(c) Finance companies and general financiers . . . . . . . . .........
(d) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(5) Governments and public authorities:
(a) Commonwealth Government . . . . . . . . . . . . . . . . .........
(b) Commonwealth public authorities . . . . . . . . . . . . .........
(c) State Governments . . . . . . . . . . . . . . . . . . . .........
(d) Local governments, State and local public authorities . .........
(6) Other:
(a) Friendly and health societies . . . . . . . . . . . . . .........
(b) Unit trusts, land trusts and mutual funds . . . . . . . .........
(c) Trustee companies . . . . . . . . . . . . . . . . . . . .........
(d) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
Total of item 16 . . . . . . . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
COMMENTS: Please provide any comments which you consider would assist in
interpreting the information supplied in this statement.
------------------------------------------------------------------------------ --
Please nominate the officer to be contacted if any queries arise regarding
this statement
Name .............................. Position ..............................
STD Code ............... Telephone No. ....................................
SPECIAL DIRECTIONS-
1. (1) Include interest which has been capitalised.
(2) Do not include interest that has accrued on borrowings but is not yet
paid.
(3) Do not include borrowings from the Reserve Bank's lender of last resort
facility.
2. Include borrowings made by the issue of bills of exchange drawn by the
corporation and accepted by a bank.
3. (1) Include only the value of assets in Australia in the amounts
entered in items 3 to 11 (inclusive).
(2) Do not include contingent assets.
(3) Do not include unearned income.
(4) Corporations that include in their accounts interest that has accrued but
is not yet received are to exclude that interest from the amounts entered in
items 3 to 10 (inclusive) but are to include it in the amount entered in item
11.
4. Do not include the following, which should be reported in specific items
elsewhere:
(a) deposits with banks;
(b) placements with authorised dealers in the short term money market;
(c) holdings of securities issued by government or public authorities;
(d) moneys payable to the corporation on bills of exchange or promissory
notes; and
(e) holdings of securities such as debentures and unsecured notes.
5. Do not include-
(a) the amounts of bills held in respect of which the corporation is the
acceptor;
(b) the amounts of bills held where the corporation is the drawer (the
amounts of these bills are to be included in the amounts entered in item 10);
and
(c) bills of exchange lodged with the corporation as collateral by a borrower
(transactions where the corporation contracts to sell back the securities lodged
with the corporation as collateral by a borrower should be treated as loans, and
the amounts entered in item 10).
6. Include public marketing authorities with public authorities.
7. Include only-
(a) bills of exchange drawn by registered corporations where they are
accepted by a bank; and
(b) bills of exchange accepted by registered corporations and endorsed by a
bank.
8. Do not include promissory notes lodged with the corporation as collateral
by a borrower. Transactions where the corporation contracts to sell back the
securities lodged with the corporation as collateral by a borrower should be
treated as loans, and the amounts entered in item 10.
9. (1) Include securities mortgaged by the corporation as collateral for its
borrowings.
(2) Do not include securities lodged with the corporation as collateral by a
borrower. Transactions where the corporation contracts to sell back the
securities lodged with the corporation as collateral by a borrower should be
treated as loans, and the amounts entered in item 10.
(3) Do not include bills of exchange and promissory notes issued by public
authorities.
10. Include all forms of securities not elsewhere included and shares of all
kinds.
11. (1) Include all assets arising from the provision of finance that are not
elsewhere included.
(2) Include the amounts of loans that involve or make provisions for-
(a) the issuing of bills of exchange accepted by the corporation whether or
not the bills have been sold; and
(b) the issuing of bills of exchange drawn and held by the corporation.
(3) Include all non-equity (i.e. debt) participation in leveraged lease
agreements.
(4) Do not include amounts due from trade debtors for the sale of goods or
the provision of services where payment in full for the goods or services is
required before the expiration of 3 months from the day on which the contract
for their sale or provision is entered into. These amounts are to be included in
item 11.
(5) Do not deduct provisions for doubtful debts from this item. Provisions
for doubtful debts should be deducted from item 11.
12. (1) Do not include loans or advances made to finance the purchase of land
for the purpose of sub-division. The amounts of these loans or advances are to
be included in sub-item 10 (4).
(2) Do not include finance provided to an individual for use in connection
with a business carried on by him. The amounts of such finance are to be
included in sub-item 10 (4).
13. The total of this item should equal the sum of sub-items 1 (2) and (3).
14. The total of this item should equal sub-item 8 (2).
15. Include government insurance offices.
---------
FORM 4
Regulation 6
COMMONWEALTH OF AUSTRALIA
Financial Corporations Act 1974
MONEY MARKET CORPORATION PERIODICAL STATEMENT OF FINANCIAL OPERATIONS,
ASSETS, SELECTED LIABILITIES AND INTEREST RATES
AS AT......../......../19........
NAME OF REGISTERED CORPORATION...............................................
GENERAL DIRECTIONS
1. For the purposes of preparing this statement-
(a) where registered corporations are related to other registered
corporations included in the category Money Market Corporations, do not
include transactions, or any assets or liabilities arising directly from
transactions, between those corporations in this form.
(b) a reference to a bank is to be read as a reference to-
(i) a bank within the meaning of the Banking Act 1959; or
(ii) a bank constituted by a State Act;
(c) a reference to a contingent asset is to be read as a reference to an
asset which would, on the happening of a future event that may or may not
happen, become an asset of the corporation making this statement;
(d) a reference to a statistical period shall be read as a reference to the
first statistical period, or a successive statistical period, as the case
requires, within the meaning of regulation 6;
(e) a reference to a resident is to be read as a reference to-
(i) a person, not being a body corporate, who is ordinarily resident in
Australia; or
(ii) a body corporate that is incorporated in Australia;
(f) where a body corporate that is a resident has a place of business outside
Australia, the body corporate shall be deemed not to be resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(g) where a body corporate that is not a resident has a place of business in
Australia, the body corporate shall be deemed to be a resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(h) the question whether corporations are related to each other shall be
determined in the same manner as the question whether corporations are related
to each other is determined under the Companies Act 1981.
2. All amounts entered in this statement are to be expressed in Australian
currency. If an amount in respect of an overseas line of credit or in respect of
an asset or liability realizable or payable in a currency other than Australian
currency is to constitute or be included in any amount entered in an item in the
statement, the value of the line of credit, asset or liability is to be included
in the statement at the equivalent in Australian currency calculated at the rate
of exchange used in determining the value of the line of credit, asset or
liability for the accounts of the corporation as those accounts stood at the end
of the statistical period.
3. For the purpose of completing this statement-
(a) an amount that would, but for this direction, be shown as an amount of
less than $500, shall be disregarded;
(b) an amount that would, but for this direction, be shown as an odd multiple
of $500, shall be shown to the next succeeding multiple of $1,000; and
(c) other amounts shall be shown to the nearest $1,000.
4. A reference in Part I, II, III, IV, V or VI to a direction shall be read as
a reference to a special direction.
5. This statement is to be furnished to the Reserve Bank of Australia, Sydney.
------------------------------------------------------------------------------ --
STATUTORY DECLARATION
I ..................................... of ....................................
(Name of officer) (Residential address of officer)
in the ................................ do solemnly and sincerely declare: ....
(State or Territory) (Occupation)
1. that I am the ..................... of ....................................
(Description of office) (Name of corporation)
2. that the Periodical Statement of Financial Operations, Assets, Selected
Liabilities and Interest Rates dated......../......../........, and lodged
herewith, has been prepared in accordance with the directions contained in that
statement and is to the best of my knowledge and belief a true statement of the
assets, liabilities, financial operations and interest rates of the
corporation(s) in respect of which the statement is made as those assets,
liabilities, operations and interest rates are shown in the books, accounts and
records of the corporation(s).
And I make this solemn declaration by virtue of the Statutory Declarations
Act 1959 and subject to the penalties provided by that Act for the making of
false statements in statutory declarations conscientiously believing the
statements contained in this declaration to be true in every particular.
.............................................................................. ..
(Signature of declarant)
Declared at .............................. the .................................
day of .............................. 19........
Before me.......................................................................
Title......................................................................... ..
(A Justice of the Peace or other person before whom a statutory declaration may
be made under section 8 of the Statutory Declarations Act 1959)
------------------------------------------------------------------------------ --PART I FINANCIAL OPERATIONS
$'000
1. COMMITMENTS TO RESIDENTS (OTHER THAN TO RELATED
CORPORATIONS) TO PROVIDE FINANCE INCLUDING
COMMITMENTS TO DISCOUNT BILLS OF EXCHANGE
(Direction 1)
(1) Net change during the period (Direction 2) . . . . . . . . .........
(2) Lending commitments remaining unused at end of period
(Direction 3) . . . . . . . . . . . . . . . . . . . . . . . . . . .........
2. COMMITMENTS REMAINING UNUSED AT END OF PERIOD TO
ACCEPT/ENDORSE BILLS OF EXCHANGE AS PART OF
ACCOMMODATION FACILITIES (Direction 4) . . . . . . . . . . . .........
3. BORROWING LINES AND STANDBY FACILITIES AVAILABLE TO
THE CORPORATION AT END OF PERIOD (Direction 5)
(1) Total (used and unused) made available by:
(a) Residents . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Non-residents . . . . . . . . . . . . . . . . . . . . . .........
(2) Unused:
(a) Made available by residents-
(i) Related corporations that are not banks . . . . . . .........
(ii) Banks (Direction 6) . . . . . . . . . . . . . . . . .........
(iii) Other . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Made available by non-residents . . . . . . . . . . . . .........
4. BILL (ACCEPTANCE/ENDORSEMENT) LINES AVAILABLE TO
THE CORPORATION UNDER ACCOMMODATION FACILITIES AT
END OF PERIOD (Direction 7)
(1) Total (used and unused) made available . . . . . . . . . . .........
(2) Unused available from:
(a) Banks . . . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
PART II SELECTED LIABILITIES
5. BORROWINGS FROM RESIDENTS (Direction 8)
(1) Borrowings by the corporation's acceptance of bills of
exchange and the issue of promissory notes (Direction 9) . . . . .........
(2) Other borrowings from:
(a) Related corporations that are not banks-
(i) Registered under the Financial Corporations Act 1974 .........
(ii) Other . . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Banks-
(i) Bank accepted bills of exchange (Direction 10) . . . .........
(ii) Other . . . . . . . . . . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
6. BORROWINGS FROM NON-RESIDENTS . . . . . . . . . . . . . . .........
7. LIABILITIES ARISING FROM THE ACCEPTANCE OF BILLS OF
EXCHANGE UNDER ACCOMMODATION FACILITIES (Contra item 17) .........
------------------------------------------------------------------------------ --
PART III ASSETS (Direction 11)
8. CASH AND BANK DEPOSITS
(1) Certificates of deposit:
(a) Negotiable . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Cash and other bank deposits . . . . . . . . . . . . . . . .........
9. PLACEMENTS WITH AUTHORISED DEALERS IN THE SHORT
TERM MONEY MARKET . . . . . . . . . . . . . . . . . . . . . . . .........
10. OTHER PLACEMENTS AND DEPOSITS (Direction 12)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974:
(a) Money market corporations . . . . . . . . . . . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
.........
11. BILLS OF EXCHANGE PURCHASED AND HELD (Direction 13)
(1) Bank accepted/endorsed:
(a) Public authorities (Direction 14) . . . . . . . . . . . .........
(b) Corporations registered under the Financial
Corporations Act 1974 (Direction 15) . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other:
(a) Public authorities (Direction 14) . . . . . . . . . . . .........
(b) Bills accepted by corporations registered under the
Financial Corporations Act 1974 . . . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
12. PROMISSORY NOTES PURCHASED AND HELD (Direction 16)
(1) Public authorities (Direction 14) . . . . . . . . . . . . .........
(2) Corporations registered under the Financial Corporations
Act 1974 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
13. OTHER GOVERNMENT AND PUBLIC AUTHORITY SECURITIES
(Direction 17)
(1) Treasury notes . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other Commonwealth Government securities . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
14. OTHER SECURITIES (Direction 18)
(1) Shares:
(a) Related corporations . . . . . . . . . . . . . . . . . . .........
(b) Other corporations . . . . . . . . . . . . . . . . . . . .........
(2) Other securities:
(a) Related corporations . . . . . . . . . . . . . . . . . . .........
(b) Other businesses . . . . . . . . . . . . . . . . . . . . .........
15. FINANCE LEASE RECEIVABLES (Direction 19)
(1) Leveraged lease (Direction 20) . . . . . . . . . . . . . . .........
(2) Other (Direction 21) . . . . . . . . . . . . . . . . . . . .........
16. LOAN OUTSTANDINGS (Direction 22)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974 . . . . . . . . . . . . . . . . . . . . . . .........
(3) Individuals (Direction 23) . . . . . . . . . . . . . . . . .........
(4) Other loans and advances . . . . . . . . . . . . . . . . . .........
17. CLIENTS' COMMITMENTS ARISING FROM THE ACCEPTANCE
BY THE CORPORATION OF BILLS OF EXCHANGE UNDER
ACCOMMODATION FACILITIES (Contra item 7) . . . . . . . . . . . .........
18. OTHER ASSETS IN AUSTRALIA . . . . . . . . . . . . . . . . .........
19. OVERSEAS ASSETS . . . . . . . . . . . . . . . . . . . . . . .........
20. TOTAL ASSETS . . . . . . . . . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
PART IV INTEREST RATES
21. BORROWING RATES (Direction 24)
------------------------------------------------------------------------------ --
Weighted
Value of average
Term to maturity funds interest rate
received (per cent per
$'000 annum)
------------------------------------------------------------------------------ --
(1) At call and up to 24 hours . . . . . ..........................
(2) Exceeding 24 hours but not
exceeding 7 days . . . . . . . . . . ..........................
(3) Exceeding 7 days but not exceeding
3 months . . . . . . . . . . . . . . ..........................
------------------------------------------------------------------------------ --
22. BASE LENDING RATE APPLICABLE TO A TERM LOAN ON THE SECOND LAST
WORKING DAY OF THE PERIOD (NOMINAL INTEREST RATE PER CENT PER ANNUM)
------------------------------------------------------------------------------ --
PART V MATURITY DISSECTION OF BORROWINGS, LOAN OUTSTANDINGS AND
SELECTED SECURITIES AT END OF PERIOD
$'000
23. BORROWINGS FROM RESIDENTS (OTHER THAN BORROWINGS
FROM RELATED CORPORATIONS) CLASSIFIED BY PERIOD OF
NOTICE FOR WITHDRAWAL, OR REMAINING PERIOD TO
MATURITY WHERE A MATURITY DATE IS SPECIFIED
(1) At call and up to 24 hours . . . . . . . . . . . . . . . . .........
(2) Exceeding 24 hours but not exceeding 7 days . . . . . . . .........
(3) Exceeding 7 days but not exceeding 3 months . . . . . . . .........
(4) Exceeding 3 months but not exceeding 1 year . . . . . . . .........
(5) Exceeding 1 year . . . . . . . . . . . . . . . . . . . . . .........
Total of item 23 (Direction 25) . . . . . . . . . . . . . . . .........
24. BILLS OF EXCHANGE AND PROMISSORY NOTES PURCHASED
AND HELD CLASSIFIED BY REMAINING PERIOD TO
MATURITY
(1) Not exceeding 1 month . . . . . . . . . . . . . . . . . . .........
(2) Exceeding 1 month but not exceeding 3 months . . . . . . . .........
(3) Exceeding 3 months but not exceeding 6 months . . . . . . .........
(4) Exceeding 6 months . . . . . . . . . . . . . . . . . . . . .........
Total of item 24 (Direction 26) . . . . . . . . . . . . . . . .........
25. OTHER PLACEMENTS AND DEPOSITS (OTHER THAN WITH
RELATED CORPORATIONS), FINANCE LEASE RECEIVABLES
AND LOAN OUTSTANDINGS (OTHER THAN TORELATED
CORPORATIONS) CLASSIFIED BY REMAINING PERIOD TO
MATURITY
(1) Not exceeding 1 month . . . . . . . . . . . . . . . . . . .........
(2) Exceeding 1 month but not exceeding 3 months . . . . . . . .........
(3) Exceeding 3 months but not exceeding 1 year . . . . . . . .........
(4) Exceeding 1 year but not exceeding 3 years . . . . . . . . .........
(5) Exceeding 3 years . . . . . . . . . . . . . . . . . . . . .........
Total of item 25 (Direction 27) . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
PART VI SELECTED LIABILITIES AND ASSETS AT END OF PERIOD
ONLY TO BE COMPLETED FOR THE MONTHS OF SEPTEMBER, DECEMBER, MARCH AND
JUNE
26. SHAREHOLDERS' FUNDS AND SUBORDINATED LOANS . . . . . . . .........
27. BORROWINGS FROM RESIDENTS (OTHER THAN BORROWINGS
FROM RELATED CORPORATIONS) AT END OF PERIOD
(1) Secured over assets of the corporation . . . . . . . . . . .........
(2) Unsecured . . . . . . . . . . . . . . . . . . . . . . . . .........
Total of item 27 (Direction 25) . . . . . . . . . . . . . . . .........
of the statistical period.
3. For the purpose of completing this statement-
(a) an amount that would, but for this direction, be shown as an amount of
less than $500, shall be disregarded;
(b) an amount that would, but for this direction, be shown as an odd multiple
of $500, shall be shown to the next succeeding multiple of $1,000; and
(c) other amounts shall be shown to the nearest $1,000.
4. A reference in Part I or II to a direction shall be read as a reference to a
special direction.
5. This statement is to be furnished to the Reserve Bank of Australia, Sydney.
------------------------------------------------------------------------------ --
STATUTORY DECLARATION
I ..................................... of ....................................
(Name of officer) (Residential address of officer)
in the ................................ do solemnly and sincerely declare: ....
(State or Territory) (Occupation)
1. that I am the ..................... of ....................................
(Description of office) (Name of corporation)
2. that the Quarterly Statement of Assets and Selected Liabilities
dated......../......../........, and lodged herewith, has been prepared in
accordance with the directions contained in that statement and is to the best of
my knowledge and belief a true statement of the assets and liabilities of the
corporation in respect of which the statement is made as those assets and
liabilities are shown in the books, accounts and records of the corporation.
And I make this solemn declaration by virtue of the Statutory Declarations
Act 1959 and subject to the penalties provided by that Act for the making of
false statements in statutory declarations conscientiously believing the
statements contained in this declaration to be true in every particular.
.............................................................................. ..
(Signature of declarant)
Declared at .............................. the ..............................
day of .............................. 19........
Before me.......................................................................
Title......................................................................... ..
(A Justice of the Peace or other person before whom a statutory declaration may
be made under section 8 of the Statutory Declarations Act 1959)
------------------------------------------------------------------------------ --
PART I SELECTED LIABILITIES
$'000
1. BORROWINGS FROM RESIDENTS (Direction 1)
(1) Debentures and unsecured notes . . . . . . . . . . . . . . .........
(2) Borrowings by the corporation's acceptance of bills of
exchange and the issue of promissory notes (Direction 2) . . . . .........
(3) Other borrowings from:
(a) Related corporations that are not banks-
(i) Registered under the Financial Corporations Act 1974 .........
(ii) Other . . . . . . . . . . . . . . . . . . . . . . . . .........
(b) Banks-
(i) Bank accepted bills of exchange (Direction 3) . . . . .........
(ii) Other . . . . . . . . . . . . . . . . . . . . . . . . .........
(c) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
2. BORROWINGS FROM NON-RESIDENTS . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --PART II ASSETS (Direction 4)
3. CASH AND BANK DEPOSITS
(1) Negotiable certificates of deposit . . . . . . . . . . . . .........
(2) Cash and other bank deposits . . . . . . . . . . . . . . . .........
4. PLACEMENTS WITH AUTHORISED DEALERS IN THE SHORT
TERM MONEY MARKET . . . . . . . . . . . . . . . . . . . . . . . .........
5. OTHER PLACEMENTS AND DEPOSITS (Direction 5)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974 and included in the category General
Financiers . . . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
6. BILLS OF EXCHANGE AND PROMISSORY NOTES PURCHASED
AND HELD (Direction 6)
(1) Public authorities (Direction 7) . . . . . . . . . . . . . .........
(2) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
7. OTHER GOVERNMENT AND PUBLIC AUTHORITY SECURITIES
(Direction 8)
(1) Commonwealth Government securities . . . . . . . . . . . . .........
(2) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
8. OTHER SECURITIES (Direction 9)
(1) Related corporations . . . . . . . . . . . . . . . . . . . .........
(2) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
9. FINANCE LEASE RECEIVABLES (Direction 10)
(1) Leveraged lease (Direction 11) . . . . . . . . . . . . . . .........
(2) Other (Direction 12) . . . . . . . . . . . . . . . . . . . .........
10. OPERATING LEASES ON GOODS (Direction 13) . . . . . . . . .........
11. LOAN OUTSTANDINGS (Direction 14)
(1) Related corporations:
(a) Registered under the Financial Corporations Act 1974 . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Individuals:
(a) Owner-occupied housing (Direction 15) . . . . . . . . . .........
(b) Other (Direction 16) . . . . . . . . . . . . . . . . . . .........
(3) Other loans and advances . . . . . . . . . . . . . . . . . .........
12. LAND TRADING STOCK . . . . . . . . . . . . . . . . . . . . .........
13. OTHER ASSETS IN AUSTRALIA . . . . . . . . . . . . . . . . .........
14. OVERSEAS ASSETS . . . . . . . . . . . . . . . . . . . . . . .........
15. TOTAL ASSETS . . . . . . . . . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
COMMENTS: Please provide any comments which you consider would assist in
interpreting the information supplied in this statement.
------------------------------------------------------------------------------ --
------------------------------------------------------------------------------ --
------------------------------------------------------------------------------ --
Please nominate the officer to be contacted if any queries arise regarding
this statement
Name ............................ Position ..............................
STD Code .............. Telephone No. ..............................
SPECIAL DIRECTIONS-
1. (1) Include interest which has been capitalised.
(2) Do not include interest that has accrued on borrowings but is not yet
paid.
2. Include all bills of exchange payable by the corporation except-
(a) bills accepted by the corporation and held by it; and
(b) bills that have been accepted on behalf of customers under accommodation
facilities.
3. Include borrowings made by the issue of bills of exchange drawn by the
corporation and accepted by a bank.
4. (1) Include only the value of assets in Australia in the amounts
entered in items 3 to 13 (inclusive).
(2) Do not include contingent assets.
(3) Do not include unearned income.
(4) Corporations that include in their accounts interest that has accrued but
is not yet received are to exclude that interest from the amounts entered in
items 3 to 11 (inclusive) but are to include it in the amount entered in item
13.
5. Do not include the following, which should be reported in specific items
elsewhere-
(a) deposits with banks;
(b) placements with authorised dealers in the short term money market;
(c) holdings of securities issued by government or public authorities;
(d) moneys payable to the corporation on bills of exchange or promissory
notes; and
(e) holdings of securities such as debentures and unsecured notes.
6. Do not include-
(a) the amounts of bills held in respect of which the corporation is the
acceptor;
(b) the amounts of bills held where the corporation is the drawer (the
amounts of these bills are to be included in the amounts entered in item 11);
and
(c) bills of exchange or promissory notes lodged with the corporation as
collateral by a borrower (transactions where the corporation contracts to sell
back the securities lodged with the corporation as collateral by a borrower
should be treated as loans, and the amounts entered in item 11).
7. Include public marketing authorities with public authorities.
8. (1) Include securities mortgaged by the corporation as collateral for its
borrowings.
(2) Do not include securities lodged with the corporation as collateral by a
borrower. Transactions where the corporation contracts to sell back the
securities lodged with the corporation as collateral by a borrower should be
treated as loans, and the amounts entered in item 11.
(3) Do not include bills of exchange or promissory notes issued by public
authorities.
9. Include all forms of securities not elsewhere included and shares of all
kinds.
10. (1) Include amounts receivable by the corporation as lessor under finance
lease agreements (including partnership lease agreements).
(2) Finance lease is the leasing or hiring of tangible assets under an
agreement, other than a hire purchase agreement, which transfers from the lessor
to the lessee substantially all the risks and benefits incident to ownership of
the asset without transferring the legal ownership.
(3) Do not deduct provisions for doubtful debts from this item. Provisions
for doubtful debts should be deducted from item 13.
11. (1) Include only amounts receivable by the corporation to the
extent of the corporation's equity participation in leveraged lease agreements.
(2) Do not include lease receivables under lease agreements for land and
buildings, except where land or buildings form part of a total package of assets
included in a lease agreement.
12. (1) Include, as finance lease receivables, any residual value of the
assets leased.
(2) Do not include lease receivables under lease agreements for land and
buildings in this item.
13. (1) Include the value of goods leased or rented under the agreements other
than hire purchase and finance lease agreements.
(2) Do not include land, buildings or areas of buildings.
14. (1) Include all assets arising from the provision of finance that are not
elsewhere included.
(2) Include the amounts of loans that involve or make provisions for-
(a) the issuing of bills of exchange accepted by the corporation whether or
not the bills have been sold; and
(b) the issuing of bills of exchange drawn and held by the corporation.
(3) Include all non-equity (i.e. debt) participation in leveraged lease
agreements.
(4) Do not include amounts due from trade debtors for the sale of goods or
the provision of services where payment in full for the goods or services is
required before the expiration of 3 months from the day on which the contract
for their sale or provision is entered into. These amounts are to be included in
item 13.
(5) Do not deduct provisions for doubtful debts from this item. Provisions
for doubtful debts should be deducted from item 13.
15. (1) Include only secured loans and advances made to individuals
for the purchase or construction of dwellings intended for occupation by those
individuals, or for making alterations or additions to existing housing occupied
by those individuals.
(2) Do not include loans or advances made to individuals to finance the
purchase of individual residential blocks of land. The amounts of these loans or
advances are to be included in sub-item 11 (2) (b).
(3) Do not include loans or advances made to finance the purchase of land for
the purpose of sub-division. The amounts of these loans or advances are to be
included in sub-item 11 (3).
16. Do not include finance provided to an individual for use in connection with
a business carried on by him. The amounts of such finance are to be included in
sub-item 11 (3).
---------
FORM 13
Regulation 10
COMMONWEALTH OF AUSTRALIA
Financial Corporations Act 1974
CREDIT CO-OPERATIVES QUARTERLY STATEMENT OF ASSETS AND SELECTED
LIABILITIES
AS AT......../......../19........
NAME OF REGISTERED CORPORATION...............................................
GENERAL DIRECTIONS
1. For the purposes of preparing this statement-
(a) a reference to a bank is to be read as a reference to-
(i) a bank within the meaning of the Banking Act 1959; or
(ii) a bank constituted by a State Act;
(b) a reference to a contingent asset is to be read as a reference to an
asset which would, on the happening of a future event that may or may not
happen, become an asset of the corporation making this statement;
(c) a reference to a statistical period shall be read as a reference to the
first statistical period, or a successive statistical period, as the case
requires, within the meaning of regulation 10;
(d) a reference to a resident is to be read as a reference to-
(i) a person, not being a body corporate, who is ordinarily resident in
Australia; or
(ii) a body corporate that is incorporated in Australia;
(e) where a body corporate that is a resident has a place of business outside
Australia, the body corporate shall be deemed not to be resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(f) where a body corporate that is not a resident has a place of business in
Australia, the body corporate shall be deemed to be a resident in relation to
the affairs of the body corporate conducted by the body corporate at or through
that place of business, including any business carried on, transactions entered
into and acts and things done by the body corporate at or through that place of
business;
(g) the question whether corporations are related to each other shall be
determined in the same manner as the question whether corporations are related
to each other is determined under the Companies Act 1981.
2. All amounts entered in this statement are to be expressed in Australian
currency. If an amount in respect of an overseas line of credit or in respect of
an asset or liability realizable or payable in a currency other than Australian
currency is to constitute or be included in any amount entered in an item in the
statement, the value of the line of credit, asset or liability is to be included
in the statement at the equivalent in Australian currency calculated at the rate
of exchange used in determining the value of the line of credit, asset or
liability for the accounts of the corporation as those accounts stood at the end
of the statistical period.
3. For the purpose of completing this statement-
(a) an amount that would, but for this direction, be shown as an amount of
less than $500, shall be disregarded;
(b) an amount that would, but for this direction, be shown as an odd multiple
of $500, shall be shown to the next succeeding multiple of $1,000; and
(c) other amounts shall be shown to the nearest $1,000.
4. A reference in Part I or II to a direction shall be read as a reference to a
special direction.
5. This statement is to be furnished to the Reserve Bank of Australia, Sydney.
------------------------------------------------------------------------------ --
STATUTORY DECLARATION
I ..................................... of ....................................
(Name of officer) (Residential address of officer)
in the ................................ do solemnly and sincerely declare: ....
(State or Territory) (Occupation)
1. that I am the ..................... of ....................................
(Description of office) (Name of corporation)
2. that the Quarterly Statement of Assets and Selected Liabilities
dated......../......../........, and lodged herewith, has been prepared in
accordance with the directions contained in that statement and is to the best of
my knowledge and belief a true statement of the assets and liabilities of the
corporation in respect of which the statement is made as those assets and
liabilities are shown in the books, accounts and records of the corporation.
And I make this solemn declaration by virtue of the Statutory Declarations
Act 1959 and subject to the penalties provided by that Act for the making of
false statements in statutory declarations conscientiously believing the
statements contained in this declaration to be true in every particular.
.............................................................................. ..
(Signature of declarant)
Declared at .............................. the ..............................
day of .............................. 19........
Before me.......................................................................
Title......................................................................... ..
(A Justice of the Peace or other person before whom a statutory declaration may
be made under section 8 of the Statutory Declarations Act 1959)
------------------------------------------------------------------------------ --
PART I SELECTED LIABILITIES
$'000
1. BORROWINGS FROM RESIDENTS (OTHER THAN FROM
RELATED CORPORATIONS)(Direction 1)
(1) Banks:
(a) Bank accepted bills of exchange (Direction 2) . . . . . .........
(b) Other . . . . . . . . . . . . . . . . . . . . . . . . . .........
(2) Deposits and share capital . . . . . . . . . . . . . . . . .........
(3) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
PART II ASSETS (Direction 3)
2. CASH AND BANK DEPOSITS
(1) Negotiable certificates of deposit . . . . . . . . . . . . .........
(2) Cash and other bank deposits . . . . . . . . . . . . . . . .........
3. PLACEMENTS WITH AUTHORISED DEALERS IN THE SHORT
TERM MONEY MARKET . . . . . . . . . . . . . . . . . . . . . . . .........
4. OTHER PLACEMENTS AND DEPOSITS (Direction 4)
(1) Related corporations . . . . . . . . . . . . . . . . . . . .........
(2) Other corporations registered under the Financial
Corporations Act 1974 and included in the category Credit
Co-operatives . . . . . . . . . . . . . . . . . . . . . . . . . . .........
(3) Credit co-operative associations or leagues . . . . . . . .........
(4) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
5. BILLS OF EXCHANGE AND PROMISSORY NOTES PURCHASED
AND HELD (Direction 5)
(1) Public authorities (Direction 6) . . . . . . . . . . . . . .........
(2) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
6. OTHER GOVERNMENT AND PUBLIC AUTHORITY SECURITIES
(Direction 7)
(1) Commonwealth Government securities . . . . . . . . . . . . .........
(2) Other . . . . . . . . . . . . . . . . . . . . . . . . . . .........
7. OTHER SECURITIES (Direction 8)
(1) Related corporations . . . . . . . . . . . . . . . . . . . .........
(2) Other businesses . . . . . . . . . . . . . . . . . . . . . .........
8. LOAN OUTSTANDINGS (Direction 9)
(1) Related corporations . . . . . . . . . . . . . . . . . . . .........
(2) Individuals:
(a) Owner-occupied housing (Direction 10) . . . . . . . . . .........
(b) Other (Direction 11) . . . . . . . . . . . . . . . . . . .........
(3) Other loans and advances . . . . . . . . . . . . . . . . . .........
9. OTHER ASSETS IN AUSTRALIA . . . . . . . . . . . . . . . . .........
10. OVERSEAS ASSETS . . . . . . . . . . . . . . . . . . . . . . .........
11. TOTAL ASSETS . . . . . . . . . . . . . . . . . . . . . . . .........
------------------------------------------------------------------------------ --
COMMENTS: Please provide any comments which you consider would assist in
interpreting the information supplied in this statement.
------------------------------------------------------------------------------ --
Please nominate the officer to be contacted if any queries arise regarding
this statement
Name ................................ Position ...........................
STD Code .................... Telephone No. ..............................
SPECIAL DIRECTIONS-
1. (1) Include interest which has been capitalised.
(2) Do not include interest that has accrued on borrowings but is not yet
paid.
2. Include borrowings made by the issue of bills of exchange drawn by the
corporation and accepted by a bank.
3. (1) Include only the value of assets in Australia in the amounts
entered in items 2 to 9 (inclusive).
(2) Do not include contingent assets.
(3) Do not include unearned income.
(4) Corporations that include in their accounts interest that has accrued but
is not yet received are to exclude that interest from the amounts entered in
items 2 to 8 (inclusive) but are to include it in the amount entered in item 9.
4. (1) Do not include deposits with government or league/association
stabilisation funds. Such deposits should be included in item 9.
(2) Do not include the following, which should be reported in specific items
elsewhere-
(a) deposits with banks;
(b) placements with authorised dealers in the short term money market;
(c) holdings of securities issued by government or public authorities;
(d) moneys payable to the corporation on bills of exchange or promissory
notes; and
(e) holdings of securities such as debentures and unsecured notes.
5. Do not include-
(a) the amounts of bills held in respect of which the corporation is the
acceptor;
(b) the amounts of bills held where the corporation is the drawer (the
amounts of these bills are to be included in the amounts entered in item 8); and
(c) bills of exchange or promissory notes lodged with the corporation as
collateral by a borrower (transactions where the corporation contracts to sell
back the securities lodged with the corporation as collateral by a borrower
should be treated as loans, and the amounts entered in item 8).
6. Include public marketing authorities with public authorities.
7. (1) Include securities mortgaged by the corporation as collateral for its
borrowings.
(2) Do not include securities lodged with the corporation as collateral by a
borrower. Transactions where the corporation contracts to sell back the
securities lodged with the corporation as collateral by a borrower should be
treated as loans, and the amounts entered in item 8.
(3) Do not include bills of exchange or promissory notes issued by public
authorities.
8. Include all forms of securities not elsewhere included and shares of all
kinds.
9. (1) Include all assets arising from the provision of finance that are not
elsewhere included.
(2) Include all non-equity (i.e. debt) participation in leveraged lease
agreements.
(3) Do not include amounts due from trade debtors for the sale of goods or
the provision of services where payment in full for the goods or services is
required before the expiration of 3 months from the day on which the contract
for their sale or provision is entered into. These amounts are to be included in
item 9.
(4) Do not deduct provisions for doubtful debts from this item. Provisions
for doubtful debts should be deducted from item 9.
10. (1) Include only secured loans and advances made to individuals
for the purchase or construction of dwellings intended for occupation by those
individuals, or for making alterations or additions to existing housing occupied
by those individuals.
(2) Do not include loans or advances made to individuals to finance the
purchase of residential blocks of land. The amounts of these loans or advances
are to be included in sub-item 8 (2) (b).
(3) Do not include loans or advances made to finance the purchase of land for
the purpose of sub-division. The amounts of these loans or advances are to be
included in sub-item 8 (3).
11. Do not include finance provided to an individual for use in connection with
a business carried on by him. The amounts of such finance are to be included in
sub-item 8 (3).
---------
FORM 14
Regulation 13
COMMONWEALTH OF AUSTRALIA
Financial Corporations Act 1974
RETAILER'S SIX MONTHLY STATEMENT OF LOANS AND ADVANCES OUTSTANDING AS
AT......../......../19........
NAME OF REGISTERED CORPORATION...............................................
GENERAL DIRECTIONS
1. The question whether corporations are related to each other shall be
determined in the same manner as the question whether corporations are related
to each other is determined under the Companies Act 1981.
2. Do not include in this statement particulars relating to loans and advances
made at places of business outside Australia.
3. To be completed only for the months of June and December.
4. This statement is to be furnished to the Reserve Bank of Australia, Sydney.
------------------------------------------------------------------------------ --
COMMENTS: Please provide any comments which you consider would assist in
interpreting the information supplied in this statement.
------------------------------------------------------------------------
------------------------------------------------------------------------
Please nominate the officer to be contacted if any queries arise regarding
this statement
Name..................................Position..............................
STD Code....................... Telephone No. ..............................
------------------------------------------------------------------------------ --
STATUTORY DECLARATION
I ..................................... of ....................................
(Name of officer) (Residential address of officer)
in the ................................ do solemnly and sincerely declare: ....
(State or Territory) (Occupation)
1. that I am the ..................... of ....................................
(Description of office) (Name of corporation)
2. that the Six Monthly Statement of Loans and Advances Outstanding
dated......../......../........, and lodged herewith, has been prepared in
accordance with the directions contained in that statement and is to the best of
my knowledge and belief a true statement of the loans and advances outstanding
of the corporation(s) in respect of which the statement is made as those loans
and advances outstanding are shown in the books, accounts and records of the
corporation(s).
And I make this solemn declaration by virtue of the Statutory Declarations
Act 1959 and subject to the penalties provided by that Act for the making of
false statements in statutory declarations conscientiously believing the
statements contained in this declaration to be true in every particular.
.............................................................................. ..
(Signature of declarant)
Declared at .............................. the ..............................
day of .............................. 19........
Before me.......................................................................
Title......................................................................... ..
(A Justice of the Peace or other person before whom a statutory declaration may
be made under
section 8 of the Statutory Declarations Act 1959)
---------
$'000
AMOUNTS OF LOANS AND ADVANCES OUTSTANDING AT THE
END OF PERIOD OTHER THAN LOANS AND ADVANCES TO
RELATED CORPORATIONS (Special Direction 1)
(1) Loans and advances to customers:
(a) Loans and advances to finance own retail sales (Special
Direction 2)
--------------------------------------------------------------
Class of loan or advance
--------------------------------------------------------------
.......................................................... .........
.......................................................... .........
.......................................................... .........
.......................................................... .........
--------------------------------------------------------------
(b) Other loans and advances to customers (Special Direction 3)
--------------------------------------------------------------
Class of loan or advance
--------------------------------------------------------------
.......................................................... .........
.......................................................... .........
.......................................................... .........
.......................................................... .........
--------------------------------------------------------------
(2) Total amount of loans and advances not included in
sub-item (1). . . . . . . . . . . . . . . . . . . . . . . . . . . .........
SPECIAL DIRECTIONS
1. (1) Do not include-
(a) interest that has accrued but is not yet received;
(b) unearned income arising from the provision of finance; and
(c) amounts due on customers' accounts (including the accounts of trade
debtors) for the sale of goods or the provision of services where payment in
full for the goods or services is required to be made within 3 months after the
date on which the contract for their sale or provision is entered into.
(2) In calculating the amounts to be entered in this statement, no allowance
for doubtful debts is to be made.
(3) For the purposes of completing this statement-
(a) an amount that would, but for this direction, be shown as an amount of
less than $500, shall be disregarded;
(b) an amount that would, but for this direction, be shown as an odd
multiple of $500, shall be shown to the next succeeding multiple of $1,000; and
(c) other amounts shall be shown to the nearest $1,000.
2. Make separate entries for each class of loan or advance.
3. (1) Make separate entries for each class of loan or advance.
(2) Include particulars of loans and advances made to customers in respect of
the provision of services by the corporation.
0
0
0