Risk Assessment Report For Brokers And Dealers For 17h Page 5
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6Material Associated Person:
_____________________________
LONG
SHORT
(000's omitted)
2. Notional or contractual amounts of commitments to purchase
foreign currencies and U.S. dollar exchange:
2300
2305
(a) Futures
..............................................................................
2310
2315
(b) Forwards
...........................................................................
(i) Aggregate current cost of replacing contracts by counter-
2320
2325
party in which the Material Associated Person has a gain.
(ii) Per counterparty breakdown where credit risk exceeds
the Materiality Threshold (attach schedule).
3. Naked written option contracts:
2330
2335
(a) Contractual value
..............................................................
2340
2345
(b) Value of the underlying instruments
.................................
D.
All other swap agreements (specify type)(attach schedule if necessary)
2350
2355
1. Total notional or contractual amount
.......................................
2. Aggregate current cost of replacing contracts by counterparty in
2360
2365
which the Material Associated Person has a gain
.........................
3. Per counterparty breakdown where credit risk exceeds the
Materiality Threshold (attach schedule).
E. Commodities
2370
2375
1. Futures
.....................................................................................
2380
2385
2. Forwards
..................................................................................
(a) Aggregate current cost of replacing contracts by counter-
2390
2395
party in which the Material Associated Person has a gain
......
(b) Per counterparty breakdown where credit risk exceeds the
Materiality Threshold (attach schedule).
3. Sold option contracts (e.g., options on individual commodities
and commodities indexes)
(a) Market value, and the value of the underlying instruments,
of call contracts:
(i) Listed
2405
2400
(A) Market value
.......................................................
2410
2415
(B) Value of underlying instruments..........................
(ii) Unlisted
2420
2425
(A) Market value
.......................................................
2435
2430
(B) Value of underlying instruments
.........................
(b) Market value, and the value of the underlying instruments,
of put contracts:
(i) Listed
2440
2445
(A) Market value
.......................................................
2450
2455
(B) Value of underlying instruments .........................
(ii) Unlisted
2460
2465
(A) Market value
.......................................................
2475
2470
(B) Value of underlying instruments
.........................
(c) Market value, and the value of the underlying instruments,
of naked call contracts:
(i) Listed
2480
2485
(A) Market value
.......................................................
2490
2495
(B) Value of underlying instruments
.........................
(ii) Unlisted
2500
2505
(A) Market value
.......................................................
2510
2515
(B) Value of underlying instruments
.........................
(d) Market value, and the value of the underlying instruments,
of naked put contracts:
(i) Listed
2525
2530
(A) Market value
.......................................................
2520
2535
(B) Value of underlying instruments
.........................
(ii) Unlisted
2545
2540
(A) Market value
.......................................................
2550
2555
(B) Value of underlying instruments
.........................
F. Loan committments
2560
1. Total amount .............................................................................................................................
2565
2. Unused portion
..........................................................................................................................
PAGE 5
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