Part 6 Financial resources Checklist – Answer all information requests Legal and Application cross Regulation references references Give us enough information so we have a complete picture of how Refer to the Tab, page, paragraph your trade repository operates. If you think any item doesn't apply reference below on the application to your trade repository, explain why it is irrelevant. for guidance and where the question/ more information item is addressed. Financial resources and business plans Your application must include the following financial and business information: a complete set of your audited consolidated RG249.137(a) Audited financial statements (and those of any consolidated corporate group of which you are a financial member), prepared on an annual basis in statements conformity with international or Australian accounting standards, for the three financial years preceding the date of your application. the name and national registration number RG249.137(b) External auditor of your external auditor. registration a financial business plan contemplating RG249.137(c) Financial different business scenarios for the trade business plans repository services over a minimum period. details of the funding referred to in Rule Rule 2.4.7 Funding 2.4.7. RG249.137(d) a viable recovery or orderly wind-down Rule 2.4.11 Wind-down plan plan, as referred to in Rule 2.4.11. RG249.137(e) Where the historical financial information RG249.137(f) Financial referred to in Q6.1 above is not available, statements the following documentation: where historical information not available a statement demonstrating proper RG249.137(f)(i) resources and expected business status in six months after registration is granted; an interim financial report where RG249.137(f)(ii) the financial statements are not yet available for the requested period of time; and
Part 6 – Financial resources Checklist Answer all information requests Legal and Regulation references Application cross references Give us enough information so we have a complete picture of how your trade repository operates. If you think any item doesn't apply to your trade repository, explain why it is irrelevant. Refer to the reference below for guidance and more information Tab, page, paragraph on the application where the question/ item is addressed. Financial resources and business plans Your application must include the following financial and business information: Audited consolidated financial statements a complete set of your audited consolidated financial statements (and those of any corporate group of which you are a member), prepared on an annual basis in conformity with international or Australian accounting standards, for the three financial years preceding the date of your application. RG249.137(a) External auditor registration the name and national registration number of your external auditor. RG249.137(b) Financial business plans a financial business plan contemplating different business scenarios for the trade repository services over a minimum period. RG249.137(c) Funding details of the funding referred to in Rule 2.4.7. Rule 2.4.7 RG249.137(d) Wind-down plan a viable recovery or orderly wind-down plan, as referred to in Rule 2.4.11. Rule 2.4.11 RG249.137(e) Financial statements where historical information not available Where the historical financial information referred to in Q6.1 above is not available, the following documentation: RG249.137(f) a statement demonstrating proper resources and expected business status in six months after registration is granted; RG249.137(f)(i) an interim financial report where the financial statements are not yet available for the requested period of time; and RG249.137(f)(ii)
adtr-licence-application-kit-april-2015.docx