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FOCUS
Report
Part IIC
Cover Page
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
FOCUS REPORT (FINANCIAL AND OPERATIONAL COMBINED UNIFORM SINGLE REPORT)
Part IIC 11
OMB APPROVAL
OMB Number: 3235-0749
Expires: 7/31/2024
Estimated average burden
hours per response: 4.00
(Please read instructions before preparing Form)
This report is being filed by an:
1)
2)
SBSD with a prudential regulator (bank SBSD) ................................................................................................................
MSBSP with a prudential regulator (bank MSBSP) ..........................................................................................................
This report is being filed by a:
U.S. person
12820
12821
12007 Non-U.S. person
12008
This report is being filed pursuant to (check applicable block(s)):
1)
2)
3)
Special request by the Commission..................................................................................................................................
Rule 18a-7.........................................................................................................................................................................
Other (explain: _____________________________________________) ......................................................................
19
12999
26
NAME OF REPORTING ENTITY
SEC FILE NO.
____________________________________________________________________________________ 13
ADDRESS OF PRINCIPAL PLACE OF BUSINESS (Do not use P.O. Box No.)
________________________________ 14
FIRM ID NO.
____________________________________________________________________________________ 20
(No. and Street)
________________________________ 15
FOR PERIOD BEGINNING (MM/DD/YY)
_______________________________________ 21 __________ 22 __________________________ 23
(City)
(State/Province)
(Zip Code)
________________________________ 24
AND ENDING (MM/DD/YY)
______________________________________________________ 12009
(Country)
________________________________ 25
NAME OF PERSON TO CONTACT IN REGARD TO THIS REPORT
(AREA CODE) TELEPHONE NO.
EMAIL ADDRESS
____________________________________________________ 30 __________________________ 12010
NAME(S) OF SUBSIDIARIES OR AFFILIATES CONSOLIDATED IN THIS REPORT
________________________________ 31
OFFICIAL USE
____________________________________________________________________________________ 32
________________________________ 33
____________________________________________________________________________________ 34
________________________________ 35
____________________________________________________________________________________ 36
________________________________ 37
____________________________________________________________________________________ 38
________________________________ 39
Is this report consolidated or unconsolidated? .............................................................................................. Consolidated
Does respondent carry its own security-based swap customer accounts? ................................................................ Yes
198 Unconsolidated
40
No
199
41
EXECUTION: The registrant submitting this Form and its attachments and the person(s) by whom it is executed represent hereby that all information contained
therein is true, correct and complete. It is understood that all required items, statements, and schedules are considered integral parts of this Form and that the
submission of any amendment represents that all unamended items, statements, and schedules remain true, correct and complete as previously submitted.
Dated the ______________________ day of ____________________, 20_____.
Signatures of:
Names of:
1)
__________________________________________________________
Principal Executive Officer or Comparable Officer
____________________________________________________ 12011
Principal Executive Officer or Comparable Officer
2)
__________________________________________________________
Principal Financial Officer or Comparable Officer
____________________________________________________ 12012
Principal Financial Officer or Comparable Officer
3)
__________________________________________________________
Principal Operations Officer or Comparable Officer
____________________________________________________ 12013
Principal Operations Officer or Comparable Officer
ATTENTION: Intentional misstatements and/or omissions of facts constitute federal criminal violations. (See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).)
Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid
OMB control number.
Name of Firm: _____________________________________
As of: ____________________________________________
1
FOCUS
Report
Part IIC
BALANCE SHEET (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RC)
Items on this page to be reported by a:
Bank SBSD
Bank MSBSP
Assets
Totals
1. Cash and balances due from depository institutions (from FFIEC Form 031’s Schedule RC-A)
A. Noninterest-bearing balances and currency and coin ........................................................................................................
$ _________________ 0081b
B. Interest-bearing balances ...................................................................................................................................................
$ _________________ 0071b
2. Securities
A. Held-to-maturity securities ..................................................................................................................................................
$ _________________ 1754b
B. Available-for-sale securities ................................................................................................................................................
$ _________________ 1773b
C. Equity securities with readily determinable fair values not held for trading .......................................................................
$ _________________ JA22b
3. Federal funds sold and securities purchased under agreements to resell
A. Federal funds sold in domestic offices................................................................................................................................
$ _________________ B987b
B. Securities purchased under agreements to resell ..............................................................................................................
$ _________________ B989b
4. Loans and lease financing receivables (from FFIEC Form 031’s Schedule RC-C)
A. Loans and leases held for sale ...........................................................................................................................................
B. Loans and leases held for investment
$ _________________ B528b
C. LESS: Allowance for loan and lease losses
$ _________________ 3123b
$ _________________ 5369b
D. Loans and leases held for investment, net of allowance (Line 4B minus Line 4C)............................................................
$ _________________ B529b
5. Trading assets (from FFIEC Form 031’s Schedule RC-D) ......................................................................................................
$ _________________ 3545b
6. Premises and fixed assets (including capitalized leases) ........................................................................................................
$ _________________ 2145b
7. Other real estate owned (from FFIEC Form 031’s Schedule RC-M) .......................................................................................
$ _________________ 2150b
8. Investments in unconsolidated subsidiaries and associated companies.................................................................................
$ _________________ 2130b
9. Direct and indirect investments in real estate ventures ...........................................................................................................
$ _________________ 3656b
10. Intangible assets (from FFIEC Form 031’s Schedule RC-M).................................................................................................
$ _________________ 2143b
11. Other assets (from FFIEC Form 031’s Schedule RC-F) .........................................................................................................
$ _________________ 2160b
12. Total assets (sum of Lines 1 through 11) ................................................................................................................................
$ _________________ 2170b
Name of Firm: _____________________________________
As of: ____________________________________________
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Part IIC
BALANCE SHEET (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RC)
Items on this page to be reported by a:
Bank SBSD
Bank MSBSP
Liabilities
Totals
13. Deposits
A. In domestic offices (sum of totals of Columns A and C from FFIEC Form 031’s Schedule RC-E, part I) .........................
1. Noninterest-bearing
$ _________________ 6631b
2. Interest-bearing
$ _________________ 6636b
B. In foreign offices, Edge and Agreement subsidiaries, and IBFs (from FFIEC Form 031’s Schedule RC-E, part II) ..........
1. Noninterest-bearing
$ _________________ 6631bb
2. Interest-bearing
$ _________________ 6636bb
$ _________________ 2200b
$ _________________ 2200bb
14. Federal funds purchased and securities sold under agreements to repurchase ....................................................................
A. Federal funds purchased in domestic offices......................................................................................................................
$ _________________ B993b
B. Securities sold under agreements to repurchase ...............................................................................................................
$ _________________ B995b
15. Trading liabilities (from FFIEC Form 031’s Schedule RC-D) ..................................................................................................
$ _________________ 3548b
16. Other borrowed money (includes mortgage indebtedness) (from FFIEC Form 031’s Schedule RC-M) ................................
$ _________________ 3190b
17. Not applicable. .........................................................................................................................................................................
18. Not applicable. .........................................................................................................................................................................
19. Subordinated notes and debentures .......................................................................................................................................
$ _________________ 3200b
20. Other liabilities (from FFIEC Form 031’s Schedule RC-G) .....................................................................................................
$ _________________ 2930b
21. Total liabilities (sum of Lines 13 through 20) ...........................................................................................................................
$ _________________ 2948b
22. Not applicable. .........................................................................................................................................................................
Equity Capital
23. Perpetual preferred stock and related surplus ........................................................................................................................
$ _________________ 3838b
24. Common stock .........................................................................................................................................................................
$ _________________ 3230b
25. Surplus (exclude all surplus related to preferred stock) ..........................................................................................................
$ _________________ 3839b
26 A. Retained earnings ...............................................................................................................................................................
$ _________________ 3632b
B. Accumulated other comprehensive income ........................................................................................................................
$ _________________ B530b
C. Other equity capital components.........................................................................................................................................
$ _________________ A130b
27A. Total bank equity capital (sum of Lines 23 through 26.C) ...................................................................................................
$ _________________ 3210b
B. Non-controlling (minority) interests in consolidated subsidiaries ........................................................................................
$ _________________ 3000b
28. Total equity capital (sum of Lines 27A and 27B) .....................................................................................................................
$ _________________ G105b
29. Total liabilities and equity capital (sum of Lines 21 and 28) ....................................................................................................
$ _________________ 3300b
Name of Firm: _____________________________________
As of: ____________________________________________
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Part IIC
REGULATORY CAPITAL (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RC-R)
Items on this page to be reported by a:
Bank SBSD
Bank MSBSP
Capital
Totals
1. Total bank equity capital (from FFIEC Form 031’s Schedule RC, Line 27A) ..................................................................................................................
$ _________________ 3210b
2. Tier 1 capital .....................................................................................................................................................................................................................
$ _________________ 8274b
3. Tier 2 capital .....................................................................................................................................................................................................................
$ _________________ 5311b
4. Total capital.......................................................................................................................................................................................................................
$ __________________ 3792b
5. Total risk-weighted assets ................................................................................................................................................................................................
$ _________________ A223b
6. Total assets for the leverage ratio ....................................................................................................................................................................................
$ _________________ A224b
Capital Ratios (Column A is to be completed by all banks. Column B is to be completed
by advanced approach institutions that exit parallel run only.)
Column A
7. Tier 1 leverage ratio ..........................................................................................................................
_________________% 7204b
8. Common equity tier 1 capital ratio ....................................................................................................
_________________% P793b
_________________% P793bb
9. Tier 1 capital ratio .............................................................................................................................
_________________% 7206b
_________________% 7206bb
10. Total capital ratio .............................................................................................................................
_________________% 7205b
_________________% 7205bb
Name of Firm: _____________________________________
As of: ____________________________________________
4
Column B
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Report
Part IIC
INCOME STATEMENT (INFORMATION AS REPORTED ON FFIEC FORM 031 – SCHEDULE RI)
Items on this page to be reported by a:
Bank SBSD
Bank MSBSP
Totals
1. Total interest income ................................................................................................................................................................................................................
$ _________________ 4107b
2. Total interest expense ..............................................................................................................................................................................................................
$ _________________ 4073b
3. Total noninterest income ..........................................................................................................................................................................................................
$ _________________ 4079b
4. Total noninterest expense ........................................................................................................................................................................................................
$ _________________ 4093b
5. Realized gains (losses) on held-to-maturity securities.............................................................................................................................................................
$ _________________ 3521b
6. Realized gains (losses) on available-for-sale securities ..........................................................................................................................................................
$ _________________ 3196b
7. Income (loss) before applicable income taxes and discontinued operations ..........................................................................................................................
$ _________________ 4301b
8. Net income (loss) attributable to bank ......................................................................................................................................................................................
$ _________________ 4340b
9. Trading revenue (from cash instruments and derivative instruments)
A. Interest rate exposures .......................................................................................................................................................................................................
$ _________________ 8757b
B. Foreign exchange exposures ..............................................................................................................................................................................................
$ _________________ 8758b
C. Equity security and index exposures ..................................................................................................................................................................................
$ _________________ 8759b
D. Commodity and other exposures ........................................................................................................................................................................................
$ _________________ 8760b
E. Credit exposures .................................................................................................................................................................................................................
$ _________________ F186b
Lines 9F and 9G are to be completed by banks with $100 billion or more in total assets that are required to complete lines 9A through 9E above.
F. Impact on trading revenue of changes in the creditworthiness of the bank’s derivative counterparties on the bank’s derivative assets
i. Gross credit valuation adjustment (CVA) .......................................................................................................................................................................
$ _________________ FT36b
ii. CVA hedge .....................................................................................................................................................................................................................
$ _________________ FT37b
G. Impact on trading revenue of changes in the creditworthiness of the bank on the bank’s derivative liabilities
i. Gross credit valuation adjustment (CVA) .......................................................................................................................................................................
$ _________________ FT38b
ii. CVA hedge .....................................................................................................................................................................................................................
$ _________________ FT39b
10. Net gains (losses) recognized in earnings on credit derivatives that economically hedge credit exposures held outside the trading account
A. Net gains (losses) on credit derivatives held for trading .....................................................................................................................................................
$ _________________ C889b
B. Net gains (losses) on credit derivatives held for purposes other than trading....................................................................................................................
$ _________________ C890b
11. Credit losses on derivatives .....................................................................................................................................................................................................
$ _________________ A251b
Name of Firm: _____________________________________
As of: ____________________________________________
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Part IIC
COMPUTATION FOR DETERMINATION OF SECURITY-BASED SWAP CUSTOMER RESERVE REQUIREMENTS
Items on this page to be reported by a:
Bank SBSD (if not exempt from Rule 18a-4)
CREDIT BALANCES
1. Free credit balances and other credit balances in the accounts carried for security-based
swap customers (see Note A) ..................................................................................................................
$
____________________ 12822
2. Monies borrowed collateralized by securities in accounts carried for security-based
swap customers (see Note B) .................................................................................................................
$
____________________ 12823
3. Monies payable against security-based swap customers' securities loaned (see Note C) ....................
$
____________________ 12824
4. Security-based swap customers' securities failed to receive (see Note D).............................................
$
____________________ 12825
5. Credit balances in firm accounts attributable to principal sales to security-based swap customers ......
$
____________________ 12826
6. Market value of stock dividends, stock splits and similar distributions receivable outstanding
over 30 calendar days .............................................................................................................................
$
____________________ 12827
7. Market value of short securities and credits (not to be offset by longs or by debits) in all suspense
accounts over 30 calendar days ..............................................................................................................
$
____________________ 12828
8. Market value of securities which are in transfer in excess of 40 calendar days and have not been
confirmed to be in transfer by the transfer agent or the issuer during the 40 days ................................
$
____________________ 12829
9. Other (List: __________________________________________________________) ........................
$
____________________ 12830
10. TOTAL CREDITS ..................................................................................................................................................................................................... $ ______________________ 12839
DEBIT BALANCES
11. Debit balances in accounts carried for security-based swap customers, excluding unsecured
accounts and accounts doubtful of collection (see Note E)...................................................................
$
____________________ 12831
12. Securities borrowed to effectuate short sales by security-based swap customers and securities
borrowed to make delivery on security-based swap customers' securities failed to deliver .................
$
____________________ 12832
13. Failed to deliver of security-based swap customers' securities not older than 30 calendar days .........
$
____________________ 12833
14. Margin required and on deposit with Options Clearing Corporation for all option contracts
written or purchased in accounts carried for security-based swap customers (see Note F) ................
$
____________________ 12834
15. Margin related to security future products written, purchased or sold in accounts carried for securitybased swap customers required and on deposit in a qualified clearing agency account at a clearing
agency registered with the Commission under section 17A of the Exchange Act (15 U.S.C. 78q-1)
or a derivative clearing organization registered with the Commodity Futures Trading Commission
under section 5b of the Commodity Exchange Act (7 U.S.C. 7a-1) (see Note G) ................................ $
____________________ 12835
16. Margin related to cleared security-based swap transactions in accounts carried for security-based
swap customers required and on deposit in a qualified clearing agency account at a clearing agency
registered with the Commission pursuant to section 17A of the Exchange Act (15 U.S.C. 78q-1) ...... $
____________________ 12836
17. Margin related to non-cleared security-based swap transactions in accounts carried for securitybased swap customers required and held in a qualified registered security-based swap dealer
account at another security-based swap dealer....................................................................................
$
____________________ 12837
18. Other (List: __________________________________________________________)......................
$
____________________ 12838
19. TOTAL DEBITS........................................................................................................................................................................................................ $ ______________________ 12840
RESERVE COMPUTATION
20. Excess of total debits over total credits (Line 19 less Line 10) ................................................................................................................................ $ ______________________ 12787
21. Excess of total credits over total debits (Line 10 less Line 19) ................................................................................................................................ $ ______________________ 12788
22. Amount held on deposit in "Reserve Account(s)," including value of qualified securities, at end of reporting period ............................................ $ ______________________ 12789
23. Amount of deposit (or withdrawal) including $ ______________ 12790 value of qualified securities ................................................................... $ ______________________ 12791
24. New amount in Reserve Account(s) after adding deposit or subtracting withdrawal including
$ ______________ 12792 value of qualified securities ............................................................................................................................................... $ ______________________ 12793
25. Date of deposit (MM/DD/YY) .................................................................................................................................................................................... $ ______________________ 12794
References to notes in this section refer to the notes to 17 CFR 240.18a-4a.
Name of Firm: _____________________________________
As of: ____________________________________________
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Part IIC
POSSESSION OR CONTROL FOR SECURITY-BASED SWAP CUSTOMERS
Items on this page to be reported by a:
Bank SBSD (if not exempt from Rule 18a-4)
State the market valuation and number of items of:
1. Security-based swap customers' excess securities collateral not in the respondent's possession or control as of the report date (for
which instructions to reduce to possession or control had been issued as of the report date) but for which the required action
was not taken by respondent within the time frame specified under Rule 18a-4. Notes A and B................................................................... $ ___________________ 12795
A. Number of items...........................................................................................................................................................................................
___________________ 12796
2. Security-based swap customers' excess securities collateral for which instructions to reduce possession or control had not been issued
as of the report date under Rule 18a-4. ........................................................................................................................................................... $ ___________________ 12797
A. Number of items...........................................................................................................................................................................................
___________________ 12798
3. The system and procedures utilized in complying with the requirement to maintain physical possession or control of security-based
swap customers' excess securities collateral have been tested and are functioning in a manner adequate to fulfill the
requirements of Rule 18a-4 ................................................................................................................... Yes __________________ 12799 No ___________________ 12800
Notes:
A – Do not include in Line 1 security-based swap customers' excess securities collateral required by Rule 18a-4 to be in possession or control but for which no action was required
by the respondent as of the report date or required action was taken by respondent within the time frames specified under Rule 18a-4.
B – State separately in response to Line 1 whether the securities reported in response thereto were subsequently reduced to possession or control by the respondent.
Name of Firm: _____________________________________
As of: ____________________________________________
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Part IIC
CLAIMING AN EXEMPTION FROM RULE 18a-4
Items on this page to be reported by a:
Bank SBSD
EXEMPTION FROM RULE 18a-4
If an exemption from Rule 18a-4 is claimed, check the box…………………………………………………………… ….. ……………………………………....
Name of Firm: _____________________________________
As of: ____________________________________________
8
12104
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Report
Part IIC
SCHEDULE 1 – AGGREGATE SECURITY-BASED SWAP AND SWAP POSITIONS
Items on this page to be reported by a:
Bank SBSDs
Bank MSBSPs
Aggregate Positions
LONG/BOUGHT
SHORT/SOLD
1. Security-based swaps
A. Cleared .....................................................................................................................................
$ _______________________ 12106
$ _______________________ 12114
B. Non-cleared..............................................................................................................................
$ _______________________ 12107
$ _______________________ 12115
A. Cleared .....................................................................................................................................
$ _______________________ 12108
$ _______________________ 12116
B. Non-cleared..............................................................................................................................
$ _______________________ 12109
$ _______________________ 12117
A. Cleared .....................................................................................................................................
$ _______________________ 12110
$ _______________________ 12118
B. Non-cleared..............................................................................................................................
$ _______________________ 12111
$ _______________________ 12119
2. Mixed swaps
3. Swaps
4. Other derivatives .............................................................................................................................
$ _______________________ 8295
5. Total (sum of Lines 1-4) ..................................................................................................................
$ _______________________ 12808
Name of Firm: _____________________________________
As of: ____________________________________________
$ _______________________ 8296
$ _______________________ 12816
| File Type | application/pdf |
| File Title | SBSD MSBSP Recordkeeping Reporting Adopting Release N (Sent to Commission 2016.11.21) |
| Author | Deng, Valentina |
| File Modified | 2023-02-09 |
| File Created | 2023-02-09 |